CODE OF FEDERAL REGULATIONS
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
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Cite this Code:
The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows:
Title 1 through Title 16
Title 17 through Title 27
Title 28 through Title 41
Title 42 through Title 50
The appropriate revision date is printed on the cover of each volume.
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Each volume of the Code contains amendments published in the Federal Register since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut-off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text.
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Title 11—
Indexes to regulations for “parts 1-8,” “parts 100-116,” “parts 200-201,” “parts 9001-9007 and 9012,” “part 9008,” and “parts 9031-9039,” appear in the Finding Aids section of this volume.
For this volume, Kenneth R. Payne was Chief Editor. The Code of Federal Regulations publication program is under the direction of Frances D. McDonald, assisted by Alomha S. Morris.
5 U.S.C. 552a.
(a) The purpose of this part is to set forth rules informing the public as to what information is maintained by the Federal Election Commission about identifiable individuals and to inform those individuals how they may gain access to and correct or amend information about themselves.
(b) The regulations in this part carry out the requirements of the Privacy Act of 1974 (Pub. L. 93-579) and in particular 5 U.S.C. 552a as added by that Act.
(c) The regulations in this part apply only to records disclosed or requested under the Privacy Act of 1974, and not to requests for information made pursuant to 5 U.S.C. 552, the Freedom of Information Act, or requests for reports and statements filed with the Federal Election Commission which are public records and available for inspection and copying pursuant to 2 U.S.C. 437g(a)(4) (C) and 438(a)(4).
As defined in the Privacy Act of 1974 and for the purposes of this part, unless otherwise required by the context, the following terms shall have these meanings:
(a) Any individual may request the Commission to inform him or her whether a particular record system named by the individual contains a record pertaining to him or her. The request may be made in person or in writing at the location and to the person specified in the notice describing that record system.
(b) An individual who believes that the Commission maintains records pertaining to him or her but who cannot
(c) Requests under paragraphs (a) or (b) of this section shall be acknowledged by the Commission within 15 days from the date of receipt of the request. If the Commission is unable to locate the information requested under paragraphs (a) or (b) of this section, it shall so notify the individual within 15 days after receipt of the request. Such acknowledgement may request additional information to assist the Commission in locating the record or it may advise the individual that no record or document exists about that individual.
(a) After being informed by the Commission that a record system contains a record pertaining to him or her, an individual may request the Commission to disclose that record in the manner described in this section. Each request for the disclosure of a record or a copy of it shall be made at the Federal Election Commission, 999 E Street, NW., Washington, DC 20463 and to the system manager identified in the notice describing the systems of records, either in writing or in person. Requests may be made by specifically authorized agents or by parents or guardians of individuals.
(b) Each individual requesting the disclosure of a record or copy of a record shall furnish the following information with his or her request:
(1) The name of the record system containing the record;
(2) Proof as described in paragraph (c) of this section that he or she is the individual to whom the requested record relates;
(3) Any other information required by the notice describing the record system.
(c) Proof of identity as required by paragraph (b)(2) of this section shall be provided as described in paragraphs (c)(1) and (2) of this section. Requests made by an agent, parent, or guardian, shall be in accordance with the procedures described in § 1.10.
(1) Requests made in writing shall include a statement, signed by the individual and either notarized or witnessed by two persons (including witnesses' addresses). If the individual appears before a notary, he or she shall submit adequate proof of identification in the form of a drivers license, birth certificate, passport or other identification acceptable to the notary. If the statement is witnessed, it shall include a sentence above the witnesses' signatures that they personally know the individual or that the individual has submitted proof of his or her identification to their satisfaction. In any case in which, because of the extreme sensitivity of the record sought to be seen or copied, the Commission determines that the identification is not adequate, it may request the individual to submit additional proof of identification.
(2) If the request is made in person, the requestor shall submit proof of identification similar to that described in paragraph (c)(1) of this section, acceptable to the Commission. The individual may have a person of his or her own choosing accompany him or her when the record is disclosed.
(a) Upon submission of proof of identification as required by § 1.4, the Commission shall allow the individual to see and/or obtain a copy of the requested record or shall send a copy of the record to the individual by registered mail. If the individual requests to see the record, the Commission may make the record available either at the location where the record is maintained or at a place more suitable to the requestor, if possible. The record shall be made available as soon as possible but in no event later than 15 days after proof of identification.
(b) The Commission must furnish each record requested by an individual
(c) If the Commission denies access to a record to an individual, he or she shall be advised of the reason for the denial and advised of the right to judicial review.
(d) Upon request, an individual will be provided access to the accounting of disclosures from his or her record under the same procedures as provided above and in § 1.4.
(a) Any individual who has reviewed a record pertaining to him or her that was furnished under this part, may request the Commission to correct or amend all or any part of that record.
(b) Each individual requesting a correction or amendment shall send the request to the Commission through the person who furnished the record.
(c) Each request for a correction or amendment of a record shall contain the following information:
(1) The name of the individual requesting the correction or amendment;
(2) The name of the system of records in which the record sought to be amended is maintained;
(3) The location of the system of records from which the individual record was obtained;
(4) A copy of the record sought to be amended or corrected or a sufficiently detailed description of that record;
(5) A statement of the material in the record that the individual desires to correct or amend;
(6) A statement of the basis for the requested correction or amendment including any material that the individual can furnish to substantiate the reasons for the correction or amendment sought.
(a) The Commission shall, not later than ten (10) days (excluding Saturdays, Sundays and legal holidays) after the receipt of the request for a correction or amendment of a record under § 1.7, acknowledge receipt of the request and inform the individual whether information is required before the correction or amendment can be considered.
(b) If no additional information is required, within ten (10) days from receipt of the request, the Commission shall either make the requested correction or amendment or notify the individual of its refusal to do so, including in the notification the reasons for the refusal, and the appeal procedures provided in § 1.9.
(c) The Commission shall make each requested correction or amendment to a record if that correction or amendment will tend to negate inaccurate, irrelevant, untimely, or incomplete matter in the record.
(d) The Commission shall inform prior recipients of any amendment or correction or notation of dispute of such individual's record if an accounting of the disclosure was made. The individual may request a list of prior recipients if an accounting of the disclosure was made.
(a) Any individual whose request for a correction or amendment has been denied in whole or in part, may appeal that decision to the Commissioners no later than one hundred eighty (180) days after the adverse decision is rendered.
(b) The appeal shall be in writing and shall contain the following information:
(1) The name of the individual making the appeal;
(2) Identification of the record sought to be amended;
(3) The record system in which that record is contained;
(4) A short statement describing the amendment sought; and
(5) The name and location of the agency official who initially denied the correction or amendment.
(c) Not later than thirty (30) days (excluding Saturdays, Sundays and legal holidays) after the date on which the Commission receives the appeal, the Commissioners shall complete their review of the appeal and make a final decision thereon. However, for good cause shown, the Commissioners
(d) After review of an appeal, the Commission shall send a written notice to the requestor containing the following information:
(1) The decision and, if the denial is upheld, the reasons for the decision;
(2) The right of the requestor to institute a civil action in a Federal District Court for judicial review of the decision; and
(3) The right of the requestor to file with the Commission a concise statement setting forth the reasons for his or her disagreement with the Commission denial of the correction or amendment. The Commission shall make this statement available to any person to whom the record is later disclosed, together with a brief statement, if appropriate, of the Commission's reasons for denying the requested correction or amendment. The Commission shall also send a copy of the statement to prior recipients of the individual's record if an accounting of the disclosures was made.
(a) Any individual who desires to have a record covered by this part disclosed to or mailed to another person may designate such person and authorize such person to act as his or her agent for that specific purpose. The authorization shall be in writing, signed by the individual and notarized or witnessed as provided in § 1.4(c).
(b) The parent of any minor individual or the legal guardian of any individual who has been declared by a court of competent jurisdiction to be incompetent, due to physical or mental incapacity or age, may act on behalf of that individual in any matter covered by this part. A parent or guardian who desires to act on behalf of such an individual shall present suitable evidence of parentage or guardianship, by birth certificate, certified copy of a court order, or similar documents, and proof of the individual's identity in a form that complies with § 1.4(c) of this part.
(c) An individual to whom a record is to be disclosed in person, pursuant to this part may have a person of his or her own choosing accompany him or her when the record is disclosed.
(a) The Commission shall not charge an individual for the costs of making a search for a record or the costs of reviewing the record. When the Commission makes a copy of a record as a necessary part of the process of disclosing the record to an individual, the Commission shall not charge the individual for the cost of making that copy.
(b) If an individual requests the Commission to furnish a copy of the record, the Commission shall charge the individual for the costs of making the copy. The fee that the Commission has established for making a copy is ten cents ($.10) per page.
Any person who makes a false statement in connection with any request for a record, or an amendment or correction thereto, under this part, is subject to the penalties prescribed in 18 U.S.C. 494 and 495.
(a) No individual, under the provisions of these regulations, shall be entitled to access to materials compiled in its systems of records identified as FEC audits and investigations (FEC 2) or FEC compliance actions (FEC 3). These exempted systems relate to the Commission's power to exercise exclusive civil jurisdiction over the enforcement of the Act under 2 U.S.C. 437d(a)(6) and (e); and to defend itself in actions filed against it under 2 U.S.C. 437d(a)(6). Further the Commission has a duty to investigate violations of the Act under 2 U.S.C. 437g(a)(2); to conduct audits and investigations pursuant to 2 U.S.C. 438(b); 26 U.S.C. 9007 and 9038; and to refer apparent violations of the Act to the Attorney General or other law enforcement authorities under 2 U.S.C. 437g(a)(5) and 437d(9). Information contained in FEC systems 2
(b) (1) Pursuant to 5 U.S.C. 552a(j)(2), records contained in FEC 12, Office of Inspector General Investigative Files, are exempt from the provisions of 5 U.S.C. 552a, except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11) and (f) , and the corresponding provisions of 11 CFR part 1, to the extent this system of records relates in any way to the enforcement of criminal laws.
(2) Pursuant to 5 U.S.C. 552a(k)(2), FEC 12, Office of Inspector General Investigative Files, is exempt from 552a (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f), and the corresponding provisions of 11 CFR part 1, to the extent the system of records consists of investigatory material compiled for law enforcement purposes, except for material that falls within the exemption included in paragraph (b)(1) of this section.
(c) The provisions of paragraph (a) of this section shall not apply to the extent that application of the subsection would deny any individual any right, privilege or benefit to which he or she would otherwise be entitled to receive.
Sec. 3(a), Pub. L. 94-409, 5 U.S.C. 552b.
These regulations are promulgated pursuant to the directive of 5 U.S.C. 552b(g) which was added by section 3(a) of Public Law 94-409, the Government in the Sunshine Act, and specifically implement section 3 of that Act.
(a)
(b)
(c)
(d)
(2) The term
(a) Commissioners shall not jointly conduct, determine or dispose of Commission business other than in accordance with this part.
(b) Except as provided in 11 CFR 2.4, every portion of every Commission meeting shall be open to public observation.
(c) No additional right to participate in Commission meetings is granted to any person by this part. A meeting is not part of the formal or informal record of decision of the matters discussed therein except as otherwise required by law. Statements of views or expressions of opinions made by Commissioners or FEC employees at meetings are not intended to represent final determinations or beliefs.
(d) Members of the public attending open Commission meetings may use small electronic sound recorders to record the meeting, but the use of other electronic recording equipment and cameras requires advance notice to and coordination with the Commission's Press Officer.
(a)
(1) As required by 2 U.S.C. 437g(a)(12), all Commission meetings, or portions of meetings, pertaining to any notification or investigation that a violation of the Act has occurred, shall be closed to the public.
(2) For the purpose of this section,
(b)
(1) Matters that relate solely to the Commission's internal personnel decisions, or internal rules and practices.
(i) This provision includes, but is not limited to, matters relating to Commission policies on working conditions, or materials prepared predominantly for internal use, the disclosure of which would risk circumvention of Commission regulations; but
(ii) This provision does not include discussions or materials regarding employees' dealings with the public, such as personnel manuals or Commission directives setting forth job functions or procedures;
(2) Financial or commercial information obtained from any person which is privileged or confidential;
(3) Matters which involve the consideration of a proceeding of a formal nature by the Commission against a specific person or the formal censure of any person;
(4) Information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
(5) Investigatory records compiled for law enforcement purposes, or information which if written would be contained in such records, but only to the extent that the production of such records or information would:
(i) Interfere with enforcement proceedings,
(ii) Deprive a person of a right to a fair trial or an impartial adjudication,
(iii) Constitute an unwarranted invasion of personal privacy,
(iv) Disclose the identity of a confidential source,
(v) Disclose investigative techniques and procedures, or
(vi) Endanger the life or physical safety of law enforcement personnel;
(6) Information the premature disclosure of which would be likely to have a considerable adverse effect on the implementation of a proposed Commission action, as long as the Commission has not already disclosed the content or nature of its proposed action, or is not required by law to disclose it prior to final action; or
(7) Matters that specifically concern the Commission's participation in a civil action or proceeding, or an arbitration, or involving a determination on the record after opportunity for a hearing.
(c) Nothwithstanding the applicability of any exemptions set forth in 11 CFR 2.4(b), the Commission may determine that the public interest requires a meeting to be open.
(a)
(b)
(c)
(i) A separate vote shall be taken with respect to each item on an agenda proposed to be closed in whole or in part pursuant to 11 CFR 2.4, or with respect to any information proposed to be withheld under 11 CFR 2.4.
(ii) A single vote may be taken with respect to a particular matter to be discussed in a series of closed meetings, or with respect to any information concerning such series of meetings, so long as each meeting in the series is scheduled to be held no more than 30 days after the initial meeting.
(iii) This section shall not affect the Commission's practice of setting dates for closed meetings more than 30 days in advance of such meetings.
(2) The Commission Secretary shall record the vote of each Commissioner participating in the vote. No proxies, written or otherwise, shall be counted.
(3)(i) A Commissioner may object to a recommendation to close the discussion of a particular matter or may assert a claim of exemption for a matter scheduled to be discussed in an open meeting. Such objection or assertion will be discussed by the Commission at the next scheduled closed meeting, to determine whether the matter in question should be discussed in a closed meeting.
(ii) An
(d)
(i) A citation to the provision(s) of 11 CFR 2.4 under which the meeting was closed to public observation and an explanation of why the specific discussion comes within the cited exemption(s);
(ii) The vote of each Commissioner participating in the vote;
(iii) A list of the names of all persons expected to attend the closed meeting and their affiliation. For purposes of this section, affiliation means title or position, and name of employer, and in the case of a representative, the name of the person represented. In the case of Commission employees, the statement will reflect, through the use of titles rather than individual names, that the Commissioners, specified division heads and their staff will attend; and
(iv) The signature of the Commission Secretary.
(2) The original copy of the statement shall be maintained by the Commission Secretary. A copy shall be posted on a public bulletin board located in the Commission's Public Records Office.
(e)
(1) The request must be made in writing and shall be directed to the Chairman of the Commission.
(2) The request shall identify the provisions of 11 CFR 2.4 under which the requestor seeks to close all or a portion of the meeting.
(3) A recorded vote to close the meeting or a portion thereof shall be taken.
(4) Requests made under this section shall become part of the official record of the underlying matter and shall be disclosed in accordance with 11 CFR 2.6 on completion of the matter.
(5) If the Commission decides to approve a request to close, the Commission will then follow the procedures for closing a meeting set forth in 11 CFR 2.5 (a) through (d).
(a) The Commission Secretary shall maintain a complete transcript or electronic recording adequate to record fully the proceedings of each meeting, or portion of a meeting, closed to public observation. An electronic recording of a meeting shall be coded, or other records shall be kept in a manner adequate to identify each speaker.
(b)(1) In the case of any meeting closed pursuant to 11 CFR 2.4(b), as the last item of business, the Commission will determine which, if any, portions of the electronic recording or transcript and which if any, items of information withheld under 11 CFR 2.5 contain information which should be withheld pursuant to 11 CFR 2.4.
(2) Portions of transcripts or recordings determined to be outside the scope of any exemptions under 11 CFR 2.6(b)(1) shall be promptly made available to the public through the Commission's Public Records Office at a cost sufficient to cover the Commission's actual cost of duplication or transcription. Requests for such copies shall be made and processed in accordance with the provisions of 11 CFR part 5.
(3) Portions of transcripts or electronic recordings not made available immediately pursuant to 11 CFR 2.6(b)(1), and portions of transcripts or recordings withheld pursuant to 11 CFR 2.4(a), will be made available on request when the relevant exemptions no longer apply. Such materials shall be requested and processed under the provisions of 11 CFR 2.6(b)(2).
(c) A complete verbatim copy of the transcript or a complete electronic recording of each meeting, or portion of a meeting, closed to the public, shall be maintained by the Commission Secretary in confidential files of the Commission, for a minimum of two years subsequent to such meeting, or a minimum of one year after the conclusion of any agency proceeding with respect to which the meeting, or portion of the meeting was held, whichever occurs later.
(a)(1) In the case of each meeting, the Commission shall publicly announce and shall submit such announcement for publication in the
(2) Announcements made under this section shall contain the following information:
(i) The date of the meeting;
(ii) The place of the meeting;
(iii) The subject matter of the meeting;
(iv) Whether the meeting is to be open or closed to the public; and
(v) The name and telephone number of the official designated by the agency to respond to requests for information about the meeting.
(b) The public announcement and submission for publication shall be made when required by 11 CFR 2.7(a) in the case of every Commission meeting unless a majority of the Commissioners decide by recorded vote that Commission business requires that the meeting be called at an earlier date, in which case the Commission shall make at the
(c) The time or place of a meeting may be changed following the public announcement required by 11 CFR 2.7 (a) or (b) only if the Commission announces the change at the earliest practicable time.
(d) The subject matter of a meeting, or the determination of the Commission to open or close a meeting, or portions of a meeting, to the public may be changed following the public announcement required by 11 CFR 2.7 (a) or (b) only if:
(1) A majority of the entire membership of the Commission determines by recorded vote that Commission business so requires and that no earlier announcement of the change was possible; and
(2) The Commission publicly announces the change and the vote of each member upon the change at the earliest practicable time. Immediately following this announcement, the Commission shall submit for publication in the
The Commission shall report annually to Congress regarding its compliance with the requirements of the Government in the Sunshine Act and of this part, including:
(a) A tabulation of the total number of Commission meetings open to the public;
(b) The total number of such meetings closed to the public;
(c) The reasons for closing such meetings; and
(d) A description of any litigation brought against the Commission under the Sunshine Act, including any costs assessed against the Commission in such litigation (whether or not paid by the Commission).
5 U.S.C. 552, as amended.
As used in this part:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
(l)
(m)
(n)
(a) The Commission will make the fullest possible disclosure of records to the public, consistent with the rights of individuals to privacy, the rights of
(b) All Commission records shall be available to the public unless they are specifically exempt under this part.
(c) To carry out this policy, the Commission shall designate a Freedom of Information Act Officer.
The regulations in this part implement the provisions of the Freedom of Information Act, 5 U.S.C. 552, with respect to the availability of records for inspection and copying.
(a) In accordance with 5 U.S.C. 552 (a)(2) and (a)(3) the Commission shall make the following materials available for public inspection and copying:
(1) Statements of policy and interpretation which have been adopted by the Commission;
(2) Administrative staff manuals and instructions to staff that affect a member of the public;
(3) Opinions of Commissioners rendered in enforcement cases and General Counsel's reports and non-exempt 2 U.S.C. 437g investigatory materials in enforcement files will be made available no later than 30 days from the date on which a respondent is notified that the Commission has voted to take no further action and to close such an enforcement file.
(4) Letter requests for guidance and responses thereto;
(5) The minutes of Commission meetings and transcripts made from tapes of Commission meetings;
(6) Material routinely prepared for public distribution, e.g. campaign guidelines, FEC Record, press releases, speeches, notices to candidates and committees.
(7) Proposals submitted in response to a request for proposals formulated pursuant to the Federal Procurement Regulations. 41 CFR 1-1.001
(8) Contracts for services and supplies entered into by the Commission.
(9) Statements and certifications (with respect to closing meetings) as required by the Government in the Sunshine Act, 5 U.S.C. 552b.
(10) Reports of receipts and expenditures, designations of campaign depositories, statements of organization, candidate designations of committees, and the indices compiled from the filings therein.
(11) Requests for advisory opinions, written comments submitted in connection therewith, and responses approved by the Commission.
(12) With respect to enforcement matters, any conciliation agreement entered into between the Commission and any respondent.
(13) Copies of studies published pursuant to the Commission's duty to serve as a national clearinghouse on election law administration.
(14) Audit reports (if discussed in open session).
(15) Agendas for Commission meetings.
(b) Public access to the materials described in subparagraphs (a)(3) and (a)(10) through (a)(15) of this section is also available pursuant to the Federal Election Campaign Act of 1971, as amended, in accordance with the provisions of part 5 of this chapter.
(c) The Commission shall maintain and make available current indexes and supplements providing identifying information regarding any matter issued, adopted or promulgated after April 15, 1975 as required by 5 U.S.C. 552(a)(2)(c). These indexes and supplements shall be published and made available on at least a quarterly basis for public distribution unless the Commission determines by Notice in the
(d) The Freedom of Information Act and the provisions of this part apply only to existing records; they do not require the creation of new records.
(e) If documents or files contain both disclosable and nondisclosable information, the nondisclosable information will be deleted and the disclosable information released unless the disclosable portions cannot be reasonably segregated from the other portions in a manner which will allow meaningful information to be disclosed.
(f) All records created in the process of implementing provisions of 5 U.S.C. 552 will be maintained by the Commission in accordance with the authority granted by General Records Schedule 14, approved by the National Archives and Records Service of the General Services Administration.
(a) No requests under 5 U.S.C. 552 shall be denied release unless the record contains, or its disclosure would reveal, matters that are:
(1) Specifically authorized under criteria established by an executive order to be kept secret in the interest of national defense or foreign policy and are in fact properly classified pursuant to such Executive order;
(2) Related solely to the internal personnel rules and practices of the Commission;
(3) Specifically exempted from disclosure by statute, provided that such statute (A) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (B) establishes particular criteria for withhholding or refers to particular types of matters to be withheld;
(4) Trade secrets and commercial or financial information obtained from a person which are privileged or confidential. Such information includes confidential business information which concerns or relates to the trade secrets, processes, operations, style of works, or apparatus, or to the production, sales, shipments, purchases, transfers, identification of customers, inventories, or amount of source of income, profits, losses, or expenditures of any person, firm, partnership, corporation, or other organization, if the disclosure is likely to have the effect of either impairing the Commission's ability to obtain such information as is necessary to perform its statutory functions, or causing substantial harm to the competitive position of the person, firm, partnership, corporation, or other organization from which the information was obtained, unless the Commission is required by law to disclose such information. These procedures shall be used for submitting business information in confidence:
(i) A request for confidential treatment shall be addressed to the FOIA officer, Federal Election Commission, 999 E Street, NW., Washington, DC 20463, and shall indicate clearly on the envelope that it is a request for confidential treatment.
(ii) With each submission of, or offer to submit, business information which a submitter desires to be treated as confidential under paragraph (a)(4) of this section, the submitter shall provide the following, which may be disclosed to the public: (A) A written description of the nature of the subject information, and a justification for the request for its confidential treatment, and (B) a certification in writing under oath that substantially identical information is not available to the public.
(iii) Approval or denial of requests shall be made only by the FOIA officer or his or her designees. A denial shall be in writing, shall specify the reason therefore, and shall advise the submitter of the right to appeal to the Commission.
(iv) For good cause shown, the Commission may grant an appeal from a denial by the FOIA Officer or his or her designee if the appeal is filed within fifteen (15) days after receipt of the denial. An appeal shall be addressed to the FOIA Officer, Federal Election Commission, 999 E Street, NW., Washington, DC 20463 and shall clearly indicate that it is a confidential submission appeal. An appeal will be decided within twenty (20) days after its receipt (excluding Saturdays, Sundays and legal holidays) unless an extension, stated in writing with the reasons therefore, has been provided the person making the appeal.
(v) Any business information submitted in confidence and determined to be entitled to confidential treatment shall be maintained in confidence by
(vi) Since enforcement actions under 2 U.S.C. 437g are confidential by statute, the procedures outlined in § 4.5(a)(4) (i) thru (v) are not applicable.
(5) Inter-agency or intra-agency memoranda or letters which would not be available by law to a party in litigation with the Commission.
(6) Personnel and medical files and similar files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
(7) Records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or information:
(i) Could reasonably be expected to interfere with enforcement proceedings;
(ii) Would deprive a person of a right to a fair trial or an impartial adjudication;
(iii) Could reasonably be expected to constitute an unwarranted invasion of personal privacy;
(iv) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or foreign agency or authority or any private institution which furnished information on a confidential basis, and, in the case of a record or information compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, information furnished by a confidential source;
(v) Would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions if such disclosure could reasonably be expected to risk circumvention of the law; or
(vi) Could reasonably be expected to endanger the life or physical safety of any individual.
(b) Whenever a request is made which involves access to records described in 11 CFR 4.5(a)(7): and
(1) The investigation or proceeding involves a possible violation of criminal law; and
(2) There is reason to believe that—
(i) The subject of the investigation or proceeding is not aware of its pendency, and
(ii) Disclosure of the existence of the records could reasonably be expected to interfere with enforcement proceedings;
(c) Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt.
(d) If a requested record is one of another government agency or deals with subject matter to which a government agency other than the Commission has exclusive or primary responsibility, the request for such a record shall be promptly referred by the Commission to that agency for disposition or guidance as to disposition.
(e) Nothing in this part authorizes withholding of information or limiting the availability of records to the public, except as specifically provided in this part; nor is this part authority to withhold information from Congress.
The Commission may, in its discretion, release requested records despite the applicability of the exemptions in § 4.5(a), if it determines that it is in the public interest and that the rights of third parties would not be prejudiced.
(a) A request to inspect or copy Commission public records of the type referred to in 11 CFR 4.4(b) may be made
(b) Requests for copies of records pursuant to the Freedom of Information Act shall be addressed to FOIA officer, Federal Election Commission, 999 E Street, NW., Washington, DC 20463. The request shall reasonably describe the records sought with sufficient specificity with respect to names, dates, and subject matter, to permit the records to be located. A requester will be promptly advised if the records cannot be located on the basis of the description given and that further identifying information must be provided before the request can be satisfied.
(c) Records or copies thereof will normally be made available either immediately upon receipt of a request or within ten working days thereafter, or twenty working days in the case of an appeal, unless in unusual circumstances the time is extended or subject to 11 CFR 4.9(f)(3), which governs advance payments. In the event the time is extended, the requestor shall be notified of the reasons for the extension and the date on which a determination is expected to be made, but in no case shall the extended time exceed ten working days. An extension may be made if it is—
(1) Necessary to locate records or transfer them from physically separate facilities; or
(2) Necessary to search for, collect, and appropriately examine a large quantity of separate and distinct records which are the subject of a single request; or
(3) Necessary for consultation with another agency which has a substantial interest in the determination of the request, or with two or more components of the Commission which have a substantial subject matter interest therein.
(d) Any person denied access to records by the Commission shall be notified immediately giving reasons therefore, and notified of the right of such person to appeal such adverse determination to the Commission.
(e) The date of receipt of a request under this part shall be the date on which the FOIA Officer actually receives the request.
(a) Any person who has been notified pursuant to § 4.6(d) of this part that his/her request for inspection of a record or for a copy has been denied, or who has received no response within ten working days (or within such extended period as is permitted under § 4.7(c) of this part) after the request has been received by the Commission, may appeal the adverse determination or the failure to respond by requesting the Commission to direct that the record be made available.
(b) The appeal request shall be in writing, shall clearly and prominently state on the envelope or other cover and at the top of the first page “FOIA Appeal”, and shall identify the record in the form in which it was originally requested.
(c) The appeal request should be delivered or addressed to the FOIA Officer, Federal Election Commission, 999 E Street, NW., Washington, DC 20463.
(d) The requestor may state facts and cite legal or other authorities as he/she deems appropriate in support of the appeal request.
(e) For good cause shown, the Commission may disclose a record which is subject to one of the exemptions listed in § 4.5 of this part.
(f) The Commission will make a determination with respect to any appeal within twenty days (excluding Saturdays, Sundays and legal holidays) after receipt of the appeal (or within such extended period as is permitted under § 4.7(c) of this part). If on appeal, the denial of the request for a record or a copy is in whole or in part upheld, the Commission shall advise the requestor of the denial and shall notify him/her of the provisions for judicial review of that determination as set forth in 5 U.S.C. 552(a)(4).
(g) Because of the risk of misunderstanding inherent in oral communications, the Commission will not entertain any appeal from an alleged denial
(a)
(2)
(3)
(4)
(b)
(2) A request for a reduction or waiver of fees shall be made in writing by the FOIA requestor; shall accompany the relevant FOIA request so as to be considered timely; and shall include a specific explanation as to why the fee for that FOIA request should be reduced or waived, applying the standard stated in paragraph (b)(1) of this section to the facts of that particular request. In addition, the explanation shall include: the requester's (and user's, if the requester and the user are different persons or entities) identity, qualifications and expertise in the subject area, and ability and intention to disseminate the information to the public; and a discussion of any commercial or personal benefit that the requestor (and user, if the requestor and user are different persons or entities) expects as a result of disclosure, including whether the information disclosed would be resold in any form at a fee above actual cost.
(c)
(i)
(ii)
(iii)
(iv)
(2) The Commission may assess fees for the full allowable direct costs of searching for documents in response to a request even if the Commission fails to locate any documents which are responsive to that request and, in the case of commercial use requestors, of reviewing documents located in response to a request which the Commission determines are exempt from disclosure.
(3) If the Commission estimates that search or duplication charges are likely to exceed $25.00, it will notify the requestor of the estimated amount of the fee unless the requestor has indicated in advance a willingness to pay a fee as high as that estimated by the Commission. Through this notification, the Commission will offer the requestor the opportunity to confer with Commission staff to reformulate the original request in order to meet the requestor's needs at a lower cost.
(4) The following is the schedule of the Commission's standard fees. The cost of staff time will be added to all of the following fees, generally at the
(5) Upon receipt of any request for the production of computer tape or microfilm, the Commission will advise the requestor of the identity of the private contractor who will perform the duplication services. If fees are charged for the production of computer tape or microfilm, they shall be made payable to that private contractor and shall be forwarded to the Commission.
(d)
(e)
(f)
(1) The Commission estimates or determines that allowable charges that a requestor may be required to pay are likely to exceed $250. In such a case, the Commission will notify the requestor of the likely cost and, where the requestor has a history of prompt payment of FOIA fees, obtain satisfactory assurance of full payment, or in the case of a requestor with no FOIA fee payment history, the Commission will require an advance payment of an amount up to the full estimated charges; or
(2) A requestor has previously failed to pay a fee in a timely fashion (i.e., within 30 days of the date of the billing). In such a case, the Commission may require that the requestor pay the full amount owed plus any applicable interest or demonstrate that the fee has been paid and make an advance payment of the full amount of the estimated fee before the Commission begins to process a new request or a pending request from that requestor.
(3) If the provisions of paragraph (f)(1) or (2) of this section apply, the administrative time limits prescribed in 11 CFR 4.7(c) will begin only after the
2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), 438(a), and 31 U.S.C. 9701.
(a)
(b)
(c)
(d)
(e)
(f)
(a) The Commission will make the fullest possible disclosure of records to the public, consistent with the rights of individuals to privacy, the rights of persons contracting with the Commission with respect to trade secrets and commercial or financial information entitled to confidential treatment, and the need for the Commission to promote free internal policy deliberations and to pursue its official activities without undue disruption.
(b) Nothing herein shall be deemed to restrict the public availability of Commission records falling outside provisions of the Act, or to restrict such public access to Commission records as is available pursuant to the Freedom of Information Act and the rules set forth as part 4 of this chapter.
(a) The regulations in this part implement the provisions of 2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), and 438(a).
(b) Public access to such Commission records as are subject to the collateral provisions of the Freedom of Information Act and are not included in the material subject to disclosure under this part (described in 11 CFR 5.4(a)) shall be governed by the rules set forth as part 4 of this chapter.
(a) In accordance with 2 U.S.C. 438(a), the Commission shall make the following material available for public inspection and copying through the Commission's Public Disclosure Division:
(1) Reports of receipts and expenditures, designations of campaign depositories, statements of organization, candidate designations of campaign committees and the indices compiled from the filings therein.
(2) Requests for advisory opinions, written comments submitted in connection therewith, and responses issued by the Commission.
(3) With respect to enforcement matters, any conciliation agreement entered into between the Commission and any respondent.
(4) Opinions of Commissioners rendered in enforcement cases and General Counsel's reports and non-exempt 2 U.S.C. 437g investigatory materials in enforcement files will be made available no later than 30 days from the date on which a respondent is notified that the Commission has voted to take
(b) The provisions of this part apply only to existing records; nothing herein shall be construed as requiring the creation of new records.
(c) In order to ensure the integrity of the Commission records subject to the Act and the maximum availability of such records to the public, nothing herein shall be construed as permitting the physical removal of any Commission records from the public facilities maintained by the Public Disclosure Division other than copies of such records obtained in accordance with the provisions of this part.
(d) Release of records under this section is subject to the provisions of 5 U.S.C. 552a.
(a) A request to inspect or copy those public records described in 11 CFR 5.4(a) may be made in person or by mail. The Public Disclosure Division is open Monday through Friday between the hours of 9 a.m. and 5 p.m. and is located on the first floor, 999 E Street, NW., Washington, DC 20463.
(b) Each request shall describe the records sought with sufficient specificity with respect to names, dates and subject matter to permit the records to be located with a reasonable amount of effort. A requester will be promptly advised if the requested records cannot be located on the basis of the description given and that further identifying information must be provided before the request can be satisfied.
(c) Requests for copies of records not available through the Public Disclosure Division shall be addressed to the FOIA Officer, Federal Election Commission, 999 E Street, NW., Washington, DC 20463. Requests for Commission records not described in 11 CFR 5.4(a) shall be treated as requests made pursuant to the Freedom of Information Act (5 U.S.C. 552) and shall be governed by 11 CFR part 4. In the event that the Public Disclosure Division receives a written request for access to materials not described in 11 CFR 5.4(a), it shall promptly forward such request to the Commission FOIA Officer for processing in accordance with the provisions of part 4 of this chapter.
(a)(1) Fees will be charged for copies of records which are furnished to a requester under this part and for the staff time spent in locating and reproducing such records. The fees to be levied for services rendered under this part shall not exceed the Commission's direct cost of processing requests for those records computed on the basis of the actual number of copies produced and the staff time expended in fulfilling the particular request, in accordance with the following schedule of standard fees:
(2) Upon receipt of any request for the production of computer tape or microfilm, the Commission will advise the requester of the identity of the private contractor who will perform the duplication services. The fee for the production of computer tape or microfilm shall be made payable to that private contractor and shall be fowarded to the Commission.
(b) Commission publications for which fees will be charged under 11 CFR 5.6(a) include, but are not limited to, the following:
(c) In the event the anticipated fees for all pending requests from the same requester exceed $25.00, records will not be searched, nor copies furnished, until the requester pays, or makes acceptable arrangements to pay, the total amount due.
Similarly, if the records requested require the production of microfilm or of computer tapes, the Commission will not instruct its contractor to duplicate the records until the requester has submitted payment as directed or has made acceptable arrangements to pay the total amount due. If any fee is not precisely ascertainable, an estimate will be made by the Commission and the requester will be required to forward the fee so estimated. In the event any advance payment differs from the actual fee, an appropriate adjustment will be made at the time the copies are made available by the Commission.
(d) The Commission may reduce or waive payments of fees hereunder if it determines that such waiver or reduction is in the public interest because the furnishing of the requested information to the particular requester involved can be considered as primarily benefiting the general public as opposed to primarily benefiting the person or organization requesting the information.
29 U.S.C. 794.
The purpose of this part is to effectuate section 119 of the Rehabilitation, Comprehensive Services, and Developmental Disabilities Amendments of 1978, which amended section 504 of the Rehabilitation Act of 1973 to prohibit discrimination on the basis of handicap in programs or activities conducted by Executive agencies or the United States Postal Service.
This part applies to all programs or activities conducted by the Commission.
For purposes of this part, the term—
(a)
(b)
(c)
(d)
(e)
(1)
(i) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: Neurological; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive; digestive; genitourinary; hemic and lymphatic; skin; and endocrine; or
(ii) Any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities. The term
(2)
(3)
(4)
(i) Has a physical or mental impairment that does not substantially limit major life activities but is treated by the Commission as constituting such a limitation;
(ii) Has a physical or mental impairment that substantially limits major life activities only as a result of the attitudes of others toward such impairment; or
(iii) Has none of the impairments defined in 11 CFR 6.103(e)(1) but is treated by the agency as having such an impairment.
(f)
(1) With respect to any Commission program or activity under which a person is required to perform services or to achieve a level of accomplishment, a handicapped person who, with reasonable accommodation, meets the essential eligibility requirements and who can achieve the purpose of the program or activity; and
(2) With respect to any other program or activity, a handicapped person who meets the essential eligibility requirements for participation in, or receipt of benefits from, that program or activity.
(g)
(a) Within one year of the effective date of this part, the Commission will conduct, with the assistance of interested persons, including handicapped persons and organizations representing handicapped persons, and evaluation of its compliance with section 504. This evaluation will include a determination of whether the Commission's policies and practices, and the effects thereof, meet the requirements of this part and whether modification of any such policies or practices is required to comply with section 504. If modification of any policy or practice is found to be required as a result of this evaluation, the Commission will proceed to make the necessary modifications.
(b) For at least three years following completion of the evaluation required under paragraph (a), the Commission will maintain on file and make available for public inspection:
(1) A list of the interested persons consulted;
(2) A description of areas examined and any problems identified; and
(3) A description of any modifications made.
The Commission will make available to employees, applicants, participants, beneficiaries, and other interested persons information regarding the provisions of this part and its applicability to the programs or activities conducted by the Commission. The Commission will make such information available to them in a manner it finds necessary to effectively apprise such persons of the protections against discrimination assured them by section 504 and the provisions of this part.
(a) No qualified handicapped person shall, on the basis of handicap, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity conducted by the Commission.
(b)(1) The Commission, in providing any aid, benefit, or service, may not, directly or through contractual, licensing, or other arrangements, on the basis of handicap—
(i) Deny a qualified handicapped person the opportunity to participate in or benefit from the aid, benefit, or service;
(ii) Afford a qualified handicapped person an opportunity to participate in or benefit from the aid, benefit, or service that is not equal to that afforded others;
(iii) Provide a qualified handicapped person with an aid, benefit, or service that is not as effective in affording equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement as that provided to others;
(iv) Provide different or separate aids, benefits, or services to handicapped persons or to any class of handicapped persons than is provided to others unless such action is necessary to provide qualified handicapped persons with aids, benefits, or services that are as effective as those provided to others;
(v) Aid or perpetuate discrimination against a qualified handicapped person by providing significant assistance to an agency, organization, or person that discriminates on the basis of handicap in providing any aid, benefit, or service to beneficiaries of the recipient's program, except that this paragraph does not apply to candidates or conventions receiving public financing under title 26, United States Code;
(vi) Deny a qualified handicapped person the opportunity to participate as a member of planning or advisory boards; or
(vii) Otherwise limit a qualified handicapped person in the enjoyment of any right, privilege, advantage, or opportunity enjoyed by others receiving the aid, benefit, or service.
(2) The Commission may not deny a qualified handicapped person the opportunity to participate in programs or activities that are not separate or different, despite the existence of permissibly separate or different programs or activities.
(3) The Commission may not, directly or through contractual or other arrangements, utilize criteria or methods of administration the purpose or effect of which would—
(i) Subject qualified handicapped persons to discrimination on the basis of handicap;
(ii) Defeat or substantially impair accomplishment of the objectives of a program or activity with respect to handicapped persons; or
(iii) Perpetuate the discrimination of another agency.
(4) The Commission may not, in determining the site or location of a facility, make selections the purpose or effect of which would—
(i) Exclude handicapped persons from, deny them the benefits of, or otherwise subject them to discrimination under any program or activity conducted by the Commission; or
(ii) Defeat or substantially impair the accomplishment of the objectives of a program or activity with respect to handicapped persons.
(5) The Commission, in the selection of procurement contractors, may not use criteria that subject qualified handicapped persons to discrimination on the basis of handicap.
(6) The Commission may not administer a certification program in a manner that subjects qualified handicapped persons to discrimination on the basis of handicap, nor may the Commission establish requirements for the programs or activities of certified entities that subject qualified handicapped persons to discrimination on the basis of handicap. However, the programs or activities of entities that are certified by the Commission are not, themselves, covered by this part.
(c) The exclusion of nonhandicapped persons from the benefits of a program limited by Federal statute or Executive order to handicapped persons or the exclusion of a specific class of
(d) The Commission will administer programs and activities in the most integrated setting appropriate to the needs of qualified handicapped persons.
No qualified handicapped person shall, on the basis of handicap, be subjected to discrimination in employment under any program or activity conducted by the Commission. The definitions, requirements, and procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as established in 29 CFR part 1613, shall apply to employment in federally conducted programs or activities.
Except as otherwise provided in 11 CFR 6.150 and 11 CFR 6.151, no qualified handicapped person shall be denied the benefits of, be excluded from participation in, or otherwise be subjected to discrimination under any program or activity conducted by the Commission because its facilities are inaccessible to or unusable by handicapped persons.
(a)
(1) Necessarily require the Commission to make each of its existing facilities accessible to and usable by handicapped persons;
(2) Require the Commission to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and administrative burdens. The Commission has the burden of proving that compliance with 11 CFR 6.150(a) would result in such alterations or burdens. The decision that compliance would result in such alteration or burdens must be made by the Commission after considering all agency resources available for use in the funding and operation of the conducted program or activity, and must be accompanied by a written statement of the reasons for reaching that conclusion. If an action would result in such an alteration or such burdens, the Commission will take any other action that would not result in such an alteration or such a burden but would nevertheless ensure that handicapped persons receive the benefits and services of the program or activity.
(b)
(c)
(d)
(1) Identify physical obstacles in the Commission's facilities that limit the accessibility of its programs or activities to handicapped persons;
(2) Describe in detail the methods that will be used to make the facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve compliance with this section and, if the time period of the transition plan is longer than one year, identify steps that will be taken during each year of the transition period;
(4) Indicate the official responsible for implementation of the plan; and
(5) Identify the persons or groups with whose assistance the plan was prepared.
Each building or part of a building that is constucted or altered by, on behalf of, or for the use of the Commission shall be designed, constructed, or altered so as to be readily accessible to and usable by handicapped persons. The definitions, requirements, and standards of the Architectural Barriers Act, 42 U.S.C. 4151-4157, as established in 41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this section.
(a) The Commission will take appropriate steps to ensure effective communication with applicants, participants, personnel of other Federal entities, and members of the public.
(1) The Commission will furnish appropriate auxiliary aids where necessary to afford a handicapped person an equal opportunity to participate in, and enjoy the benefits of, a program or activity conducted by the Commission.
(i) In determination what type of auxiliary aid is necessary, the Commission will give primary consideration to the requests of the handicapped person.
(ii) The Commission need not provide individually prescribed devices, readers for personal use or study, or other devices of a personal nature.
(2) Where the Commission communicates with applicants and beneficiaries by telephone, telecommunications devices for deaf persons (TDD's), or equally effective telecommunication systems will be used.
(b) The Commission will ensure that interested persons, including persons with impaired vision or hearing, can obtain information as to the existence and location of accessible services, activities, and facilities.
(c) The Commission will provide signage at a primary entrance to each of its inaccessible facilities, directing users to a location at which they can obtain information about accessible facilities. The international symbol for accessibility shall be used at each primary entrance of an accessible facility.
(d) The Commission will take appropriate steps to provide handicapped persons with information regarding their section 504 rights under the Commission's programs of activities.
(e) This section does not require the Commission to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and administrative burdens. The Commission has the burden of proving that compliance with this section would result in such alterations or burdens. The decision that compliance would result in such alteration or burdens must be made by the Commission after considering all agency resources available for use in the funding and operation of the conducted program or activity, and must be accompanied by a written statement of the reasons for reaching that conclusion. If an action required to comply with this section would result in such an alteration or such burdens, the Commission will take any other action that would not result in such an alteration or such a burden but would nevertheless ensure
(a) Except as provided in paragraph (b) of this section, this section applies to all allegations of discrimination on the basis of handicap in programs or activities conducted by the Commission.
(b) The Commission will process complaints alleging violations of section 504 with respect to employment according to the procedures established in 29 CFR part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791).
(c) Responsibility for implementation and operation of this section shall be vested in the Rehabilitation Act Officer.
(d)(1)(i) Any person who believes that he or she or any specific class of persons of which he or she is a member has been subjected to discrimination prohibited by this part may file a complaint with the Rehabilitation Act Officer.
(ii) Any person who believes that a denial of his or her services will result or has resulted in discrimination prohibited by this part may file a complaint with the Rehabilitatin Act Officer.
(2) All complete complaints must be filed within 180 days of the alleged act of discrimination. The Commission may extend this time period for good cause.
(3) Complaints filed under this part shall be addressed to the Rehabilitation Act Officer, 999 E Street, NW., Washington, DC 20463.
(e) The Commission will notify the Architectural and Transportation Barriers Compliance Board upon receipt of any complaint alleging that a building or facility that is subject to the Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 792), are not readily accessible and usable to handicapped persons.
(f)(1) The Commission will accept and investigate a complete complaint that is filed in accordance with paragraph (d) of this section and over which it has jurisdiction. The Rehabilitation Act Officer will notify the complainant and the respondent of receipt and acceptance of the complaint.
(2) If the Rehabilitation Act Officer receives a complaint that is not complete (See 11 CFR 6.101(c)), he or she will notify the complainant within 30 days of receipt of the incomplete complaint, that additional information is needed. If the complainant fails to complete the complaint within 30 days of receipt of this notice, the Rehabilitation Act Officer will dismiss the complaint without prejudice.
(3) If the Rehabilitation Act Officer receives a complaint over which the Commission does not have jurisdiction, the Commission will promptly notify the complainant and will make reasonable efforts to refer the complaint to the appropriate governmental entity.
(g) Within 180 days of receipt of a complete complaint for which it has jurisdiction, the Commission will notify the complainant of the results of the investigation in a letter containing—
(1) Findings of fact and conclusions of law;
(2) A description or a remedy for each violation found; and
(3) A notice of the right to appeal.
(h) Appeals of the findings of fact and conclusions of law or remedies must be filed by the complainant within 90 days of receipt from the Commission of the letter required by § 6.170(g). The Commission may extend this time for good cause.
(i) Timely appeals to the Commission shall be addressed to the Rehabilitation Act Officer, Federal Election Commission, 999 E Street, NW., Washington, DC 20463.
(j) The Commission will notify the complainant of the results of the appeal within 60 days of the receipt of the request. If the Commission determines that it needs additional information from the complainant, it shall have 60 days from the date it receives the additional information to make its determination on the appeal.
(k) The Commission may extend the time limits in paragraphs (g) and (j) of this section for good cause.
(l) The Commission may delegate its authority for conducting complaint investigations to other Federal agencies, except that the authority for making the final determination may not be delegated.
5 U.S.C. 7321
(a) The Federal Election Commission is committed to honest, independent and impartial monitoring and enforcement of federal election law. To ensure public trust in the fairness and integrity of the federal elections process, all employees must observe the highest standards of conduct. This part prescribes standards of ethical conduct for Commissioners, employees and special Government employees of the Federal Election Commission relating to conflicts of interest arising out of outside employment, private business and professional activities, political activities, and financial interests. The avoidance of misconduct and conflicts of interest on the part of Commission employees through informed judgment is indispensable to the maintenance of these prescribed ethical standards. Attainment of these goals necessitates strict and absolute fairness and impartiality in the administration of the law.
(b) This part applies to all persons included within the terms
(c) These Standards of Conduct shall be construed in accordance with any applicable laws, regulations and agreements between the Federal Election Commission and a labor organization.
As used in this part:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(a) The provisions of this part shall be brought to the attention of, and made available to, each employee and special Commission employee by furnishing a copy at the time of final publication. The provisions of this part shall further be brought to the attention of such employees at least annually thereafter.
(b) The provisions of this part shall be brought to the attention of each new employee and new special Commission employee by furnishing a copy at the time of entrance of duty, and by such other methods of information and education as the Ethics Officer may prescribe.
A Commissioner or employee seeking advice and guidance on questions of conflict of interest and on other matters covered by this part should consult with the Commission's General Counsel, who serves as Ethics Officer. The Ethics Officer should be consulted prior to the undertaking of any action which might violate this part governing the conduct of Commissioners or employees.
(a) Personnel who have information which causes them to believe that there has been a violation of a statute or policy set forth in this part should promptly report such incident to the Ethics Officer. If a report is made orally, the Ethics Officer shall require a written report from the complainant before proceeding further.
(b) When information available to the Commission indicates a conflict between the interests of an employee or special Commission employee and the performance of his or her Commission duties, the employee or special Commission employee shall be provided an opportunity to explain the conflict or appearance of conflict in writing.
(a) A violation of this part by an employee or special Commission employee
(b) When the Ethics Officer determines that an employee may have or appears to have a conflict of interest, the Ethics Officer, the employee's supervisor, the employee's division head, and the Staff Director or General Counsel may question the employee in the matter and gather other information. The Ethics Officer, the employee's supervisor, the employee's division head, and the Staff Director or General Counsel shall discuss with the employee possible ways of eliminating the conflict or appearance of conflict. If the Ethics Officer, after consultation with the employee's supervisor, the employee's division head, and the Staff Director or General Counsel, concludes that remedial action should be taken, he or she shall refer a statement to the Commission containing his or her recommendation for such action. The Commission, after consideration of the employee's explanation and the results of any investigation, may direct appropriate remedial action as it deems necessary.
(c) Remedial action pursuant to paragraph (b) of this section may include, but is not limited to:
(1) Changes in assigned duties;
(2) Divestment by the employee of his or her conflicting interest;
(3) Disqualification for a particular action; or
(4) Disciplinary action.
A Commissioner or employee shall avoid any action whether or not specifically prohibited by this subpart which might result in, or create the appearance of:
(a) Using public office for unlawful private gain;
(b) Giving favorable or unfavorable treatment to any person or organization due to any partisan, political, or other consideration;
(c) Impeding Government efficiency or economy;
(d) Losing independence or impartiality;
(e) Making a Government decision outside official channels; or
(f) Affecting adversely the confidence of the public in the integrity of the Government.
(a) A Commissioner or employee of the Federal Election Commission shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from a person who:
(1) Has, or is seeking to obtain, contractual or other business or financial relations with the Commission;
(2) Conducts operations or activities that are regulated or examined by the Commission; or
(3) Has interests that may be substantially affected by the performance or nonperformance of the Commissioner or employee's official duty.
(b) Paragraph (a) of this section shall not apply:
(1) Where obvious family or personal relationships govern when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors;
(2) To the acceptance of food, refreshments, and accompanying entertainment of nominal value in the ordinary course of a social occasion or a luncheon or dinner meeting or other function where a Commissioner or an employee is properly in attendance;
(3) To the acceptance of unsolicited advertising or promotional material or other items of nominal intrinsic value such as pens, pencils, note pads, calendars; and
(4) To the acceptance of loans from banks or other financial institutions on customary terms to finance proper and usual activities, such as home mortgage loans.
(c) A Commissioner or an employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than himself or herself. However, this
(d) A Commissioner or employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the Constitution and in section 7342 of title 5, United States Code.
(e) Neither this section nor 11 CFR 7.7 precludes a Commissioner or employee from receipt of a bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part for which no Government payment or reimbursement is made. However, this section does not allow an employee or Commissioner to be reimbursed, or payment to be made on his or her behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits, nor does it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by Decision B-128527 of the Comptroller General dated March 7, 1967 (46 Comp. Gen. 689).
(a) A member of the Commission shall not devote a substantial portion of his or her time to any other business, vocation, or employment. Any individual who is engaging substantially in any other business, vocation, or employment at the time such individual begins to serve as a member of the Commission shall appropriately limit such activity no later than 90 days after beginning to serve as such a member.
(b) An employee shall not engage in outside employment that is not compatible with the full discharge of his or her Government employment and not in compliance with any labor-management agreement between the Federal Election Commission and a labor organization. Incompatible outside employment or other activities include but are not limited to:
(1) Outside employment or other activities which would involve the violation of a Federal or State statute, local ordinance, Executive Order, or regulation to which the employee is subject;
(2) Outside employment or other activities which would give rise to a real or apparent conflict of interest situation even though no violation of a specific statutory provision was involved;
(3) Acceptance of a fee, compensation, gift, payment of expense, or any other thing of monetary value in circumstances where acceptance may result in, or create the appearance of, a conflict of interest;
(4) Outside employment or other activities that might bring discredit upon the Government or Commission;
(5) Outside employment or other activities that establish relationships or property interests that may result in a conflict between the employee's private interests and official duties;
(6) Outside employment or other activities which would involve any contractor or subcontractor connected with any work performed for the Commission or would involve any person or organization in a position to gain advantage in its dealings with the Government through the employee's exercise of his or her official duties;
(7) Outside employment of other activities that may be construed by the public to be the official acts of the Federal Election Commission. In any permissible outside employment, care shall be taken to ensure that names and titles of employees are not used to give the impression that the activity is officially endorsed or approved by the Commission or is part of the Commission's activities;
(8) Outside employment or other activities which would involve use by an employee of his or her official duty time; use of official facilities, including office space, machines, or supplies, at any time; or use of the services of other employees during their official duty hours;
(9) Outside employment or other activities which tend to impair the employee's mental or physical capacities to perform Commission duties and responsibilities in an acceptable manner; or
(10) Use of information obtained as a result of Government employment which is not freely available to the general public or would not be made
(c) An employee shall not receive any salary or anything of monetary value from a private source as compensation for his or her services to the Government in violation of 18 U.S.C. 209.
(d) Employees are encouraged to engage in teaching, lecturing, and writing that is not prohibited by law, Executive Order 11222, or this part. However, an employee shall not, either for or without compensation, engage in teaching or writing that is dependent on information obtained as a result of his or her Commission employment, except when that information has been made available to the general public or will be made available on request, or when the Commission gives written authorization for the use of nonpublic information on the basis that the use is in the public interest.
(e) This section does not preclude an individual from participation in the affairs of or acceptance of an award for meritorious public contribution or achievement given by a charitable, religious, professional, social, fraternal, nonprofit educational, recreational, public service or civic organization.
(f) An employee of the Office of General Counsel who intends to engage in outside employment shall obtain the approval of the General Counsel/Ethics Officer. All other employees who intend to engage in outside employment shall obtain the approval of the Staff Director prior to review and approval by the Ethics Officer. The request shall include the name of the person, group, or organization for whom the work is to be performed, the nature of the services to be rendered, the proposed hours of work, or approximate dates of employment, and the employee's certification as to whether the outside employment (including teaching, writing or lecturing) will depend in any way on information obtained as a result of the employee's official Government position. The employee will receive notice of approval or disapproval of any written request in accordance with any labor-management agreement between the Commission and a labor organization. A record of the approval shall be placed in each employee's official personnel folder.
(a)(1) A Commissioner or employee shall not engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his or her Commission employment.
(2) A Commissioner or employee shall not have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with his or her Commission duties and responsibilities, except in cases where the Commissioner or employee makes full disclosure, and the Commissioner or employee disqualifies himself or herself from participating in any decisions, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise in any proceeding of the Commission in which the financial interest is or appears to be affected. The filing of public financial disclosure reports will constitute full disclosure for all individuals who are required to file such reports pursuant to the Ethics in Government Act. Until such time as the extent, shape and form of confidential financial disclosure reports required of employees by the Ethics in Government Act has been determined, full disclosure by an employee will require that that employee submit a written statement to the Ethics Officer disclosing the particular financial interest which conflicts substantially, or appears to conflict substantially, with the employee's duties and responsibilities.
(3) A Commissioner or employee should disqualify himself or herself from a proceeding in which his or her impartiality might reasonably be questioned where the Commissioner or employee knows that he or she, or his or her spouse, has an interest in the subject matter in controversy or is a party to the proceeding, or any other interest that could be substantially affected by the outcome of the proceeding.
(b) This section does not preclude a Commissioner or employee from having a financial interest or engaging in financial transactions to the same extent as a private citizen not employed
(a) Due to the Federal Election Commission's role in the political process, the following restrictions on political activities are required in addition to those imposed by the Hatch Act (5 U.S.C. 7324
(1) No Commissioner or employee should publicly support a candidate, political party, or political committee subject to the jurisdiction of the Commission. No Commissioner or employee should work for a candidate, political party or political committee subject to the jurisdiction of the Commission. Commissioners and employees should be aware that contributing to candidates, political parties, or political committees subject to the jurisdiction of the Commission is likely to result in a conflict of interest.
(2) No Commissioner or employee shall display partisan buttons, badges or other insignia on Commission premises.
(b) Special Government employees are subject to the restrictions contained in this section for the entire 24 hours of any day on which the employee is on active duty status.
(c) Employees on leave, leave without pay, or on furlough or terminal leave, even though the employees' resignations have been accepted, are subject to the restrictions of this section. A separated employee who has received a lump-sum payment for annual leave, however, is not subject to the restrictions during the period covered by the lump-sum payment or thereafter, provided he or she does not return to Federal employment during that period. An employee is not permitted to take a leave of absence to work with a political candidate, committee, or organization or become a candidate for office despite any understanding that he or she will resign his or her position if nominated or elected.
(d) An employee is accountable for political activity by another person acting as his or her agent or under the employee's direction or control if the employee is thus accomplishing what he or she may not lawfully do directly and openly.
Commissioners or employees who are members of nongovernmental associations or organizations shall avoid activities on behalf of those associations or organizations that are incompatible with their official governmental positions.
A Commission or employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. Commissioners and employees have a positive duty to protect and conserve Government property including equipment, supplies, and other property entrusted or issued to him or her.
(a) Commission employees are warned that they are subject to criminal penalties if they discuss or otherwise make public any matters pertaining to a complaint or investigation under 2 U.S.C. 437g, without the written permission of the person complained against or being investigated. Such communications are prohibited by 2 U.S.C. 437g(a)(12)(A).
(b) 2 U.S.C. 437g(a)(12)(B) provides as follows: “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 this subsection shall be fined not more than $5,000.”
In order to avoid the possibility of prejudice, real or apparent, to the public interest in enforcement actions pending before the Commission pursuant to 2 U.S.C. 437g(A) (1) or (2):
(a) Except to the extent required for the disposition of ex parte matters as
(b) The prohibition of this section shall apply from the time a complaint is filed with the Commission pursuant to 2 U.S.C. 437(a)(1) or from the time that the Commission determines on the basis of information ascertained in the normal course of its supervisory responsibilities that it has reason to believe that a violation has occurred or may occur pursuant to 2 U.S.C. 437g(a)(2), and shall remain in force until the Commission has concluded all action with respect to the enforcement matter in question.
(c) Any written communication prohibited by paragraph (a) of this section shall be delivered to the Ethics Officer of the Commission who shall place the communication in the file of the case.
(d) A Commissioner or employee, other than the employee assigned to the case, involved in handling enforcement actions who receives an oral offer or any communication concerning any enforcement action pending before the Commission as described in paragraph (a) of this section shall decline to listen to such communication. If unsuccessful in preventing the communication, the Commissioner or employee shall advise the person making the communication that he or she will not consider the communication and shall prepare a statement setting forth the substance and circumstances of the communication within 48 hours of receipt of the communication and shall deliver the statement to the Ethics Officer for placing in the file in the manner set forth in paragraph (c) of this section.
Each employee shall acquaint himself or herself with each statute that relates to his or her ethical and other conduct as an employee of the Commission and of the Government. In particular, the attention of employees is directed to the following statutory provisions:
(a) Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned.
(b) The prohibition of 18 U.S.C. 1913 against lobbying with appropriated funds.
(c) The prohibitions of 5 U.S.C. 7311 and 18 U.S.C. 1918 against disloyalty and striking.
(d) The prohibition of 50 U.S.C. 784 against the employment of a member of a Communist organization.
(e) The prohibitions against (1) the disclosure of classified information under 18 U.S.C. 798 and 50 U.S.C. 782 and (2) the disclosure of confidential business information under 18 U.S.C. 1905.
(f) The provisions of 5 U.S.C. 7352 relating to the habitual use of intoxicants to excess.
(g) The prohibition of 31 U.S.C. 638a(c) against the misuse of a Government vehicle.
(h) The prohibition of 18 U.S.C. 1719 against the misuse of the franking privilege.
(i) The prohibition of 18 U.S.C. 1917 against the use of deceit in an examination or personnel action in connection with Government employment.
(j) The prohibition of 18 U.S.C. 1001 against fraud or false statements in a Government matter.
(k) The prohibition of 18 U.S.C. 2071 against mutilating or destroying a public record.
(l) The prohibition of 18 U.S.C. 508 against counterfeiting and forging transportion requests.
(m) The prohibitions against
(1) Embezzlement of Government money or property under 18 U.S.C. 641;
(2) Failing to account for public money under 18 U.S.C. 643; and
(3) Embezzlement of the money or property of another person in the possession of an employee by reason of his or her employment under 18 U.S.C 654.
(n) The prohibition of 18 U.S.C. 285 against unauthorized use of documents relating to claims from or by the Government.
(o) The prohibitions against political activities in subchapter III of chapter 73 of title 5, United States Code, and 18 U.S.C 602, 603, 607, and 608.
(p) The prohibition of 18 U.S.C. 219 against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act.
(q) The prohibition of 18 U.S.C. 207 against certain activities of departing and former employees.
(r) The prohibition of 18 U.S.C. 208 against certain acts affecting a personal financial interest.
A special Commission employee shall not use his or her Commission employment for a purpose that is, or gives the appearance of being, motivated by a desire for unlawful private gain for himself or herself, or for another person, particularly one with whom the employee has family, business or financial ties.
(a) A special Commission employee shall not use inside information obtained as a result of his or her Commission employment for unlawful private gain for himself or herself, or for another person, either by direct action on the employee's part or by counsel, recommendation, or suggestion to another person, particularly one with whom the employee has family, business, or financial ties. For the purpose of this section,
(b) A special Commission employee may teach, lecture, or write in a manner consistent with 11 CFR 7.9(d) and (e).
A special Commission employee shall not use his or her Commission employment to coerce, or give the appearance of coercing, a person to provide unlawful financial benefit to himself or herself or to another person, particularly one with whom the employee has family, business, or financial ties.
Except as provided at 11 CFR 7.8(b), a special Commission employee, while so employed or in connection with his or her employment, shall not receive or solicit from a person having business with the Commission anything of value such as a gift, gratuity, loan, entertainment, or favor for himself or herself, or for another person, particularly one with whom the employee has family, business, or financial ties.
Each special Commission employee shall acquaint himself or herself with each statute that relates to his or her ethical or other conduct as a special Commission employee. Particular attention should be directed to the statutory provisions listed in 11 CFR 7.16.
The following are procedures to be followed by the Federal Election Commission in investigating and administratively correcting violations of the post employment conflict of interest provisions contained in 18 U.S.C. 207 (a), (b), and (c), which restrict activities of former employees, including former special Commission employees, which might give the appearance of undue benefit based on prior Commission employment and affiliation. Where appropriate for purposes of this subpart,
(a)
(2) The Ethics Officer, within five days after receipt of the complaint, shall send a copy of the complaint by certified mail to the former employee
(b)
(2) If the Commission, by an affirmative vote of four members, finds that the complaint appears to be substantiated, it may order an investigation of the allegations made in the complaint.
(i) Except as may be required to coordinate with the Department of Justice under 11 CFR 7.23(b)(2)(iii) any investigation conducted under this section shall be kept confidential until such time as the Commission has determined whether there is reasonable cause to believe a violation has occurred.
(ii) The Ethics Officer shall notify the Director of the Office of Government Ethics and the Criminal Division of the Department of Justice of the Commission's finding that the complaint has merit. The notification shall contain a copy of the complaint, any materials submitted by the former employee, the Ethics Officer's report, and the certification of the Commission's action.
(iii) The Commission will coordinate any investigation or administrative action with the Department of Justice to avoid prejudicing criminal proceedings, unless the Department of Justice notifies the Commission that it does not intend to initiate criminal proceedings.
(3) If the Commission finds the complaint to be unfounded, no investigation will be conducted and both the complainant and the former employee will be notified by the Ethics Officer of the Commission's finding.
(a)
(b)
(c)
(d)
(a)
(b)
(c)
(a)
(b)
(1) A statement of the allegations (and the basis thereof);
(2) Notification of the right to request a hearing;
(3) An explanation of the method by which a hearing may be requested as set forth at 11 CFR 7.26(c); and
(4) A copy of the post-employment regulations.
(c)
(i) The former employee's daytime telephone number;
(ii) The name, address, and telephone number of the former employee's counsel, if he or she intends to be represented by counsel; and
(iii) At least three dates and times at which the former employee will be available for a hearing.
(2) If a written request from the former employee is not received by the Ethics Officer within the stated time period, the right to a hearing shall be waived and the examiner (
(a)
(b)
(i) A Commissioner,
(ii) The Ethics Officer, or
(iii) Any Commission employee who has participated in the preliminary investigation of the complaint.
(2) The examiner shall be an attorney at the Assistant General Counsel level or higher.
(a)
(b)
(1) Adequate time to prepare a defense properly, and
(2) An expeditious resolution of allegations that may be damaging to his or her reputation.
A hearing conducted under these procedures shall afford the former employee the following rights:
(a) To represent oneself or to be represented by counsel,
(b) To introduce and examine witnesses and to submit physical evidence,
(c) To confront and cross-examine adverse witnesses,
(d) To present oral argument, and
(e) To request a transcript of the recording of proceedings. The requester
(a)
(2) No later than 5 days prior to the hearing date, the former employee shall provide the Ethics Officer with a list of witnesses he or she intends to introduce. The list shall include the name and position of each witness and the aspect of the allegation upon which the witness is expected to testify. If no witnesses are to be called, the Ethics Officer shall be so notified.
(3) Copies of the witness lists shall be given to the examiner by the Ethics Officer.
(b)
(2) The former employee may represent himself or herself or may be represented by counsel.
(c)
(d)
(i) The complaint;
(ii) The notification sent to the former employee under 11 CFR 7.27;
(iii) The former employee's response to the notification; and
(iv) If the Commission so chooses, a brief or memorandum of law.
(2) The former employee will then be given an opportunity to submit a brief or memorandum of law to be included in the hearing record.
(3) The Commission shall introduce its witnesses and evidence first. At the close of the Commission's examination of each witness, the former employee will be given an opportunity to cross-examine the witness.
(4) The former employee will present his or her witnesses and evidence at the close of the Commission's presentation. At the close of the former employee's examination of each witness, the Commission shall be given an opportunity to cross-examine each witness.
(5) After the former employee has completed his or her presentation, both parties will be given an opportunity for oral argument with the Commission making its arguments first. Time shall be offered during the oral argument for Commission rebuttal.
(6) Decisions as to the admissibility of evidence or testimony shall be made under the Federal Rules of Evidence.
(a)
(b)
(c)
(a)
(b)
(c)
(d)
The Commission may take appropriate disciplinary action in the case of any individual who is found in violation of 18 U.S.C. 207 (a), (b), or (c) after a final administrative hearing, or in the absence of a hearing, after adequate notice such as by:
(a) Prohibiting the individual from making, on behalf of any person (except the United States), any formal or informal appearance before, or, with the intent to influence, any oral or written communication to the Commission on any matter of business for a period not to exceed five years, which may be accomplished by directing agency employees to refuse to participate in any such appearance or to accept any such communication;
(b) Issuing a letter of reprimand;
(c) Issuing a letter of admonishment;
(d) Prohibiting a former employee from making formal or informal appearances or communications in connection with a particular matter or on behalf of a particular party.
(e) Taking other appropriate disciplinary action.
42 U.S.C. 1973gg-1
The regulations in this part implement the responsibilities delegated to the Commission under Section 9 of the National Voter Registration Act of 1993, Public Law 103-31, 97 Stat. 77, 42 U.S.C. 1973gg-1
As used in this part:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(a) The national mail voter registration form shall consist of three components: An application, which shall contain appropriate fields for the applicant to provide all of the information required or requested under 11 CFR 8.4; general instructions for completing the application; and accompanying state-specific instructions.
(b) The state-specific instructions shall contain the following information for each state, arranged by state: the address where the application should be mailed and information regarding the state's specific voter eligibility and registration requirements.
(c) States shall accept, use, and make available the form described in this section.
(a)
The application shall provide appropriate fields for the applicant's:
(1) Last, first, and middle name, any suffix, and (optional) any prefix;
(2) Address where the applicant lives including: street number and street name, or rural route with a box number; apartment or unit number; city, town, or village name; state; and zip code; with instructions to draw a locational map if the applicant lives in a rural district or has a non-traditional residence, and directions not to use a post office box or rural route without a box number;
(3) Mailing address if different from the address where the applicant lives, such as a post office box, rural route without a box number, or other street address; city, town, or village name; state; and zip code;
(4) Month, day, and year of birth;
(5) Telephone number (optional); and
(6) Voter identification number as required or requested by the applicant's state of residence for election administration purposes.
(i) The application shall direct the applicant to consult the accompanying state-specific instructions to determine what type of voter identification number, if any, is required or requested by the applicant's state.
(ii) For each state that requires the applicant's full social security number as its voter identification number, the state's Privacy Act notice required at 11 CFR 8.6(c) shall be reprinted with the instructions for that state.
(7) Political party preference, for an applicant in a closed primary state.
(i) The application shall direct the applicant to consult the accompanying state-specific instructions to determine if the applicant's state is a closed primary state.
(ii) The accompanying instructions shall state that if the applicant is registering in a state that requires the declaration of party affiliation, then failure to indicate a political party preference, indicating “none”, or selecting a party that is not recognized under state law may prevent the applicant from voting in partisan races in primary elections and participating in political party caucuses or conventions, but will not bar an applicant from voting in other elections.
(8) Race/ethnicity, if applicable for the applicant's state of residence. The application shall direct the applicant to consult the state-specific instructions to determine whether race/ethnicity is required or requested by the applicant's state.
(b)
The form shall also:
(1) Specify each eligibility requirement (including citizenship). The application shall list U.S. Citizenship as a universal eligibility requirement and include a statement that incorporates by reference each state's specific additional eligibility requirements (including any special pledges) as set forth in the accompany state instructions;
(2) Contain an attestation on the application that the applicant, to the best of his or her knowledge and belief, meets each of his or her state's specific eligibility requirements;
(3) Provide a field on the application for the signature of the applicant, under penalty of perjury, and the date of the applicant's signature;
(4) Inform an applicant on the application of the penalties provided by law for submitting a false voter registration application;
(5) Provide a field on the application for the name, address, and (optional) telephone number of the person who assisted the applicant in completing the form if the applicant is unable to sign the application without assistance;
(6) State that if an applicant declines to register to vote, the fact that the applicant has declined to register will remain confidential and will be used only for voter registration purposes; and
(7) State that if an applicant does register to vote, the office at which the applicant submits a voter registration application will remain confidential and will be used only for voter registration purposes.
(c)
(a) The application shall conform to the technical specifications described in the Federal Election Commission's National Mail Voter Registration Form Technical Specifications.
(b)
(c)
(1) The application shall be sealable.
(2) The outside of the application shall contain an appropriate number of address lines to be completed by the applicant using the state information provided.
(3) Both sides of the application card shall contain space designated “For Official Use Only.”
(d)
(e)
(f)
(1) All print on the form shall be of the largest practicable type size.
(2) The requirements on the form specified in 11 CFR 8.4(b)(1), (6), and (7) shall be in print identical to that used in the attestation portion of the application required by 11 CFR 8.4(b)(2).
(a) Each chief state election official shall certify to the Commission within 30 days after July 25, 1994:
(1) All voter registration eligibility requirements of that state and their corresponding state constitution or statutory citations, including but not limited to the specific state requirements, if any, relating to minimum age, length of residence, reasons to disenfranchise such as criminal conviction or mental incompetence, and whether the state is a closed primary state.
(2) Any voter identification number that the state requires or requests; and
(3) Whether the state requires or requests a declaration of race/ethnicity;
(4) The state's deadline for accepting voter registration applications; and
(5) The state election office address where the application shall be mailed.
(b) If a state, in accordance with 11 CFR 8.4(a)(2), requires the applicant's full social security number, the chief state election official shall provide the Commission with the text of the state's privacy statement required under the Privacy Act of 1974 (5 U.S.C. 552a note).
(c) Each chief state election official shall notify the Commission, in writing, within 30 days of any change to the state's voter eligibility requirements or other information reported under this section.
(a) The chief state election official shall provide the information required under this section with the Commission by March 31 of each odd-numbered year beginning March 31, 1995 on a form to be provided by the Commission. Reports shall be mailed to: National Clearinghouse on Election Administration, Federal Election Commission, 999
(b) Except as provided in paragraph (c) of this section, the report required under this section shall include:
(1) The total number of registered voters statewide, including both “active” and “inactive” voters if such a distinction is made by the state, in the federal general election two years prior to the most recent federal general election;
(2) The total number of registered voters statewide, including both “active” and “inactive” voters if such a distinction is made by the state, in the most recent federal election;
(3) The total number of new valid registrations accepted statewide between the past two federal general elections, including all registrations that are new to the local jurisdiction and re-registrations across jurisdictional lines, but excluding all applications that are duplicates, rejected, or report only a change of name, address, or (where applicable) party preference within the local jurisdiction;
(4) If the state distinguishes between “active” and “inactive” voters, the total number of registrants statewide that were considered “inactive” at the close of the most recent federal general election;
(5) The total number of registrations statewide that were, for whatever reason, deleted from the registration list, including both “active” and “inactive” voters if such a distinction is made by the state, between the past two federal general elections;
(6) The statewide number of registration applications received statewide (regardless of whether they were valid, rejected, duplicative, or address, name or party changes) that were received from or generated by each of the following categories:
(i) All motor vehicle offices statewide;
(ii) Mail;
(iii) All public assistance agencies that are mandated as registration sites under the Act;
(iv) All state-funded agencies primarily serving persons with disabilities;
(v) All Armed Forces recruitment offices;
(vi) All other agencies designated by the state;
(vii) All other means, including but not limited to, in person, deputy registrars, and organized voter registration drives delivering forms directly to registrars;
(7) The total number of duplicate registration applications statewide that, between the past two federal general elections were received in the appropriate election office and generated by each of the categories described in paragraphs (b)(6) (i) through (vii) of this section;
(8) The statewide number of confirmation notices mailed out between the past two federal general elections and the statewide number of responses received to these notices during the same period;
(9) Answers to a series of questions with categorical responses for the state to indicate which options or procedures the state has selected in implementing the NVRA or any significant changes to the state's voter registration program; and
(10) Any additional information that would be helpful to the Commission for meeting the reporting requirement under 42 U.S.C. 1973gg-7(a)(3).
(c) For the State report due March 31, 1995, the chief state election official need only provide the information described in paragraph (b)(2) of this section and a brief narrative or general description of the state's implementation of the NVRA.
2 U.S.C. 431, 438(a)(8).
This subchapter is issued by the Federal Election Commission to implement the Federal Election Campaign Act of 1971 (Pub. L. 92-225), as amended by Public Law 93-443, Public Law 94-283, Public Law 95-216, and Public Law 96-187.
(a)
(b)
(1) An election held in even numbered years on the Tuesday following the first Monday in November is a general election.
(2) An election which is held to fill a vacancy in a Federal office (i.e., a special election) and which is intended to result in the final selection of a single individual to the office at stake is a general election. See 11 CFR 100.2(f).
(c)
(1) An election which is held prior to a general election, as a direct result of which candidates are nominated, in accordance with applicable State law, for election to Federal office in a subsequent election is a primary election.
(2) An election which is held for the expression of a preference for the nomination of persons for election to the office of President of the United States is a primary election.
(3) An election which is held to elect delegates to a national nominating convention is a primary election.
(4) With respect to individuals seeking federal office as independent candidates, or without nomination by a major party (as defined in 26 U.S.C. 9002(6)), the primary election is considered to occur on one of the following dates, at the choice of the candidate:
(i) The day prescribed by applicable State law as the last day to qualify for a position on the general election ballot may be designated as the primary election for such candidate.
(ii) The date of the last major party primary election, caucus, or convention in that State may be designated as the primary election for such candidate.
(iii) In the case of non-major parties, the date of the nomination by that party may be designated as the primary election for such candidate.
(5) With respect to any major party candidate (as defined at 26 U.S.C. 9002(6)) who is unopposed for nomination within his or her own party, and who is certified to appear as that party's nominee in the general election for the office sought, the primary election is considered to have occurred on the date on which the primary election was
(d)
(1) The election held after a primary election, and prescribed by applicable State law as the means for deciding which candidate(s) should be certified as a nominee for the Federal office sought, is a runoff election.
(2) The election held after a general election and prescribed by applicable State law as the means for deciding which candidate should be certified as an officeholder elect, is a runoff election.
(e)
(f)
(a)
(1) The individual has received contributions aggregating in excess of $5,000 or made expenditures aggregating in excess of $5,000.
(2) The individual has given his or her consent to another person to receive contributions or make expenditures on behalf of that individual and such person has received contributions aggregating in excess of $5,000 or made expenditures aggregating in excess of $5,000.
(3) After written notification by the Commission that any other person has received contributions aggregating in excess of $5,000 or made expenditures aggregating in excess of $5,000 on the individual's behalf, the individual fails to disavow such activity by letter to the Commission within 30 days of receipt of the notification.
(4) The aggregate of contributions received under 11 CFR 100.3(a) (1), (2), and (3), in any combination thereof, exceeds $5,000, or the aggregate of expenditures made under 11 CFR 100.3(a) (1), (2), and (3), in any combination thereof, exceeds $5,000.
(b)
(a) Except as provided in 11 CFR 100.5(b), (c) and (d), any committee, club, association, or other group of persons which receives contributions aggregating in excess of $1,000 or which makes expenditures aggregating in excess of $1,000 during a calendar year is a political committee.
(b) Any separate segregated fund established under 2 U.S.C. 441b(b)(2)(C) is a political committee.
(c) Any local committee of a political party is a political committee if: it receives contributions aggregating in excess of $5,000 during a calendar year; it
(d) An individual's principal campaign committee or authorized committee(s) becomes a political committee(s) when that individual becomes a candidate pursuant to 11 CFR 100.3.
(e) The following are examples of political committees:
(1)
(2)
(3)
(4)
(5)
(f) A political committee is either an authorized committee or an unauthorized committee.
(1)
(2)
(g)
(2) All committees (including a separate segregated fund,
(3) Affiliated committees sharing a single contribution limitation under paragraph (g)(2) of this section include all of the committees established, financed, maintained or controlled by—I11(i) A single corporation and/or its subsidiaries;
(ii) A single national or international union and/or its local unions or other subordinate organizations;
(iii) An organization of national or international unions and/or all its State and local central bodies;
(iv) A membership organization, (other than political party committees,
(v) The same person or group of persons.
(4)(i) The Commission may examine the relationship between organizations that sponsor committees, between the committees themselves, or between one sponsoring organization and a committee established by another organization to determine whether committees are affiliated.
(ii) In determining whether committees not described in paragraphs (g)(3) (i)-(iv) of this section are affiliated, the Commission will consider the circumstantial factors described in paragraphs (g)(4)(ii) (A) through (J) of this section. The Commission will examine these factors in the context of the overall relationship between committees or sponsoring organizations to determine whether the presence of any factor or factors is evidence of one committee or organization having been established, financed, maintained or controlled by another committee or sponsoring organization. Such factors include, but are not limited to:
(A) Whether a sponsoring organization owns controlling interest in the voting stock or securities of the sponsoring organization of another committee;
(B) Whether a sponsoring organization or committee has the authority or ability to direct or participate in the governance of another sponsoring organization or committee through provisions of constitutions, bylaws, contracts, or other rules, or through formal or informal practices or procedures;
(C) Whether a sponsoring organization or committee has the authority or ability to hire, appoint, demote or otherwise control the officers, or other decisionmaking employees or members of another sponsoring organization or committee;
(D) Whether a sponsoring organization or committee has a common or overlapping membership with another sponsoring organization or committee which indicates a formal or ongoing relationship between the sponsoring organizations or committees;
(E) Whether a sponsoring organization or committee has common or overlapping officers or employees with another sponsoring organization or committee which indicates a formal or ongoing relationship between the sponsoring organizations or committees;
(F) Whether a sponsoring organization or committee has any members, officers or employees who were members, officers or employees of another sponsoring organization or committee which indicates a formal or ongoing relationship between the sponsoring organizations or committees, or which indicates the creation of a successor entity;
(G) Whether a sponsoring organization or committee provides funds or goods in a significant amount or on an ongoing basis to another sponsoring organization or 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;
(H) Whether a sponsoring organization or committee causes or arranges for funds in a significant amount or on an ongoing basis to be provided to another sponsoring organization or committee, but not including the transfer to a committee of its allocated share of proceeds jointly raised pursuant to 11 CFR 102.17;
(I) Whether a sponsoring organization or committee or its agent had an active or significant role in the formation of another sponsoring organization or committee; and
(J) Whether the sponsoring organizations or committees have similar patterns of contributions or contributors which indicates a formal or ongoing relationship between the sponsoring organizations or committees.
(a)
(b) For purposes of 11 CFR 100.6, organizations which are members of the entity (such as corporate members of a trade association) which establishes, administers, or financially supports a political committee are not organizations which directly or indirectly establish, administer or financially support that political committee.
(c) For purposes of 11 CFR 100.6, the term
(a) The term
(1) A gift, subscription, loan (except for a loan made in accordance with 11 CFR 100.7(b)(11)), advance, or deposit of money or anything of value made by any person for the purpose of influencing any election for Federal office is a contribution.
(i) For purposes of 11 CFR 100.7(a)(1), the term
(A) A loan which exceeds the contribution limitations of 2 U.S.C. 441a and 11 CFR part 110 shall be unlawful whether or not it is repaid.
(B) A loan is a contribution at the time it is made and is a contribution to the extent that it remains unpaid. The aggregate amount loaned to a candidate or committee by a contributor, when added to other contributions from that individual to that candidate or committee, shall not exceed the contribution limitations set forth at 11 CFR part 110. A loan, to the extent it is repaid, is no longer a contribution.
(C) Except as provided in (D), a loan is a contribution by each endorser or guarantor. Each endorser or guarantor shall be deemed to have contributed that portion of the total amount of the loan for which he or she agreed to be liable in a written agreement. Any reduction in the unpaid balance of the loan shall reduce proportionately the amount endorsed or guaranteed by each endorser or guarantor in such written agreement. In the event that such agreement does not stipulate the portion of the loan for which each endorser or guarantor is liable, the loan shall be considered a loan by each endorser or guarantor in the same proportion to the unpaid balance that each endorser or guarantor bears to the total number of endorsers or guarantors.
(D) A candidate may obtain a loan on which his or her spouse's signature is required when jointly owned assets are used as collateral or security for the loan. The spouse shall not be considered a contributor to the candidate's campaign if the value of the candidate's share of the property used as collateral equals or exceeds the amount of the loan which is used for the candidate's campaign.
(E) If a political committee makes a loan to any person, such loan shall be subject to the limitations of 11 CFR part 110. Repayment of the principal amount of such loan to such political committee shall not be a contribution by the debtor to the lender committee. Such repayment shall be made with funds which are subject to the prohibitions of 11 CFR 110.4(a) and part 114. The payment of interest to such committee by the debtor shall be a contribution only to the extent that the interest paid exceeds a commercially reasonable rate prevailing at the time the loan is made. All payments of interest shall be made from funds subject to the prohibitions of 11 CFR 110.4(a) and part 114.
(ii) For purposes of 11 CFR 100.7(a)(1), the term
(iii) (A) For purposes of 11 CFR 100.7(a)(1), the term
(B) For purposes of 11 CFR 100.7(a)(1)(iii)(A),
(2) The entire amount paid to attend a fundraiser or other political event and the entire amount paid as the purchase price for a fundraising item sold by a political committee is a contribution.
(3) The payment by any person of compensation for the personal services of another person if those services are rendered without charge to a political committee for any purpose, except for legal and accounting services provided under 11 CFR 100.7(b)(13) or (14), is a contribution. No compensation is considered paid to any employee under any of the following conditions:
(i) If an employee is paid on an hourly or salaried basis and is expected to work a particular number of hours per period, no contribution results if the employee engages in political activity during what would otherwise be a regular work period, provided that the taken or released time is made up or completed by the employee within a reasonable time.
(ii) No contribution results where an employee engages in political activity during what would otherwise be normal working hours if the employee is paid on a commission or piecework basis, or is paid only for work actually performed and the employee's time is considered his or her own to use as he or she sees fit.
(iii) No contribution results where the time used by the employee to engage in political activity is bona fide, although compensable, vacation time or other earned leave time.
(4) The extension of credit by any person is a contribution unless the credit is extended in the ordinary course of the person's business and the terms are substantially similar to extensions of credit to nonpolitical debtors that are of similar risk and size of obligation. If a creditor fails to make a commercially reasonable attempt to collect the debt, a contribution will result. (
(b) The term
(1)(i) Funds received solely for the purpose of determining whether an individual should become a candidate are not contributions. Examples of activities permissible under this exemption if they are conducted to determine whether an individual should become a candidate include, but are not limited to, conducting a poll, telephone calls, and travel. Only funds permissible under the Act may be used for such activities. The individual shall keep records of all such funds received. See 11 CFR 101.3. If the individual subsequently becomes a candidate, the funds received are contributions subject to the reporting requirements of the Act. Such contributions must be reported with the first report filed by the principal campaign committee of the candidate, regardless of the date the funds were received.
(ii) This exemption does not apply to funds received for activities indicating that an individual has decided to become a candidate for a particular office or for activities relevant to conducting a campaign. Examples of activities that indicate that an individual has decided to become a candidate include, but are not limited to:
(A) The individual uses general public political advertising to publicize his
(B) The individual raises funds in excess of what could reasonably be expected to be used for exploratory activities or undertakes activities designed to amass campaign funds that would be spent after he or she becomes a candidate.
(C) The individual makes or authorizes written or oral statements that refer to him or her as a candidate for a particular office.
(D) The individual conducts activities in close proximity to the election or over a protracted period of time.
(E) The individual has taken action to qualify for the ballot under State law.
(2) Any cost incurred in covering or carrying a news story, commentary, or editorial by any broadcasting station (including a cable television operator, programmer or producer), newspaper, magazine, or other periodical publication is not a contribution unless the facility is owned or controlled by any political party, political committee, or candidate, in which case the costs for a news story (i) which represents a
(3) The value of services provided without compensation by any individual who volunteers on behalf of a candidate or political committee is not a contribution.
(4) No contribution results where an individual, in the course of volunteering personal services on his or her residential premises to any candidate or to any political committee of a political party, provides the use of his or her real or personal property to such candidate for candidate-related activity or to such political committee of a political party for party-related activity. For the purposes of 11 CFR 100.7(b)(4), an individual's residential premises, shall include a recreation room in a residential complex where the individual volunteering services resides, provided that the room is available for use without regard to political affiliation. A nominal fee paid by such individual for the use of such room is not a contribution.
(5) No contribution results where an individual, in the course of volunteering personal services to any candidate or political committee of a political party, obtains the use of a church or community room and provides such room to any candidate for candidate-related activity or to any political committee of a political party for party-related activity, provided that the room is used on a regular basis by members of the community for noncommercial purposes and the room is available for use by members of the community without regard to political affiliation. A nominal fee paid by such individual for the use of such room is not a contribution.
(6) The cost of invitations, food and beverages is not a contribution where such items are voluntarily provided by an individual volunteering personal services on the individual's residential premises or in a church or community room as specified at 11 CFR 100.7(b)(4) and (5) to a candidate for candidate-related activity or to any political committee of a political party for party-related activity, to the extent that: The aggregate value of such invitations, food and beverages provided by the individual on behalf of the candidate does not exceed $1,000 with respect to any single election; and on behalf of all political committees of each political party does not exceed $2,000 in any calendar year.
(7) The sale of any food or beverage by a vendor (whether incorporated or not) for use in a candidate's campaign, or for use by a political committee of a political party, at a charge less than the normal or comparable commercial rate, is not a contribution, provided that the charge is at least equal to the cost of such food or beverage to the vendor, to the extent that: The aggregate value of such discount given by the 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 each political party does not exceed $2,000 in a calendar year.
(8) Any unreimbursed payment for transportation expenses incurred by any individual on behalf of any candidate or any political committee of a political party is not a contribution to the extent that: The aggregate value of the payments made by such individual on behalf of a candidate does not exceed $1,000 with respect to a single election; and on behalf of all political committees of each political party does not exceed $2,000 in a calendar year. Additionally, any unreimbursed payment from a volunteer's personal funds for usual and normal subsistence expenses incidental to volunteer activity is not a contribution.
(9) 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, sample ballot, palm card, or other printed listing(s) of three or more candidates for any public office for which an election is held in the State in which the committee is organized is not a contribution. The payment of the portion of such costs allocable to Federal candidates must be made from funds subject to the limitations and prohibitions of the Act. If made by a political committee, such payments shall be reported by that committee as disbursements, but need not be allocated in committee reports to specific candidates. This exemption shall not apply to costs incurred by such a committee with respect to the preparation and display of listings made on broadcasting stations, or in newspapers, magazines, and similar types of general public political advertising such as billboards.
(10) Any payment made or obligation incurred by a corporation or a labor organization is not a contribution if under the provisions of 11 CFR part 114 such payment or obligation would not constitute an expenditure by the corporation or labor organization.
(11) A loan of money by a State bank, a federally chartered depository institution (including a national bank) or a depository institution whose deposits and accounts are insured by the Federal Deposit Insurance Corporation, the Federal Savings and Loan Insurance Corporation, or the National Credit Union Administration is not a contribution by the lending institution if such loan is made in accordance with applicable banking laws and regulations and is made in the ordinary course of business. A loan will be deemed to be made in the ordinary course of business if it: Bears the usual and customary interest rate of the lending institution for the category of loan involved; is made on a basis which assures repayment; is evidenced by a written instrument; and is subject to a due date or amortization schedule. Such loans shall be reported by the political committee in accordance with 11 CFR 104.3(a). Each endorser or guarantor shall be deemed to have contributed that portion of the total amount of the loan for which he or she agreed to be liable in a written agreement, except that, in the event of a signature by the candidate's spouse, the provisions of 11 CFR 100.7(a)(1)(i)(D) shall apply. Any reduction in the unpaid balance of the loan shall reduce proportionately the amount endorsed or guaranteed by each endorser or guarantor in such written agreement. In the event that such agreement does not stipulate the portion of the loan for which each endorser or guarantor is liable, the loan shall be considered a contribution by each endorser or guarantor in the same proportion to the unpaid balance that each endorser or guarantor bears to the total number of endorsers or guarantors. For purposes of 11 CFR 100.7(b)(11), an overdraft made on a checking or savings account shall be considered a contribution by the bank or institution unless: The overdraft is made on an account which is subject to automatic overdraft protection; the overdraft is subject to a definite interest rate which is usual and customary; and there is a definite repayment schedule.
(i) A loan, including a line of credit, shall be considered made on a basis which assures repayment if it is obtained using either of the sources of repayment described in paragraphs (b)(11)(i) (A) or (B) of this section, or a combination of paragraphs (b)(11)(i) (A) and (B) of this section:
(A)(
(
(B) The lending institution making the loan has obtained a written agreement whereby the candidate or political committee receiving the loan has pledged future receipts, such as public financing payments under 11 CFR part 9001
(
(
(
(
(
(ii) If the requirements set forth in paragraph (b)(11)(i) of this section are not met, the Commission will consider the totality of the circumstances on a case-by-case basis in determining whether a loan was made on a basis which assures repayment.
(12) A gift, subscription, loan, advance, or deposit of money or anything of value made to a national committee or a State committee of a political party is not a contribution if it is specifically designated to defray any cost incurred for construction or purchase of any office facility which is not acquired for the purpose of influencing the election of any candidate in any particular election for Federal office. If such gift, subscription, loan, advance, or deposit of money or anything of value is made to a committee which is not a political committee under 11 CFR 100.5, the amount need not be reported. However, if such gift, subscription, loan, advance, or deposit of money or anything of value is made to a political committee, it shall be reported in accordance with 11 CFR 104.3(g).
(13) Legal or accounting services rendered to or on behalf of any political committee of a political party are not contributions if the person paying for such services is the regular employer of the individual rendering the services and such services are not attributable to activities which directly further the election of any designated candidate for Federal office. For purposes of 11 CFR 100.7(b)(13), a partnership shall be deemed to be the regular employer of a partner. Amounts paid by the regular employer for such services shall be reported by the committee receiving such services in accordance with 11 CFR 104.3(h).
(14) Legal or accounting services rendered to or on behalf of an authorized committee of a candidate or any other
(15) 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 or newletters, and yard signs) used by such committee in connection with volunteer activities on behalf of any nominee(s) of such party is not a contribution, provided that the following conditions are met:
(i) Such payment is not for cost incurred in connection with any broadcasting, newspaper, magazine, bill board, direct mail, or similar type of general public communication or political advertising. For purposes of 11 CFR 100.7(b)(15)(i), the term
(ii) The portion of the cost of such materials allocable to Federal candidates is paid from contributions subject to the limitations and prohibitions of the Act.
(iii) Such payment is not made from contributions designated by the donor to be spent on behalf of a particular candidate or candidates for Federal office. For purposes of 11 CFR 100.7(b)(15)(iii), a contribution shall not be considered a
(iv) Such materials are distributed by volunteers and not by commercial or for-profit operations. For the purposes of 11 CFR 100.7(b)(15)(iv), payments by the party organization for travel and subsistence or customary token payments to volunteers do not remove such individuals from the volunteer category.
(v) If made by a political committee such payments shall be reported by the political committee as disbursements in accordance with 11 CFR 104.3 but need not be allocated to specific candidates in committee reports.
(vi) Payments by a State candidate or his or her campaign committee to a State or local political party committee for the State candidate's share of expenses for such campaign materials are not contributions, provided the amount paid by the State candidate or his or her committee does not exceed his or her proportionate share of the expenses.
(vii) Campaign materials purchased by the national committee of a political party and delivered to a State or local party committee, or materials purchased with funds donated by the national committee to such State or local committee for the purchase of such materials, shall not qualify under this exemption. Rather, the cost of such materials shall be subject to the limitations of 2 U.S.C. 441a(d) and 11 CFR 110.7.
(16) The payment by a candidate for any public office (including State or local office), or by such candidate's authorized committee, of the costs of that candidate's campaign materials which include information on or any reference to a candidate for Federal office and which are used in connection with volunteer activities (such as pins, bumper stickers, handbills, brochures, posters, and yard signs) is not a contribution to such candidate for Federal office, provided that the payment is not for the use of broadcasting, newspapers, magazines, billboards, direct mail or similar types of general public communication or political advertising. The payment of the portion of the cost of such materials allocable to Federal candidates shall be made from contributions subject to the limitations and prohibitions of the Act. For purposes of 11 CFR 100.7(b)(16), the term
(17) The payment by a State or local committee of a political party of the
(i) Such payment is not for the costs incurred in connection with any broadcasting, newspaper, magazine, billboard, direct mail, or similar type of general public communication or political advertising. For purposes of 11 CFR 100.7(b)(17)(i), the term
(ii) The portion of the costs of such activities allocable to Federal candidates is paid from contributions subject to the limitations and prohibitions of the Act.
(iii) Such payment is not made from contributions designated to be spent on behalf of a particular candidate or candidates for Federal office. For purposes of 11 CFR 100.7(b)(17)(iii), a contribution shall not be considered a
(iv) For purposes of 11 CFR 100.7(b)(17), if such activities include references to any candidate(s) for the House or Senate, the costs of such activities which are allocable to that candidate(s) shall be a contribution to such candidate(s) unless the mention of such candidate(s) is merely incidental to the overall activity.
(v) For purposes of 11 CFR 100.7(b)(17), payment of the costs incurred in the use of phone banks in connection with voter registration and get-out-the-vote activities is not a contribution when such phone banks are operated by volunteer workers. The use of paid professionals to design the phone bank system, develop calling instructions and train supervisors is permissible. The payment of the costs of such professional services is not an expenditure but shall be reported as a disbursement in accordance with 11 CFR 104.3 if made by a political committee.
(vi) If made by a political committee, such payments for voter registration and get-out-the-vote activities shall be reported by that committee as disbursements in accordance with 11 CFR 104.3, but such payments need not be allocated to specific candidates in committee reports except as provided in 11 CFR 100.7(b)(17)(iv).
(vii) Payments made from funds donated by a national committee of a political party to a State or local party committee for voter registration and get-out-the-vote activities shall not qualify under this exemption. Rather, such funds shall be subject to the limitations of 2 U.S.C. 441a(d) and 11 CFR 110.7.
(18) Payments made to any party committee by a candidate or the authorized committee of a candidate as a condition of ballot access are not contributions.
(19) [Reserved]
(20) A gift, subscription, loan, advance, or deposit of money or anything of value made with respect to a recount of the results of a Federal election, or an election contest concerning a Federal election, is not a contribution except that the prohibitions of 11 CFR 110.4(a) and part 114 apply.
(21) Funds provided to defray costs incurred in staging candidate debates in accordance with the provisions of 11 CFR 110.13 and 114.4(f).
(c) For purposes of 11 CFR 100.7(a) and (b), a contribution or payment made by an individual shall not be attributed to any other individual, unless otherwise specified by that other individual in accordance with 11 CFR 110.1(k).
(a) The term
(1) A purchase, payment, distribution, loan (except for a loan made in accordance with 11 CFR 100.8(b)(12)), advance, deposit, or gift of money or
(i) For purposes of 11 CFR 100.8(a)(1), the term
(ii) For purposes of 11 CFR 100.8(a)(1), the term
(iii) For purposes of 11 CFR 100.8(a)(1), the term
(iv)(A) For purposes of 11 CFR 100.8(a)(1), the term
(B) For the purposes of 11 CFR 100.8(a)(1)(iv)(A),
(2) A written contract, including a media contract, promise, or agreement to make an expenditure is an expenditure as of the date such contract, promise or obligation is made.
(3) An independent expenditure which meets the requirements of 11 CFR 104.4 or part 109 is an expenditure, and such independent expenditure is to be reported by the person making the expenditure in accordance with 11 CFR 104.4 and part 109.
(b) The term
(1) (i) Payments made solely for the purpose of determining whether an individual should become a candidate are not expenditures. Examples of activities permissible under this exemption if they are conducted to determine whether an individual should become a candidate include, but are not limited to, conducting a poll, telephone calls, and travel. Only funds permissible under the Act may be used for such activities. The individual shall keep records of all such payments. See 11 CFR 101.3. If the individual subsequently becomes a candidate, the payments made are subject to the reporting requirements of the Act. Such expenditures must be reported with the first report filed by the principal campaign committee of the candidate, regardless of the date the payments were made.
(ii) This exemption does not apply to payments made for activities indicating that an individual has decided to become a candidate for a particular office or for activities relevant to conducting a campaign. Examples of activities that indicate that an individual has decided to become a candidate include, but are not limited to:
(A) The individual uses general public political advertising to publicize his or her intention to campaign for Federal office.
(B) The individual raises funds in excess of what could reasonably be expected to be used for exploratory activities or undertakes activities designed to amass campaign funds that would be spent after he or she becomes a candidate.
(C) The individual makes or authorizes written or oral statements that refer to him or her as a candidate for a particular office.
(D) The individual conducts activities in close proximity to the election or over a protracted period of time.
(E) The individual has taken action to qualify for the ballot under State law.
(2) Any cost incurred in covering or carrying a new story, commentary, or editorial by any broadcasting station (including a cable television operator, programmer or producer), newspaper, magazine, or other periodical publication is not an expenditure unless the facility is owned or controlled by any political party, political committee, or candidate, in which case the costs for a news story (i) which represents a
(3) Any cost incurred for activity designed to encourage individuals to register to vote or to vote is not an expenditure if no effort is or has been made to determine the party or candidate preference of individuals before encouraging them to register to vote or to vote, except that corporations and labor organizations shall engage in such activity in accordance with 11 CFR 114.4 (c) and (d).
(4) Any cost incurred for any communication by a membership organization to its members, or by a corporation to its stockholders or executive or administrative personnel, is not an expenditure, so long as the 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 those costs exceed $2,000 per election, be reported to the Commission on FEC Form 7 in accordance with 11 CFR 104.6
(i) For purposes of 11 CFR 100.8(b)(4),
(ii) For purposes of 11 CFR 100.8(b)(4),
(iii) For purposes of 11 CFR 100.8(b)(4),
(A) This definition includes—
(
(
(B) This definition does not include—
(
(
(
(
(C) Individuals on commission may be considered executive or administrative personnel if they have policymaking, managerial, professional, or
(D) The Fair Labor Standards Act, 29 USC 201,
(iv) (A) For purposes of paragraph (b)(4)(iv) of this section,
(
(
(
(B) For purposes of paragraph (b)(4) of this section,
(
(
(
(C) Notwithstanding the requirements of paragraph (b)(4)(iv)(B)(
(D) Notwithstanding the requirements of paragraphs (b)(4)(iv)(B)(
(v) For purposes of 11 CFR 100.8(b)(4),
(vi) For purposes of 11 CFR 100.8(b)(4),
(vii) When the aggregate costs under 11 CFR 100.8(b)(4) exceed $2,000 per election, all costs of the communication(s) shall be reported on the filing dates specified in 11 CFR 104.6, and shall include the total amount expended for each candidate supported.
(5) No expenditure results where an individual, in the course of volunteering personal services on his or her residential premises to any candidate or political committee of a political party, provides the use of his or her real or personal property to such candidate for candidate-related activity or to such political committee of a political party for party-related activity.
(6) No expenditure results where an individual, in the course of volunteering personal services to any candidate or political committee of a political party, obtains the use of a church or community room and provides such room to any candidate for candidate-related activity or to any political committee of a political party for party-related activity, provided that the room is used on a regular basis by members of the community for noncommercial purposes and the room is available for use by members of the community without regard to political affiliation. A nominal fee paid by such individual for the use of such room is not an expenditure.
(7) The cost of invitations, food, and beverages is not an expenditure where such items are voluntarily provided by an individual in rendering voluntary personal services on the individual's residential premises or in a church or community room as specified at 11 CFR 100.8(b)(5) and (6) to a candidate for candidate-related activity or to a political committee of a political party for party-related activity, to the extent that: The aggregate value of such invitations, food and beverages provided by the individual on behalf of the candidate does not exceed $1,000 with respect to any single election; and on behalf of all political committees of each political party does not exceed $2,000 in any calendar year.
(8) The sale of any food or beverage by a vendor (whether incorporated or not) for use in a candidate's campaign, or for use by a political committee of a political party, at a charge less than the normal or comparable commercial charge, is not an expenditure, provided that the charge is at least equal to the cost of such food or beverage to the vendor, to the extent that: The aggregate value of such discount given by the 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 each political party does not exceed $2,000 in a calendar year.
(9) Any unreimbursed payment for transportation expenses incurred by any individual on behalf of any candidate or political committee of a political party is not an expenditure to the extent that: The aggregate value of the payments made by such individual on behalf of a candidate does not exceed $1,000 with respect to a single election; and on behalf of all political committees of each political party does not exceed $2,000 in a calendar year. Additionally, any unreimbursed payment from a volunteer's personal funds for usual and normal subsistence expenses incident to volunteer activity is not an expenditure.
(10) 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, sample ballot, palm card, or other printed listing(s) of three or more candidates for any public office for which an election is held in the State in which the committee is organized is not an expenditure. The payment of the portion of such costs allocable to Federal candidates must be made from funds subject to the limitations and prohibitions of the Act. If made by a political party committee, such payments shall be reported by that committee as disbursements, but need not be allocated in committee reports to specific candidates. This exemption shall not apply to costs incurred by such a committee with respect to the preparation and display of listings made on broadcasting stations, or in newspapers, magazines, and similar types of general public political advertising such as billboards.
(11) Any payment made or obligation incurred by a corporation or labor organization is not an expenditure if under the provisions of 11 CFR part 114 such payment or obligation would not constitute an expenditure by the corporation or labor organization.
(12) A loan of money by a State bank, a federally chartered depository institution (including a national bank) or a
(i) A loan, including a line of credit, shall be considered made on a basis which assures repayment if it is obtained using either of the sources of repayment described in paragraphs (b)(12)(i) (A) or (B) of this section, or a combination of paragraphs (b)(12)(i) (A) and (B) of this section:
(A)(
(
(B) The lending institution making the loan has obtained a written agreement whereby the candidate or political committee receiving the loan has pledged future receipts, such as public financing payments under 11 CFR part 9001
(
(
(
(
(
(ii) If the requirements set forth in paragraph (b)(12)(i) of this section are not met, the Commission will consider the totality of circumstances on a case-by-case basis in determining whether a loan was made on a basis which assures repayment.
(13) A purchase, payment, distribution, loan, advance, or deposit of money or anything of value made to a national committee or a state committee of a political party is not an expenditure if it is specifically designated to defray any cost incurred for construction or purchase of any office facility which is not acquired for the purpose of influencing the election of any candidate in any particular election for Federal office. If such purchase, payment, distribution, loan, advance, or deposit of money or anything of value is made to a committee which is not a political committee under 11 CFR 100.5, the amount need not be reported. However, if such purchase, payment, distribution, loan, advance, or deposit of money or anything of value is made to a political committee, it shall be reported in accordance with 11 CFR 104.3(g).
(14) Legal or accounting services rendered to or on behalf of any political committee of a political party are not expenditures if the person paying for such services is the regular employer of the individual rendering the services and such services are not attributable to activities which directly further the election of any designated candidate for Federal office. For purposes of 11 CFR 100.8(b)(14), a partnership shall be deemed to be the regular employer of a partner. Amounts paid by the regular employer for such services shall be reported by the committee receiving such services in accordance with 11 CFR 104.3(h).
(15) Legal or accounting services rendered to or on behalf of an authorized committee of a candidate or any other political committee are not expenditures if the person paying for such services is the regular employer of the individual rendering such services and if the services are solely to ensure compliance with the Act or 26 U.S.C. 9001
(16) 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 or newsletters, and yard signs) used by such committee in connection with volunteer activities on behalf of any nominee(s) of such party is not an expenditure, provided that the following conditions are met.
(i) Such payment is not for costs incurred in connection with any broadcasting, newspaper, magazine, billboard, direct mail, or similar type of general public communication or political advertising. For the purposes of 11 CFR 100.8(b)(16)(i), the term
(ii) The portion of the cost of such materials allocable to Federal candidates is paid from contributions subject to the limitations and prohibitions of the Act.
(iii) Such payment is not made from contributions designated by the donor to be spent on behalf of a particular
(iv) Such materials are distributed by volunteers and not by commercial or for-profit operations. For the purposes of 11 CFR 100.8(b)(16)(iv), payments by the party organization for travel and subsistence or customary token payments to volunteers do not remove such individuals from the volunteer category.
(v) If made by a political party committee, such payments shall be reported by that committee as disbursements, in accordance with 11 CFR 104.3, but need not be allocated to specific candidates in committee reports.
(vi) Payments by a State candidate or his or her campaign committee to a State or local political party committee for the State candidate's share of expenses for such campaign materials are not expenditures, provided the amount paid by the State candidate or his or her committee does not exceed his or her proportionate share of the expenses.
(vii) Campaign materials purchased by the national committee of a political party and delivered to a State or local party committee, or materials purchased with funds donated by the national committee to such State or local committee for the purchase of such materials, shall not qualify under this exemption. Rather, the cost of such materials shall be subject to the limitations of 2 U.S.C. 441a(d) and 11 CFR 110.7.
(17) The payment by a candidate for any public office (including State or local office), or by such candidate's authorized committee, of the costs of that candidate's campaign materials which include information on or any reference to a candidate for Federal office and which are used in connection with volunteer activities (such as pins, bumper stickers, handbills, brochures, posters, and yard signs) is not an expenditure on behalf of such candidate for Federal office, provided that the payment is not for the use of broadcasting, newspapers, magazines, billboards, direct mail or similar types of general public communication or political advertising. The payment of the portion of the cost of such materials allocable to Federal candidates shall be made from contributions subject to the limitations and prohibitions of the Act. For purposes of 11 CFR 100.8(b)(17), the term
(18) 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 the Presidential and Vice Presidential nominee(s) of that party is not an expenditure for the purpose of influencing the election of such candidates provided that the following conditions are met:
(i) Such payment is not for the costs incurred in connection with any broadcasting, newspaper, magazine, billboard, direct mail, or similar type of general public communication or political advertising. For purposes of 11 CFR 100.8(b)(18)(i), the term
(ii) The portion of the costs of such activities allocable to Federal candidates is paid from contributions subject to the limitations and prohibitions of the Act.
(iii) Such payment is not made from contributions designated to be spent on behalf of a particular candidate or candidates for Federal office. For the purposes of 11 CFR 100.8(b)(18)(iii), a contribution shall not be considerd a
(iv) For purposes of 11 CFR 100.8(b)(18), if such activities include references to any candidate(s) for the House or Senate, the costs of such activities which are allocable to that candidate(s) shall be an expenditure on behalf of such candidate(s) unless the mention of such candidate(s) is merely incidental to the overall activity.
(v) For purposes of 11 CFR 100.8(b)(18), payment of the costs incurred in the use of phone banks in connection with voter registration and get-out-the-vote activities is not an expenditure when such phone banks are operated by volunteer workers. The use of paid professionals to design the phone bank system, develop calling instructions and train supervisors is permissible. The payment of the costs of such professional services is not an expenditure but shall be reported as a disbursement in accordance with 11 CFR 104.3 if made by a political committee.
(vi) If made by a political committee, such payments for voter registration and get-out-the-vote activities shall be reported by that committee as disbursements, in accordance with 11 CFR 104.3 but such payments need not be allocated to specific candidates in committee reports except as provided in 11 CFR 100.8(b)(18)(iv).
(vii) Payments made from funds donated by a national committee of a political party to a State or local party committee for voter registration and get-out-the-vote activities shall not qualify under this exemption. Rather, such funds shall be subject to the limitations of 2 U.S.C. 441a(d) and 11 CFR 110.7.
(19) Amounts transferred by a party committee to another party committee or payments made to the appropriate State official of fees collected from candidates or their authorized committees as a condition of ballot access are not expenditures.
(20) A purchase, payment, distribution, loan, advance, or deposit of money or anything of value made with respect to a recount of the results of a Federal election, or an election contest concerning a Federal election, is not an expenditure except that the prohibitions of 11 CFR 110.4(a) and part 114 apply.
(21)(i) Any costs incurred by a candidate or his or her authorized committee(s) in connection with the solicitation of contributions are not expenditures if incurred by a candidate who has been certified to receive Presidential Primary Matching Fund Payments, or by a candidate who has been certified to receive general election public financing under 26 U.S.C. 9004 and who is soliciting contributions in accordance with 26 U.S.C. 9003(b)(2) or 9003(c)(2) to the extent that the aggregate of such costs does not exceed 20 percent of the expenditure limitation applicable to the candidate. These costs shall, however, be reported as disbursements pursuant to 11 CFR part 104.
(ii) For a candidate who has been certified to receive general election public financing under 26 U.S.C. 9004 and who is soliciting contributions in accordance with 26 U.S.C. 9003(b)(2) or 9003(c)(2),
(iii) For a candidate who has been certified to receive Presidential Primary Matching Fund Payments, the costs that may be exempted as fundraising expenses under this section shall not exceed 20% of the overall expenditure limitation under 11 CFR 9035.1, and shall equal the total of:
(A) All amounts excluded from the state expenditure limitations for exempt fundraising activities under 11 CFR 110.8(c)(2), plus
(B) An amount of costs that would otherwise be chargeable to the overall expenditure limitation but that are not chargeable to any state expenditure limitation, such as salary and travel expenses. See 11 CFR 106.2.
(22) Payments by a candidate from his or her personal funds, as defined at 11 CFR 110.10(b), for the candidate's routine living expenses which would have been incurred without candidacy, including the cost of food and residence, are not expenditures. Payments for such expenses by a member of the candidate's family as defined in 11 CFR 113.1(g)(7), are not expenditures if the payments are made from an account jointly held with the candidate, or if the expenses were paid by the family member before the candidate became a candidate.
(23) Funds used to defray costs incurred in staging candidate debates in
(c) For purposes of 11 CFR 100.8(a) and (b), a payment made by an individual shall not be attributed to any other individual, unless otherwise specified by that other individual. To the extent that a payment made by an individual qualifies as a contribution, the provisions of 11 CFR 110.1(k) shall apply.
(a)
(b)
The term
The term
With respect to reports, statements, notices, and designations required to be filed under 11 CFR parts 101, 102, 104, 105, 107, 108 and 109, and any modifications or amendments thereto, the terms
(a) A document is timely filed upon delivery to the Federal Election Commission, 999 E Street, NW., Washington, DC 20463; or the Secretary of the United States Senate, Office of Public Records, 119 D Street NE., Washington, DC 20510 as required by 11 CFR part 105, by the close of the prescribed filing date.
(b) A document is timely filed upon deposit as registered or certified mail in an established U.S. Post Office and postmarked no later than midnight of the day of the filing date, except that pre-election reports so mailed must be postmarked no later than midnight of the fifteenth day before the date of the election. Reports and statements sent by first class mail must be received by the close of business of the prescribed filing date to be timely filed.
(b) When taken as a whole and with limited reference to external events, such as the proximity to the election, could only be interpreted by a reasonable person as containing advocacy of the election or defeat of one or more clearly identified candidate(s) because—
(1) The electoral portion of the communication is unmistakable, unambiguous, and suggestive of only one meaning; and
(2) Reasonable minds could not differ as to whether it encourages actions to elect or defeat one or more clearly identified candidate(s) or encourages some other kind of action.
2 U.S.C. 432(e), 438(a)(f).
(a)
(b)
(a) Any candidate who receives a contribution as defined at 11 CFR 100.7, obtains any loan, or makes any disbursement, in connection with his or her campaign shall be considered as having received such contribution, obtained such loan or made such disbursement as an agent of his or her authorized committee(s).
(b) When an individual becomes a candidate, any funds received, loans obtained, or disbursements made prior to becoming a candidate in connection with his or her campaign shall be deemed to have been received, obtained or made as an agent of his or her authorized committee(s).
When an individual becomes a candidate, all funds received or payments made in connection with activities conducted under 11 CFR 100.7(b)(1) and 11 CFR 100.8(b)(1) or his or her campaign prior to becoming a candidate shall be considered contributions or expenditures under the Act and shall be reported in accordance with 11 CFR 104.3 in the first report filed by such candidate's principal campaign committee. The individual shall keep records of the name of each contributor, the date of receipt and amount of all contributions received (see 11 CFR 102.9(a)), and all expenditures made (see 11 CFR 102.9(b)) in connection with activities conducted under 11 CFR 100.7(b)(1) and 11 CFR 100.8(b)(1) or the individual's campaign prior to becoming a candidate.
2 U.S.C. 432, 433, 438(a)(8), 441d.
(a)
(b)
(c)
(d)
(a)
(i) The name, address, and type of committee;
(ii) The name, address, relationship, and type of any connected organization or affiliated committee in accordance with 11 CFR 102.2(b);
(iii) The name, address, and committee position of the custodian of books and accounts of the committee;
(iv) The name and address of the treasurer of the committee;
(v) If the committee is authorized by a candidate, the name, office sought (including State and Congressional district, when applicable) and party affiliation of the candidate; and the address to which communications should be sent;
(vi) A listing of all banks, safe deposit boxes, or other depositories used by the committee.
(2) Any change or correction in the information previously filed in the Statement of Organization shall be reported no later than 10 days following the date of the change or correction by filing an amended Statement of Organization or by filing a letter noting the change(s). The amendment need list only the name of such committee and the change or correction.
(3) A committee shall certify to the Commission that it has satisfied the criteria for becoming a multicandidate committee set forth at 11 CFR 100.5(e)(3) by filing FEC Form 1M before it makes any contributions to candidates that exceed $1000 per election.
(b) For purposes of 11 CFR 102.2(a)(1)(ii), political committees shall disclose the names of any connected organization(s) or affiliated
(1)
(i) A principal campaign committee is required to disclose the names and addresses of all other authorized committees which have been authorized by its candidate, and all other unauthorized committees that are affiliated with the principal campaign committee. Authorized committees, and unauthorized committees that are affiliated, need only disclose the name of their principal campaign committee.
(ii)(A) Political committees established by a single parent corporation, a single national or international union, a single organization or federation of national or international unions, a single national membership organization or trade association, or any other similar group of persons (other than political party organizations) are required to disclose the names and addresses of all political committees established by any subsidiary, or by any State, local, or other subordinate unit of a national or international union or federation thereof, or by any subordinate units of a national membership organization, trade association, or other group of persons (other than political party organizations).
(B) Political committees established by subsidiaries, or by State, local, or other subordinate units are only required to disclose the name and address of each political committee established by their parent or superior body, e.g., parent corporation, national or international union or organization or federation of such unions, or national organization or trade association.
(2)
(c)
(a)(1) A political committee (other than a principal campaign committee) may terminate only upon filing a termination report on the appropriate FEC Form or upon filing a written statement containing the same information at the place of filing specified at 11 CFR part 105. Except as provided in 11 CFR 102.4(c), only a committee which will no longer receive any contributions or make any disbursements that would otherwise qualify it as a political committee may terminate, provided that such committee has no outstanding debts and obligations. In addition to the Notice, the committee shall also provide a final report of receipts and disbursements, which report shall include a statement as to the purpose for which such residual funds will be used, including a statement as to whether such residual funds will be used to defray expenses incurred in connection with an individual's duties as a holder of federal office.
(2) An authorized committee of a qualified Member, as defined at 11 CFR 113.1(f), shall comply with the requirements of 11 CFR 113.2 before any excess funds are converted to such Member's personal use. All other authorized committees shall include in their termination reports a statement signed by the treasurer, stating that no noncash committee assets will be converted to personal use.
(b) Except as provided at 11 CFR 102.4, a principal campaign committee may not terminate until it has met the requirements of 11 CFR 102.3(a) and until all debts of any other authorized committee(s) of the candidate have been extinguished.
(a) The Commission, on its own initiative or upon the request of the political committee itself, may administratively terminate a political committee's reporting obligation on the basis of the following factors:
(1) The committee's aggregate reported financial activity in one year is less than $5000;
(2) The committee's reports disclose no receipt of contributions for the previous year;
(3) The committee's last report disclosed minimal expenditures;
(4) The committee's primary purpose for filing its reports has been to disclose outstanding debts and obligations;
(5) The committee has failed to file reports for the previous year;
(6) The committee's last report disclosed that the committee's outstanding debts and obligations do not appear to present a possible violation of the prohibitions and limitations of 11 CFR parts 110 and 114;
(7) The committee's last report disclosed that the Committee does not have substantial outstanding accounts receivable;
(8) The committee's outstanding debts and obligations exceed the total of the committee's reported cash on hand balance.
(b) The Commission shall send a notification to the committee treasurer of its intent to administratively terminate that committee and may request the treasurer to submit information with regard to the factors set forth at 11 CFR 102.4(a). The treasurer shall respond, in writing, within 30 days of receipt of the Commission's notice or request and if the committee objects to such termination, the committee's response shall so state.
(c) The Commission shall administratively terminate a committee if such committee fails to object to the Commission's action under 11 CFR 102.4(b) and the Commission determines that either:
(1) The committee has complied with the debt settlement procedures set forth at 11 CFR part 116.
(2) The Commission has approved the forgiveness of any loan(s) owed the committee which would have otherwise been considered a contribution under the Act in violation of 11 CFR part 110;
(3) It does not appear from evidence available that a contribution in violation of 11 CFR parts 110 and 114 will result.
(a) Organizations that are political committees under the Act
(1) Each organization, including a party committee, which finances political activity in connection with both federal and non-federal elections and which qualifies as a political committee under 11 CFR 100.5 shall either:
(i) Establish a separate federal account in a depository in accordance with 11 CFR part 103. Such account shall be treated as a separate federal political committee which shall comply with the requirements of the Act including the registration and reporting requirements of 11 CFR parts 102 and 104. Only funds subject to the prohibitions and limitations of the Act shall be deposited in such separate federal account. All disbursements, contributions, expenditures and transfers by the committee in connection with any federal election shall be made from its federal account. No transfers may be made to such federal account from any other account(s) maintained by such organization for the purpose of financing activity in connection with non-federal elections, except as provided in 11 CFR 106.5(g) and 106.6(e). Administrative expenses shall be allocated pursuant to 11 CFR part 106 between such federal account and any other account maintained by such committee for the purpose of financing activity in connection with non-federal elections; or
(ii) Establish a political committee which shall receive only contributions subject to the prohibitions and limitations of the Act, regardless of whether such contributions are for use in connection with federal or non-federal
(2) Only contributions meeting the conditions set forth at subsections (i), (ii), and (iii) of this section may be deposited in a federal account established under 11 CFR 102.5(a)(1)(i) or may be received by a political committee established under 11 CFR 102.5(a)(1)(ii).
(i) Contributions designated for the federal account;
(ii) Contributions that result from a solicitation which expressly states that the contribution will be used in connection with a federal election; and
(iii) Contributions from contributors who are informed that all contributions are subject to the prohibitions and limitations of the Act.
(3) Any party committee solicitation that makes reference to a federal candidate or a federal election shall be presumed to be for the purpose of influencing a federal election, and contributions resulting from that solicitation shall be subject to the prohibitions and limitations of the Act. This presumption may be rebutted by demonstrating to the Commission that the funds were solicited with express notice that they would not be used for federal election purposes.
(b) Organizations that are not political committees under the Act
(1) Any organization that makes contributions or expenditures but does not qualify as a political committee under 11 CFR 100.5 and any State or local party organization that makes contributions, expenditures and exempted payments under 11 CFR 100.7(b)(9), (15) and (17) and 100.8(b)(10), (16) and (18) shall either:
(i) Establish a separate account to which only funds subject to the prohibitions and limitations of the Act shall be deposited and from which contributions, expenditures and exempted payments shall be made. Such organization shall keep records of deposits to and disbursements from such account and, upon request, shall make such records available for examination by the Commission.
(ii) Demonstrate through a reasonable accounting method that whenever such organization makes a contribution, expenditure or exempted payment, that organization has received sufficient funds subject to the limitations and prohibitions of the Act to make such contribution, expenditure or payment. Such organization shall keep records of amounts received or expended under this subsection and, upon request, shall make such records available for examination by the Commission.
(a)
(ii) Transfers of funds may be made without limit on amount between or among a national party committee, a State party committee and/or any subordinate party committee whether or not they are political committees under 11 CFR 100.5 and whether or not such committees are affiliated.
(iii) Transfers of joint fundraising proceeds may be made without limit on amount between organizations or committees participating in the joint fundraising activity provided that no participating committee or organization governed by 11 CFR 102.17 received more than its allocated share of the funds raised.
(iv) Transfers under paragraphs (a)(1) (i) through (iii) shall be made only from funds which are permissible under the Act. See 11 CFR parts 110, 114 and 115.
(2)
(b)
(i) A committee, whether or not it is a political committee as defined in 11 CFR 100.5, affiliated with the separate segregated fund under 11 CFR 110.3; or
(ii) The connected organization of the separate segregated fund as defined in 11 CFR 100.6; or
(iii) A parent, subsidiary, branch, division, department, or local unit of the connected organization of the separate segregated fund; or
(iv) A local, national or international union collecting contributions on behalf of the separate segregated fund of any federation with which the local, national or international union is affiliated.
(2)
(3)
(ii)
(4)
(c)
(2)
(i) The collecting agent may pay any or all of the costs incurred in soliciting and transmitting contributions to the separate segregated fund.
(ii) If the separate segregated fund pays any solicitation or other administrative expense from its own account, which expense could be paid for as an administrative expense by the collecting agent, the collecting agent may reimburse the separate segregated fund no later than 30 calendar days after the expense was paid by the separate segregated fund.
(3)
(4)
(i) Checks made payable to the separate segregated fund shall be transmitted by the collecting agent directly to the separate segregated fund in accordance with 11 CFR 102.8.
(ii) To transfer all other contributions, a collecting agent shall either:
(A) Establish a transmittal account to be used solely for the deposit and transmittal of funds collected on behalf of the separate segregated fund. Funds deposited into this account are subject to the prohibitions and limitations of the Act. If any expenditure is made from the account, other than a transfer of funds to an affiliated committee, the account shall be considered a depository of the recipient committee and all activity of that account shall be reported; or
(B) Deposit the contributions collected into the collecting agent's treasury account. The collecting agent shall keep separate records of all receipts and deposits that represent contributions to the separate segregated fund and, in the case of cash contributions, the collecting agent shall make separate deposits of such funds; or
(C) Deposit the contributions collected into an account otherwise established solely for State or local election activity. The collecting agent shall keep separate records of all receipts and deposits that represent contributions to the separate segregated fund; or
(D) In the case of cash contributions, transmit the contributions to the separate segregated fund in the form of money orders or cashier's checks.
(5)
(6)
(7)
(a) Every political committee shall have a treasurer and may designate, on the committee's Statement of Organization, an assistant treasurer who shall assume the duties and responsibilities of the treasurer in the event of a temporary or permanent vacancy in the office or in the event the treasurer is unavailable.
(b) Except as provided in subsection (a), no contribution or expenditure shall be accepted or made by or on behalf of a political committee at a time when there is a vacancy in the office of the treasurer.
(c) No expenditure shall be made for or on behalf of a political committee without the authorization of its treasurer or of an agent authorized orally or in writing by the treasurer.
(d) Any candidate who receives a contribution, as defined at 11 CFR 100.7, obtains any loan or makes any disbursement in connection with his or her campaign, shall be considered as having received the contribution, obtained the loan or made the disbursement as an agent of such authorized committee(s).
(a) Every person who receives a contribution for an authorized political committee shall, no later than 10 days after receipt, forward such contribution to the treasurer. If the amount of the contribution is in excess of $50, such person shall also forward to the treasurer the name and address of the contributor and the date of receipt of the contribution. If the amount of the contribution is in excess of $200, such person shall forward the contribution, the identification of the contributor in accordance with 11 CFR 100.12, and the date of receipt of the contribution.
(b) (1) Every person who receives a contribution of $50 or less for a political committee which is not an authorized committee shall forward such contribution to the treasurer of the political committee no later than 30 days after receipt.
(2) Every person who receives a contribution in excess of $50 for a political committee which is not an authorized committee shall, no later than 10 days after receipt of the contribution, forward to the treasurer of the political committee: The contribution; the name and address of the contributor; and the date of receipt of the contribution. If the amount of the contribution is in excess of $200, such person shall forward the contribution, the identification of the contributor in accordance with 11 CFR 100.12, and the date of receipt of the contribution. Date of receipt shall be the date such person obtains possession of the contribution.
(c) The provisions of 11 CFR 102.8 concerning receipt of contributions for political committees shall also apply to earmarked contributions transmitted by an intermediary or conduit.
The treasurer of a political committee or an agent authorized by the treasurer to receive contributions and make expenditures shall fulfill all recordkeeping duties as set forth at 11 CFR 102.9(a) through (f):
(a) An account shall be kept by any reasonable accounting procedure of all contributions received by or on behalf of the political committee.
(1) For contributions in excess of $50, such account shall include the name and address of the contributor and the date of receipt and amount of such contribution.
(2) For contributions from any person whose contributions aggregate more than $200 during a calendar year, such account shall include the identification of the person, and the date of receipt and amount of such contribution.
(3) For contributions from a political committee, such account shall include the identification of the political committee and the date of receipt and amount of such contribution.
(b)(1) An account shall be kept of all disbursements made by or on behalf of the political committee. Such account shall consist of a record of:
(i) the name and address of every person to whom any disbursement is made;
(ii) the date, amount, and purpose of the disbursement; and
(iii) if the disbursement is made for a candidate, the name and office (including State and congressional district, if any) sought by that candidate.
(iv) For purposes of 11 CFR 102.9(b)(1),
(2) In addition to the account to be kept under 11 CFR 102.9(b)(1), a receipt or invoice from the payee or a cancelled check to the payee shall be obtained and kept for each disbursement in excess of $200 by or on behalf of, the committee, except that credit card transactions, shall be documented in accordance with 11 CFR 102.9(b)(2)(ii) and disbursements by share draft or check drawn on a credit union account shall be documented in accordance with 11 CFR 102.9(b)(2)(iii).
(i)(A) For purposes of 11 CFR 102.9(b)(2),
(B) For any advance of $500 or less to an individual for travel and subsistence, the expense voucher or other expense account documentation and a cancelled check to the recipient of the advance shall be obtained and kept.
(ii) For any credit card transaction, documentation shall include a monthly billing statement or customer receipt for each transaction and the cancelled check used to pay the credit card account.
(iii) For purposes of 11 CFR 102.9(b)(2), a carbon copy of a share draft or check drawn on a credit union account may be used as a duplicate record of such draft or check provided that the monthly account statement showing that the share draft or check
(c) The treasurer shall preserve all records and accounts required to be kept under 11 CFR 102.9 for 3 years after the report to which such records and accounts relate is filed.
(d) In performing recordkeeping duties, the treasurer or his or her authorized agent shall use his or her best efforts to obtain, maintain and submit the required information and shall keep a complete record of such efforts. If there is a showing that best efforts have been made, any records of a committee shall be deemed to be in compliance with this Act. With regard to the requirements of 11 CFR 102.9(b)(2) concerning receipts, invoices and cancelled checks, the treasurer will not be deemed to have exercised best efforts to obtain, maintain and submit the records unless he or she has made at least one written effort per transaction to obtain a duplicate copy of the invoice, receipt, or cancelled check.
(e) If the candidate, or his or her authorized committee(s), receives contributions prior to the date of the primary election, which contributions are designated in writing by the contributor for use in connection with the general election, such candidate or such committee(s) shall use an acceptable accounting method to distinguish between contributions received for the primary election and contributions received for the general election. Acceptable methods include, but are not limited to:
(1) The designation of separate accounts for each election, caucus or convention or
(2) The establishment of separate books and records for each election.
If a candidate is not a candidate in the general election, any contributions made for the general election shall be refunded to the contributors, redesignated in accordance with 11 CFR 110.1(b)(5) or 110.2(b)(5), or reattributed in accordance with 11 CFR 110.1(k)(3), as appropriate.
(f) The treasurer shall maintain the documentation required by 11 CFR 110.1(1), concerning designations, redesignations, reattributions and the dates of contributions. If the treasurer does not maintain this documentation, 11 CFR 110.1(1)(5) shall apply.
All disbursements by a political committee, except for disbursements from the petty cash fund under 11 CFR 102.11, shall be made by check or similar draft drawn on account(s) established at the committee's campaign depository or depositories under 11 CFR part 103.
A political committee may maintain a petty cash fund out of which it may make expenditures not in excess of $100 to any person per purchase or transaction. If a petty cash fund is maintained, it shall be the duty of the treasurer of the political committee to keep and maintain a written journal of all disbursements. This written journal shall include the name and address of every person to whom any disbursement is made, as well as the date, amount, and purpose of such disbursement. In addition, if any disbursement is made for a candidate, the journal shall include the name of that candidate and the office (including State and Congressional district) sought by such candidate.
(a) Each candidate for Federal office (other than a nominee of a political party to the Office of Vice President) shall designate in writing a political committee to serve as his or her principal campaign committee in accordance with 11 CFR 101.1(a) no later than 15 days after becoming a candidate. Each principal campaign committee shall register, designate a depository and report in accordance with 11 CFR parts 102, 103 and 104.
(b) No political committee may be designated as the principal campaign committee of more that one candidate.
(c)(1) No political committee which supports or has supported more than one candidate may be designated as a
(2) For purposes of 11 CFR 102.12(c), the term
(a)(1) Any political committee authorized by a candidate to receive contributions or make expenditures shall be authorized in writing by the candidate. Such authorization must be filed with the principal campaign committee in accordance with 11 CFR 102.1(b).
(2) If an individual fails to disavow activity pursuant to 11 CFR 100.3(a)(3) and is therefore a candidate upon notice by the Commission, he or she shall authorize the committee in writing.
(b) A candidate is not required to authorize a national, State or subordinate State party committee which solicits funds to be expended on the candidate's behalf pursuant to 11 CFR 110.7.
(c)(1) No political committee which supports or has supported more than one candidate may be designated as an authorized committee, except that two or more candidates may designate a political committee established solely for the purpose of joint fundraising by such candidates as an authorized committee.
(2) For purposes of 11 CFR 102.13(c), the term
(a) The name of each authorized committee shall include the name of the candidate who authorized such committee. Except as provided in paragraph (b) of this section, no unauthorized committee shall include the name of any candidate in its name. For purposes of this paragraph, “name” includes any name under which a committee conducts activities, such as solicitations or other communications, including a special project name or other designation.
(b)(1) A delegate committee, as defined at 11 CFR 100.5(e)(5), shall include the word
(2) A political committee established solely to draft an individual or to encourage him or her to become a candidate may include the name of such individual in the name of the committee provided the committee's name clearly indicates that it is a draft committee.
(3) An unauthorized political committee may include the name of a candidate in the title of a special project name or other communication if the title clearly and unambiguously shows opposition to the named candidate.
(c) The name of a separate segregated fund established pursuant to 11 CFR 102.1(c) shall include the full name of its connected organization. Such fund may also use a clearly recognized abbreviation or acronym by which the connected organization is commonly known. Both the full name and such abbreviation or acronym shall be included on the fund's Statement of Organization, on all reports filed by the fund, and in all notices required by 11 CFR 109.3 and 110.11. The fund may make contributions using its acronym or abbreviated name. A fund established by a corporation which has a
All funds of a political committee shall be segregated from, and may not be commingled with, any personal funds of officers, members or associates of that committee, or with the personal funds of any other individual. See also 11 CFR 103.3 and part 114 and 2 U.S.C. 441b.
Each political committee shall comply with the notice requirements for solicitation of contributions set forth at 11 CFR 110.11.
(a)
(ii) The participants may hire a commercial fundraising firm or other agent to assist in conducting the joint fundraising activity. In that case, however, the fundraising representative shall still be responsible for ensuring that the recordkeeping and reporting requirements set forth in this section are met.
(2) The procedures in 11 CFR 102.17(c) will govern all joint fundraising activity conducted under this section. The participants in joint fundraising activity may include political party committees (whether or not they are political committees under 11 CFR 100.5), candidate committees, multicandidate committees, and unregistered organizations which do not qualify as collecting agents under 11 CFR 102.6(b).
(3) A fundraising representative conducting joint fundraising under this section is distinguished from an unregistered organization acting as a collecting agent under 11 CFR 102.6(b). If a separate segregated fund or an unregistered organization qualifies and acts as a collecting agent under 11 CFR 102.6(b), the provisions of 11 CFR 102.17 will not apply to that fundraising activity.
(b)
(2)
(3)
(ii) A participant may advance more than its proportionate share of the fundraising costs, however, the amount advanced which is in excess of the participant's proportionate share shall not exceed the amount that participant could legally contribute to the remaining participants.
(iii) If all the participants are affiliated under 11 CFR 110.3 or if the participants are all party committees of the same political party, there is no limit on the amount a participant may advance for fundraising costs on behalf of the other participants.
(c)
(1)
(2)
(i) This notice shall include the following information:
(A) The names of all committees participating in the joint fundraising activity whether or not such committees are political committees under 11 CFR 100.5; and
(B) The allocation formula to be used for distributing joint fundraising proceeds; and
(C) A statement informing contributors that, notwithstanding the stated allocation formula, they may designate their contributions for a particular participant or participants; and
(D) A statement informing contributors that the allocation formula may change if a contributor makes a contribution which would exceed the amount that contributor may give to any participant.
(ii) In the following situations, the notice shall include the following additional information:
(A) If one or more participants engage in the joint fundraising activity solely to satisfy outstanding debts, a statement informing contributors that the allocation formula may change if a participant receives sufficient funds to pay its outstanding debts; and
(B) If one or more participants can lawfully accept contributions that are prohibited under the Act, a statement informing contributors that contributions from prohibited sources will be distributed only to those participants that can accept them.
(3)
(ii) The fundraising representative shall deposit all joint fundraising proceeds in the separate depository account within ten days of receipt as required by 11 CFR 103.3. The fundraising representative may delay distribution of the fundraising proceeds to the participants until all contributions are received and all expenses are paid.
(iii) For contribution reporting and limitation purposes, the date of receipt
(4)
(ii) The fundraising representative shall collect and retain contributor information with regard to gross proceeds as required under 11 CFR 102.8 and shall also forward such information to participating political committees. The fundraising representative shall also keep a record of the total amount of contributions received from prohibited sources, if any, and of all transfers of prohibited contributions to participants that can accept them.
(iii) The fundraising representative shall retain the records required under 11 CFR 102.9 regarding fundraising disbursements for a period of three years. Commercial fundraising firms or agents shall forward such information to the fundraising representative.
(5)
(6)
(ii) Designated contributions which exceed the contributor's limit to the designated participant under 11 CFR part 110 may not be reallocated by the fundraising representative absent the prior written permission of the contributor.
(iii) If any participants can lawfully accept contributions from sources prohibited under the Act, any such contributions that are received are not required to be distributed according to the allocation formula.
(7)
(A) After gross contributions are allocated among the participants under 11 CFR 102.17(c)(6), the fundraising representative shall calculate each participant's share of expenses based on the percentage of the total receipts each participant had been allocated. If contributions from sources prohibited under the Act have been received and distributed under 11 CFR 102.17(c)(6)(iii), those contributions need not be included in the total receipts for the purpose of allocating expenses under this section. To calculate each participant's net proceeds, the fundraising representative shall subtract the participant's share of expenses from the amount that participant has been allocated from gross proceeds.
(B) A participant may only pay expenses on behalf of another participant subject to the contribution limits of 11 CFR part 110.
(C) The expenses from a series of fundraising events or activities shall be allocated among the participants on a per-event basis regardless of whether the participants change or remain the same throughout the series.
(ii) If participating committees are affilated as defined in 11 CFR 110.3 prior to the joint fundraising activity or if participants are party committees of the same political party, expenses need not be allocated among those participants. Payment of such expenses by an unregistered committee or organization on behalf of an affiliated political committee may cause the unregistered organization to become a political committee.
(iii) Payment of expenses may be made from gross proceeds by the fundraising representative.
(8)
(B) After distribution of net proceeds, each participating political committee shall report its share of net proceeds received as a transfer-in from the fundraising representative. Each participating political committee shall also file a memo Schedule A itemizing its share of gross receipts as contributions from original contributors to the extent required under 11 CFR 104.3(a).
(ii)
2 U.S.C. 432(h), 438(a)(8).
Each committee shall notify the Commission of the campaign depository(ies) it has designated, pursuant to 11 CFR 101.1 and 103.2.
Each political committee shall designate one or more State banks, federally chartered depository institutions (including a national bank), or depository institutions the depositor accounts of which are insured by the Federal Deposit Insurance Corporation, Federal Savings and Loan Insurance Corporation, or the National Credit Union Administration, as its campaign depository or depositories. One or more depositories may be established in one or more States. Each political committee shall maintain at least one checking account or transaction account at one of its depositories. Additional accounts may be established at each depository.
(a) All receipts by a political committee shall be deposited in account(s) established pursuant to 11 CFR 103.2, except that any contribution may be, within 10 days of the treasurer's receipt, returned to the contributor without being deposited. The treasurer of the committee shall be responsible for making such deposits. All deposits shall be made within 10 days of the treasurer's receipt. A committee shall make all disbursements by check or similar drafts drawn on an account at its designated campaign depository, except for expenditures of $100 or less made from a petty cash fund maintained pursuant to 11 CFR 102.11. Funds may be transferred from the depository for investment purposes, but shall be returned to the depository before such funds are used to make expenditures.
(b) The treasurer shall be responsible for examining all contributions received for evidence of illegality and for ascertaining whether contributions received, when aggregated with other contributions from the same contributor, exceed the contribution limitations of 11 CFR 110.1 or 110.2.
(1) Contributions that present genuine questions as to whether they were made by corporations, labor organizations, foreign nationals, or Federal contractors may be, within ten days of the treasurer's receipt, either deposited into a campaign depository under 11 CFR 103.3(a) or returned to the contributor. If any such contribution is deposited, the treasurer shall make his or her best efforts to determine the legality of the contribution. The treasurer shall make at least one written or oral request for evidence of the legality of the contribution. Such evidence includes, but is not limited to, a written statement from the contributor explaining why the contribution is legal, or a written statement by the treasurer memorializing an oral communication explaining why the contribution is legal. If the contribution cannot be determined to be legal, the treasurer shall, within thirty days of the treasurer's receipt of the contribution, refund the contribution to the contributor.
(2) If the treasurer in exercising his or her responsibilities under 11 CFR 103.3(b) determined that at the time a contribution was received and deposited, it did not appear to be made by a corporation, labor organization, foreign national or Federal contractor, or made in the name of another, but later discovers that it is illegal based on new evidence not available to the political committee at the time of receipt and deposit, the treasurer shall refund the contribution to the contributor within thirty days of the date on which the illegality is discovered. If the political committee does not have sufficient funds to refund the contribution at the time the illegality is discovered, the political committee shall make the refund from the next funds it receives.
(3) Contributions which on their face exceed the contribution limitations set forth in 11 CFR 110.1 or 110.2, and contributions which do not appear to be excessive on their face, but which exceed the contribution limits set forth in 11 CFR 110.1 or 110.2 when aggregated with other contributions from the same contributor, and contributions which cannot be accepted under the net debts outstanding provisions of 11 CFR 110.1(b)(3) and 110.2(b)(3) may be either deposited into a campaign depository under 11 CFR 103.3(a) or returned to the contributor. If any such contribution is deposited, the treasurer may request redesignation or reattribution of the contribution by the contributor in accordance with 11 CFR 110.1(b), 110.1(k) or 110.2(b), as appropriate. If a redesignation or reattribution is not obtained, the treasurer shall, within sixty days of the treasurer's receipt of the contribution, refund the contribution to the contributor.
(4) Any contribution which appears to be illegal under 11 CFR 103.3(b)(1) or (3), and which is deposited into a campaign depository shall not be used for any disbursements by the political committee until the contribution has been determined to be legal. The political committee must either establish a separate account in a campaign depository for such contributions or maintain sufficient funds to make all such refunds.
(5) If a contribution which appears to be illegal under 11 CFR 103.3(b)(1) or (3) is deposited in a campaign depository, the treasurer shall make and retain a written record noting the basis for the appearance of illegality. A statement noting that the legality of the contribution is in question shall be included in the report noting the receipt of the contribution. If a contribution is refunded to the contributor because it cannot be determined to be legal, the treasurer shall note the refund on the report covering the reporting period in which the refund is made.
Any campaign depository designated by the principal campaign committee of a political party's candidate for President shall be the campaign depository for that political party's candidate for the office of Vice President.
2 U.S.C. 431(1), 431(8), 431(9), 432(i), 434, 438(a)(8), 438(b), 439a.
(a)
(b)
(a) Each report filed by a political committee under 11 CFR part 104 shall be filed on the appropriate FEC form as set forth below at 11 CFR 104.2(e).
(b) Forms may be obtained from the Federal Election Commission, 999 E Street, NW., Washington, DC 20463.
(c) A committee may reproduce FEC forms for its own use provided they are not reduced in size.
(d) With prior approval of the Commission a committee may use, for reporting purposes, computer produced schedules of itemized receipts and disbursements provided they are reduced to the size of FEC forms. The committee shall submit a sample of the proposed format with its request for approval.
(e) The following forms shall be used by the indicated type of reporting committee:
(1)
(2)
(3)
(a)
(1)
(2)
(i) Contributions from persons other than any committees;
(A) Itemized contributions from persons, other than any committees, including contributions from individuals;
(B) Unitemized contributions from persons, other than any committees, including contributions from individuals;
(C) Total contributions from persons other than any committees, including contributions from individuals;
(ii) Contributions from political party committees, including contributions from party committees which are not political committees under the Act;
(iii) Contributions from political committees, including contributions from committees which are not political committees under the Act but excluding contributions from any party committees;
(iv) Total contributions;
(v) Transfers from affiliated committees or organizations and, where the reporting committee is a political party committee, transfers from other party committees of the same party, regardless of whether such committees are affiliated;
(vi) All loans;
(vii) Offsets to operating expenditures;
(A) Itemized offsets to operating expenditures (such as rebates and refunds);
(B) Unitemized offsets to operating expenditures (such as rebates and refunds);
(C) Total offsets to operating expenditures;
(viii) Other receipts:
(A) Itemized other receipts (such as dividends and interest);
(B) Unitemized other receipts (such as dividends and interest);
(C) The total sum of all other receipts.
(ix) The total sum of all receipts.
(3)
(i) Contributions from persons other than any committees;
(A) Itemized contributions from persons, other than any committees, including contributions from individuals, but excluding contributions from a candidate to his or her authorized committees;
(B) Unitemized contributions from persons, other than any committees, including contributions from individuals, but excluding contributions from a candidate to his or her authorized committees;
(C) Total contributions from persons other than any committees, including contributions from individuals, but excluding contributions from a candidate to his or her authorized committees;
(ii) Contributions from the candidate, excluding loans which are reported under 11 CFR 104.3(a)(3)(vii));
(iii) Contributions from political party committees, including party committees which are not political committees under the Act, except that expenditures made under 11 CFR 110.7 (2 U.S.C. 441a(d)), by a party committee shall not be reported as contributions by the authorized committee on whose behalf they are made;
(iv) Contributions from committees, including contributions from committees which are not political committees under the Act, but excluding contributions from any party committees;
(v) Total contributions;
(vi) Transfers from other authorized committee(s) of the same candidate, regardless of amount;
(vii) Loans;
(A) All loans to the committee, except loans made, guaranteed, or endorsed by a candidate to his or her authorized committee;
(B) Loans made, guaranteed, or endorsed by a candidate to his or her authorized committee;
(C) Total loans;
(viii) For authorized committee(s) of Presidential candidates, federal funds received under chapters 95 and 96 of the Internal Revenue Code of 1954 (Title 26, United States Code);
(ix) Offsets to operating expenditures;
(A) Itemized offsets to operating expenditures (such as refunds and rebates);
(B) Unitemized offsets to operating expenditures (such as refunds and rebates);
(C) Total offsets to operating expenditures;
(x) Other receipts;
(A) Itemized other receipts (such as dividends and interest);
(B) Unitemized other receipts (such as dividends and interest);
(C) Total other receipts;
(xi) Total receipts.
(4)
(i) Each person, other than any committee, who makes a contribution to the reporting committee during the reporting period, whose contribution or contributions aggregate in excess of $200 per calendar year, together with the date of receipt and amount of any such contributions, except that the reporting committee may elect to report such information for contributors of lesser amount(s) on a separate schedule;
(ii) All committees (including political committees and committees which do not qualify as political committees under the Act) which make contributions to the reporting committee during the reporting period, together with the date of receipt and amount of any such contribution;
(iii) Transfers;
(A) For authorized committees of a candidate for Federal office, each authorized committee which makes a transfer to the reporting committee, together with the date and amount of such transfer;
(B) For committees which are not authorized by a candidate for Federal office, each affiliated committee or organization 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 party committee regardless of whether such committees are affiliated, together with the date and amount of such transfer;
(iv) Each person who makes a loan to the reporting committee or to the candidate acting as an agent of the committee, during the reporting period, together with the identification of any endorser or guarantor of such loan, the date such loan was made and the amount or value of such loan;
(v) Each 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 any such receipt; and
(vi) Each 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.
(b)
(1)
(i) Operating expenditures;
(A) Itemized operating expenditures;
(B) Unitemized operating expenditures;
(C) Total operating expenditures;
(ii) Transfers to affiliated committees or organizations and, where the reporting committee is a political party committee, transfers to other political party committees regardless of whether they are affiliated;
(iii) Repayment of all loans;
(iv) Offsets;
(A) Itemized offsets to contributions (including contribution refunds);
(B) Unitemized offsets to contributions (including contribution refunds);
(C) Total offsets to contributions;
(v) Contributions made to other political committees;
(vi) Loans made by the reporting committee;
(vii) Independent expenditures made by the reporting committee;
(viii) Expenditures made under 11 CFR 110.7 (2 U.S.C. 441a(d)), See 11 CFR 104.3(a)(3)(iii);
(ix) Other disbursements;
(A) Itemized other disbursements;
(B) Unitemized other disbursements;
(C) Total other disbursements;
(x) Total disbursements.
(2)
(i) Operating expenditures;
(A) Itemized operating expenditures;
(B) Unitemized operating expenditures;
(C) Total operating expenditures;
(ii) Transfers to other committees authorized by the same candidate;
(iii) Repayment of loans;
(A) Repayment of loans made by or guaranteed by the candidate;
(B) Repayment of all other loans;
(C) Total loan repayments;
(iv) For an authorized committee of a candidate for the office of President, disbursements not subject to the limitations of 11 CFR 110.8 (2 U.S.C. 441a(b));
(v) Offsets;
(A) Itemized offsets to contributions (including contribution refunds);
(B) Unitemized offsets to contributions (including contribution refunds);
(C) Total offsets to contributions;
(vi) Other disbursements;
(A) Itemized other disbursements;
(B) Unitemized other disbursements;
(C) Total other disbursements;
(vii) Total disbursements.
(3)
(i) Each person to whom an expenditure in an aggregate amount or value in excess of $200 within the calendar year is made by the reporting committee to meet the committee's operating expenses, together with the date, amount, and purpose of such operating expenditure;
(A) As used in 11 CFR 104.3(b)(3),
(B) Examples of statements or descriptions which meet the requirements of 11 CFR 104.3(b)(3) include the following: dinner expenses, media, salary, polling, travel, party fees, phone banks, travel expenses, travel expense reimbursement, and catering costs. However, statements or descriptions such as
(ii) Each 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
(iii) Each person who receives a loan repayment from the reporting committee during the reporting period, together with the date and amount of such loan repayment;
(iv) Each person who receives a contribution refund or other offset to contributions from the reporting committee where such contribution refund was reported under 11 CFR 104.3(b)(1)(iv), together with the date and amount of such refund or offset;
(v) Each 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, and, in the case of a contribution to an authorized committee, the candidate's name and office sought (including State and Congressional district, if applicable);
(vi) Each person who has received a loan from the reporting committee during the reporting period, together with the date and amount or value of such loan;
(vii) (A) Each 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(s);
(B) For each independent expenditure reported, the committee must also provide a statement which indicates whether such independent expenditure is in support of, or in opposition to a particular candidate, as well as the name of the candidate and office sought by such candidate (including State and Congressional district, when applicable), and a certification, under penalty of perjury, as to 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;
(C) The information required by 11 CFR 104.3(b)(3)(vii)(A) and (B) shall be reported on Schedule E as part of a report covering the reporting period in which the aggregate disbursements for any independent expenditure to any person exceed $200 per calendar year. Schedule E shall also include the total of all such expenditures of $200 or less made during the reporting period.
(viii) Each person who receives any expenditure from the reporting committee during the reporting period in connection with an expenditure under 11 CFR 110.7 (2 USC 441a(d)), together with the date, amount, and purpose of any such expenditure as well as the name of, and office sought by (including State and Congressional district, when applicable), the candidate on whose behalf the expenditure is made; and
(ix) Each person who has received any disbursement within the reporting period not otherwise disclosed in accordance with 11 CFR 104.3(b)(3) to whom the aggregate amount or value of disbursements made by the reporting committee exceeds $200 within the calendar year, together with the date, amount and purpose of any such disbursement.
(4)
(i) Each person to whom an expenditure in an aggregate amount or value in excess of $200 within the calendar year is made by the reporting committee to meet the committee's operating expenses, together with the date, amount and purpose of each expenditure.
(A) As used in 11 CFR 104.3(b)(4),
(B) In addition to reporting the purpose described in 11 CFR 104.3(b)(4)(i)(A), whenever an authorized committee itemizes a disbursement that is partially or entirely a personal use for which reimbursement is required under 11 CFR 113.1(g)(1)(ii) (C) or (D), it shall provide a brief explanation of the activity for which reimbursement is required.
(ii) Each authorized committee of the same candidate to which a transfer is made by the reporting committee during the reporting period, together with the date and amount of such transfer;
(iii) Each person who receives a loan repayment from the reporting committee during the reporting period, together with the date and amount of such loan repayment;
(iv) Each person who receives a loan repayment from the candidate, if the proceeds of such loan were used in connection with the candidate's campaign;
(v) Each person who receives a contribution refund or other offset to contributions from the reporting committee where such contribution refund was reported under 11 CFR 104.3(b)(2)(v), together with the date and amount of such refund or offset.
(vi) Each person who has received any disbursement(s) not otherwise disclosed under 11 CFR 104.3(b)(4) to whom the aggregate amount or value of such disbursements exceeds $200 within the calendar year, together with the date, amount, and purpose of any such disbursement.
(c)
(1) (i) The total contributions to the reporting committee;
(ii) The total offsets to contributions;
(iii) The net contributions (subtract total offsets from total contributions);
(2) (i) The reporting committee's total operating expenditures;
(ii) The total offsets to operating expenditures;
(iii) The net operating expenditures (subtract total offsets from total operating expenditures).
(d)
(1) In addition, when a candidate or political committee obtains a loan from, or establishes a line of credit at, a lending institution as described in 11 CFR 100.7(b)(11) and 100.8(b)(12), it shall disclose in the next due report the following information on schedule C-1 or C-P-1:
(i) The date and amount of the loan or line of credit;
(ii) The interest rate and repayment schedule of the loan, or of each draw on the line of credit;
(iii) The types and value of traditional collateral or other sources of repayment that secure the loan or the line of credit, and whether that security interest is perfected;
(iv) An explanation of the basis upon which the loan was made or the line of credit established, if not made on the basis of either traditional collateral or the other sources of repayment described in 11 CFR 100.7(b)(11)(i)(A) and (B) and 100.8(b)(12)(i)(A) and (B); and
(v) A certification from the lending institution that the borrower's responses to paragraphs (d)(1)(i)-(iv) of this section are accurate, to the best of the lending institution's knowledge; that the loan was made or the line of credit established on terms and conditions (including interest rate) no more favorable at the time than those imposed for similar extensions of credit
(2) The political committee shall submit a copy of the loan or line of credit agreement which describes the terms and conditions of the loan or line of credit when it files Schedule C-1 or C-P-1.
(3) The political committee shall file in the next due report a Schedule C-1 or C-P-1 each time a draw is made on a line of credit, and each time a loan or line of credit is restructured to change the terms of repayment.
(e)
(2) For purposes of this section, a pseudonym is a wholly fictitious name which does not represent the name of an actual contributor to a committee.
(3) If a committee uses pseudonyms it shall subtract the total dollar amount of the fictitious contributions from the total amount listed as a memo entry on line 11(a) of the Detailed Summary page,
(4) No authorized committee of a candidate shall attribute more than $1,000 in contributions to the same pseudonym for each election and no other political committee shall attribute more than $5,000 in contributions to the same pseudonym in any calendar year.
(5) A committee using pseudonyms shall send a list of such pseudonyms under separate cover directly to the Reports Analysis Division, Federal Election Commission, 999 E Street, NW., Washington, DC 20463, on or before the date on which any report containing such pseudonyms is filed with the Secretary of the Senate or the Commission. The Commission shall maintain the list, but shall exclude it from the public record. A committee shall not send any list of pseudonyms to the Secretary of the Senate or to any Secretary of State or equivalent state officer.
(6) A political committee shall not use pseudonyms for the purpose of circumventing the reporting requirements or the limitations and prohibitions of the Act.
(f)
(g)
(h)
(i)
(j)
(a) Every political committee which makes independent expenditures shall report all such expenditures on Schedule E in accordance with 11 CFR 104.3(b)(3)(vii). Every person (other than a political committee) shall report independent expenditures in accordance with 11 CFR part 109.
(b)
(c)
(1) For independent expenditures in support of or in opposition to, a candidate for President or Vice-President: with the Commission and the Secretary of State for the State in which the expenditure is made.
(2) For independent expenditures in support of, or in opposition to, a candidate for the Senate: with the Secretary of the Senate and the Secretary of State for the State in which the candidate is seeking election.
(3) For independent expenditures in support of, or in opposition to, a candidate for the House of Representatives: with the Federal Election Commission and the Secretary of State for the State in which the candidate is seeking election.
(a)
(1)
(B) The report shall disclose all receipts and disbursements as of the 20th day before a primary or general election.
(ii)
(B) The report shall be complete as of the 20th day after the general election.
(iii)
(B) The report shall be complete as of the last day of each calendar quarter.
(C) The requirement for a quarterly report shall be waived if, under 11 CFR 104.5(a)(1)(i), a pre-election report is required to be filed during the period beginning on the fifth day after the close of the calendar quarter and ending on the fifteenth day after the close of the calendar quarter.
(2)
(B) The second report shall cover July 1 through December 31, and shall be filed no later than January 31 of the following year.
(b)
(1)
(A) Each report shall be filed no later than the 20th day after the last day of each month.
(B) The report shall be complete as of the last day of each month.
(C) In lieu of the monthly reports due in November and December, a pre-election report shall be filed as prescribed at 11 CFR 104.5(a)(1)(i), a post-general election report shall be filed as prescribed at 11 CFR 104.5(a)(1)(ii), and a year-end report shall be filed no later than January 31 of the following calendar year.
(ii) If on January 1 of the election year, the committee does not anticipate receiving or has not received contributions aggregating $100,000 or does not anticipate making or has not made expenditures aggregating $100,000, the committee shall file a preelection report or reports, a post general election report and, quarterly reports, as prescribed in 11 CFR 104.5(a)(1).
(iii) If during the election year, a committee filing under 11 CFR 104.5(b)(1)(ii) receives contributions aggregating $100,000 or makes expenditures aggregating $100,000, the treasurer shall begin filing monthly reports at the next reporting period.
(2)
(c)
(1)
(B) The reports shall be complete as of the last day of the calendar quarter for which the report is filed.
(C) The requirement for a quarterly report shall be waived if under 11 CFR 104.5(c)(1)(ii) a pre-election report is required to be filed during the period beginning on the fifth day after the close of the calendar quarter and ending on the fifteenth day after the close of the calendar quarter.
(ii)
(B) The report shall disclose all receipts and disbursements as of the 20th day before a primary or general election.
(iii)
(B) The report shall be complete as of the 20th day after the general election.
(2)
(B) The second report shall cover July 1 through December 31, and shall be filed no later than January 31 of the following year.
(3)
(ii) In lieu of the monthly reports due in November and December, in any year in which a regularly scheduled general election is held, a pre-election report shall be filed as prescribed at 11 CFR 104.5(a)(1)(i), a post general election report shall be filed as prescribed at 11 CFR 104.5(a)(1)(ii), and a year-end report shall be filed no later than January 31 of the following calendar year.
(d)
(e)
(f)
(g)
(h)
(2) Reports required to be filed under 11 CFR 104.5(a) or (c) may be waived by the Commission for committees filing special election reports if a report under 11 CFR 104.5(a) or (c) is due within 10 days of the date a special election report is due. The Commission shall notify all appropriate committees of reports so waived.
(a)
(1) For the purposes of 11 CFR 104.6(a),
(2) The term election shall also include each special election held to fill a vacancy in a Federal office (11 CFR 100.2(f)) or each runoff election (11 CFR 100.2(d)).
(b)
(c) Each report filed under 11 CFR 104.6 shall include, for each communication:
(1) The type of communication (such as direct mail, telephone or telegram);
(2) The date(s) of the communication;
(3) The name of the candidate, the office sought (and the district and state of the office, if applicable), and whether the communication was for the primary or general election;
(4) Whether the communication was in support of or in opposition to, a particular candidate; and
(5) The cost of the communication.
(a) When the treasurer of a political committee shows that best efforts have been used to obtain, maintain and submit the information required by the Act for the political committee, any report of such committee shall be considered in compliance with the Act.
(b) With regard to reporting the identification as defined at 11 CFR 100.12 of each person whose contribution(s) to the political committee and its affiliated committees aggregate in excess of $200 in a calendar year (pursuant to 11 CFR 104.3(a)(4)), the treasurer and the committee will only be deemed to have exercised best efforts to obtain, maintain and report the required information if—
(1) All written solicitations for contributions include a clear request for the contributor's full name, mailing address, occupation and name of employer, and include an accurate statement of Federal law regarding the collection and reporting of individual contributor identifications. The following are examples of acceptable statements, but are not the only allowable statements: “Federal law requires us to use our best efforts to collect and report the name, mailing address, occupation and name of employer of individuals whose contributions exceed $200 in a calendar year;” and “To comply with Federal law, we must use best efforts to obtain, maintain, and submit the name, mailing address, occupation and name of employer of individuals whose contributions exceed $200 per calendar year.” The request and statement shall appear in a clear and conspicuous manner on any response material included in a solicitation. The request and statement are not clear and conspicuous if they are in small type in comparison to the solicitation and response materials, or if the printing is difficult to read or if the placement is easily overlooked.
(2) For each contribution received aggregating in excess of $200 per calendar year which lacks required contributor information, such as the contributor's full name, mailing address, occupation or name of employer, the treasurer makes at least one effort after the receipt of the contribution to obtain the missing information. Such effort shall
(3) The treasurer reports all contributor information not provided by the contributor, but in the political committee's possession, or in its connected organization's possession, regarding contributor identifications, including information in contributor records, fundraising records and previously filed reports, in the same two-year election cycle in accordance with 11 CFR 104.3; and
(4)(i) If any of the contributor information is received after the contribution has been disclosed on a regularly scheduled report, the political committee shall either:
(A) File with its next regularly scheduled report, an amended memo Schedule A listing all contributions for which contributor identifications have been received during the reporting period covered by the next regularly scheduled report together with the dates and amounts of the contribution(s) and an indication of the previous report(s) to which the memo Schedule A relates; or
(B) File on or before its next regularly scheduled reporting date, amendments to the report(s) originally disclosing the contribution(s), which include the contributor identifications together with the dates and amounts of the contribution(s).
(ii) Amendments must be filed for all reports that cover the two-year election cycle in which the contribution was received and that disclose itemizable contributions from the same contributor. However, political committees are not required to file amendments to reports covering previous election cycles.
(a) A reporting committee shall disclose the identification of each individual who contributes an amount in excess of $200 to the committee's federal account(s). This identification shall include the individual's name, mailing address, occupation, the name of his or her employer, if any, and the date of receipt and amount of any such contribution. If an individual contributor's name is known to have changed since an earlier contribution reported during the calendar year, the exact name or address previously used shall be noted with the first reported contribution from that contributor subsequent to the name change.
(b) In each case where a contribution received from an individual in a reporting period is added to previously unitemized contributions from the same individual and the aggregate exceeds $200 in a calendar year the reporting committee shall disclose the identification of such individual along with the date of receipt and amount of any such contribution. Except for contributions by payroll deduction, each additional contribution from the individual shall be separately itemized. In the case of a political committee other than an authorized committee which receives contributions through a payroll deduction plan, such committee is not required to separately itemize each additional contribution received from the contributor during the reporting period. In lieu of separate itemization, such committee may report: the aggregate amount of contributions received from the contributor through the payroll deduction plan during the reporting period; the identification of the individual; and a statement of the amount deducted per pay period.
(c) Absent evidence to the contrary, any contribution made by check,
(d) (1) If an itemized contribution is made by more than one person in a single written instrument, the treasurer shall report the amount to be attributed to each contributor.
(2)(i) If a contribution is redesignated by a contributor, in accordance with 11 CFR 110.1(b) or 110.2(b), the treasurer of the authorized political committee receiving the contribution shall report the redesignation in a memo entry on Schedule A of the report covering the reporting period in which the redesignation is received. The memo entry for each redesignated contribution shall be reported in the following manner—
(A) The first part of the memo entry shall disclose all of the information for the contribution as it was originally reported on Schedule A;
(B) The second part of the memo entry shall disclose all of the information for the contribution as it was redesignated by the contributor, including the election for which the contribution was redesignated and the date on which the redesignation was received.
(ii) If a contribution from a political committee is redesignated by the contributing political committee in accordance with 11 CFR 110.1(b) or 110.2(b), the treasurer of such political committee shall report the redesignation in a memo entry on Schedule B of the report covering the reporting period in which the redesignation is made. The memo entry for each redesignated contribution shall be reported in the following manner—
(A) The first part of the memo entry shall disclose all of the information for the contribution as it was originally reported on Schedule B;
(B) The second part of the memo entry shall disclose all of the information for the contribution as it was redesignated by the contributing political committee, including the election for which the contribution was redesignated and the date on which the redesignation was made.
(3) If an itemized contribution is reattributed by the contributor(s) in accordance with 11 CFR 110.1(k), the treasurer shall report the reattribution in a memo entry on Schedule A of the report covering the reporting period in which the reattribution is received. The memo entry for each reattributed contribution shall be reported in the following manner—
(i) The first part of the memo entry shall disclose all of the information for the contribution as it was originally reported on Schedule A;
(ii) The second part of the memo entry shall disclose all of the information for the contribution as it was reattributed by the contributors, including the date on which the reattribution was received.
(4) If a contribution is refunded to the contributor, the treasurer of the political committee making the refund shall report the refund on Schedule B of the report covering the reporting period in which the refund is made, in accordance with 11 CFR 103.3(b)(5) and 104.3(b). If a contribution is refunded to a political committee, the treasurer of the political committee receiving the refund shall report the refund on Schedule A of the report covering the reporting period in which the refund is received, in accordance with 11 CFR 104.3(a).
(e) National party committees shall disclose in a memo Schedule A information about each individual, committee, corporation, labor organization, or other entity that donates an aggregate amount in excess of $200 in a calendar year to the committee's non-federal account(s). This information shall include the donating individual's or entity's name, mailing address, occupation or type of business, and the date of receipt and amount of any such donation. If a donor's name is known to have changed since an earlier donation reported during the calendar year, the exact name or address previously used shall be noted with the first reported donation from that donor subsequent to the name change. The memo entry shall also include, where applicable, the information required by paragraphs (b) through (d) of this section.
(f) National party committees shall also disclose in a memo Schedule A information about each individual, committee, corporation, labor organization, or other entity that donates an
(a) Political committees shall report the full name and mailing address of each person to whom an expenditure in an aggregate amount or value in excess of $200 within the calendar year is made from the reporting committee's federal account(s), together with the date, amount and purpose of such expenditure, in accordance with 11 CFR 104.9(b). As used in 11 CFR 104.9,
(b) In each case when an expenditure made to a recipient in a reporting period is added to previously unitemized expenditures to the same recipient and the total exceeds $200 for the calendar year, the reporting committee shall disclose the recipient's full name and mailing address on the prescribed reporting forms, together with the date, amount and purpose of such expenditure. As used in 11 CFR 104.9,
(c) National party committees shall report in a memo Schedule B the full name and mailing address of each person to whom a disbursement in an aggregate amount or value in excess of $200 within the calendar year is made from the committee's non-federal account(s), together with the date, amount and purpose of such disbursement, in accordance with 11 CFR 104.9(b). As used in 11 CFR 104.9,
(d) National party committees shall report in a memo Schedule B the full name and mailing address of each person to whom a disbursement in an aggregate amount or value in excess of $200 within the calendar year is made from the committee's building fund account(s), together with the date, amount and purpose of such disbursement, in accordance with 11 CFR 104.9(b). As used in 11 CFR 104.9,
(e) National party committees shall report in a memo Schedule B each transfer from their non-federal account(s) to the non-federal account(s) of a state or local party committee.
(a)
(1)
(2)
(3)
(4)
(b)
(1)
(ii) In each subsequent report in the calendar year itemizing an allocated
(A) The committee shall state the category of activity for which each allocated disbursement was made, and shall summarize the total amount spent by the federal and non-federal accounts that year, to date, for each such category.
(B) Nonconnected committees, separate segregated funds, and Senate and House campaign committees of a national party that have allocated expenses according to the funds expended method as described in 11 CFR 106.5(c)(1) or 106.6(c) shall also report in a memo entry the total amounts expended in donations and direct disbursements on behalf of specific state and local candidates, to date, in that calendar year.
(2)
(3)
(4)
(5)
(a) Debts and obligations owed by or to a political committee which remain outstanding shall be continuously reported until extinguished. See 11 CFR 104.3(d). These debts and obligations shall be reported on separate schedules together with a statement explaining the circumstances and conditions under which each debt and obligation was incurred or extinguished. Where such debts and obligations are settled for less than their reported amount or value, the reporting committee shall include a statement as to the circumstances and conditions under which the debt or obligation was extinguished and the amount paid.
(b) A debt or obligation, including a loan, written contract, written promise
Political committees which have cash on hand at the time of registration shall disclose on their first report the source(s) of such funds, including the information required by 11 CFR 104.3(a)(1). The cash on hand balance is assumed to be composed of those contributions most recently received by the committee. The committee shall exclude from funds to be used for Federal elections any contributions not permissible under the Act. See 11 CFR parts 110, 114, and 115.
(a) (1) The amount of an in-kind contribution shall be equal to the usual and normal value on the date received. Each in-kind contribution shall be reported as a contribution in accordance with 11 CFR 104.3(a).
(2) Except for items noted in 11 CFR 104.13(b), each in-kind contribution shall also be reported as an expenditure at the same usual and normal value and reported on the appropriate expenditure schedule, in accordance with 11 CFR 104.3(b).
(b) Contributions of stocks, bonds, art objects, and other similar items to be liquidated shall be reported as follows:
(1) If the item has not been liquidated at the close of a reporting period, the committee shall record as a memo entry (not as cash) the item's fair market value on the date received, including the name and mailing address (and, where in excess of $200, the occupation and name of employer) of the contributor.
(2) When the item is sold, the committee shall record the proceeds. It shall also report the (i) name and mailing address (and, where in excess of $200, the occupation and name of employer) of the purchaser, if purchased directly from the candidate or committee (as the purchaser shall be considered to have made a contribution to the committee), and (ii) the identification of the original contributor.
(a) Each individual having the responsibility to file a designation, report or statement required under this subchapter shall sign the original designation, report or statement.
(b) Each political committee or other person required to file any report or statement under this subchapter shall maintain all records relevant to such reports or statements as follows:
(1) Maintain records, including bank records, with respect to the matters required to be reported, including vouchers, worksheets, receipts, bills and accounts, which shall provide in sufficient detail the necessary information and data from which the filed reports and statements may be verified, explained, clarified, and checked for accuracy and completeness;
(2) Preserve a copy of each report or statement required to be filed under 11 CFR parts 102 and 104;
(3) Keep all reports required to be preserved under 11 CFR 104.14 available for audit, inspection, or examination by the Commission or its authorized representative(s) for a period of not less than 3 years after the report or statement is filed. (See 11 CFR 102.9(c)
(c) Acknowledgements by the Commission or the Secretary of the Senate, of the receipt of Statements of Organization, reports or other statements filed under 11 CFR parts 101, 102 and 104 are intended solely to inform the person filing the report of its receipt and neither the acknowledgement nor the acceptance of a report or statement shall constitute express or implied approval, or in any manner indicate that the contents of any report or statement fulfill the filing or other requirements of the Act or of these regulations.
(d) Each treasurer of a political committee, and any other person required to file any report or statement under these regulations and under the Act, shall be personally responsible for the timely and complete filing of the report or statement and for the accuracy of any information or statement contained in it.
(a) Any information copied, or otherwise obtained, from any report or statement, or any copy, reproduction, or publication thereof, filed under the Act, shall not be sold or used by any person for the purpose of soliciting contributions or for any commercial purpose, except that the name and address of any political committee may be used to solicit contributions from such committee.
(b) For purposes of 11 CFR 104.15,
(c) The use of information, which is copied or otherwise obtained from reports filed under 11 CFR part 104, in newspapers, magazines, books or other similar communications is permissible as long as the principal purpose of such communications is not to communicate any contributor information listed on such reports for the purpose of soliciting contributions or for other commercial purposes.
(a) The Commission may conduct audits of any political committee required to register under 11 CFR part 102 and to report under 11 CFR part 104. Prior to conducting any such audit or investigation, the Commission shall conduct an internal review of reports filed by selected committees to determine whether reports filed by a particular committee meet thresholds established by the Commission for substantial compliance with the Act. Such thresholds may vary according to the type of political committee being reviewed.
(b) The Commission may, upon affirmative vote of four members, conduct an audit and field investigation of any committee which meets the thresholds established pursuant to 11 CFR 104.16(a). All such audits and investigations shall commence within 30 days of such vote except that any audit or investigation of an authorized committee of a candidate shall be commenced within 6 months of the election for which such committee was authorized.
(c) The Commission may, upon affirmative vote of four members, conduct an audit and field investigation of any committee pursuant to 11 CFR 111.10.
(d) All audits and field investigations concerning the verification for and the receipt and use of payments under chapters 95 and 96 of title 26 shall be given priority over any audit or investigation of committees not receiving such payments.
(a)
(b)
(c)
(2) A report that does not pass the validation program will not be accepted by the Commission and will not be considered filed. If a committee submits a report that does not pass the validation program, the Commission will notify the committee that the report has not been accepted.
(d)
(e)
(f)
(g)
2 U.S.C. 432(g), 438(a)(8).
All designations, statements, reports, and notices, as well as any modification(s) or amendment(s) thereto, required to be filed under 11 CFR parts 101, 102, and 104 by a candidate for nomination or election to the office of Representative in, or Delegate or Resident Commissioner to, the Congress, by his or her authorized committee(s), shall be filed in original form with, and received by, the Federal Election Commission.
All designations, statements, reports, and notices as well as any modification(s) or amendment(s) thereto, required to be filed under 11 CFR parts 101, 102, and 104 by a candidate for nomination or election to the office of United States Senator, by his or her principal campaign committee or by any other political committee(s) which supports only candidates for nomination for election or election to the Senate of the United States shall be filed in original form with, and received by, the Secretary of the Senate, as custodian for the Federal Election Commission.
All designations, statements, reports, and notices, as well as any modification(s) or amendment(s) thereto, required to be filed under 11 CFR parts 101, 102 and 104 by a candidate for nomination for election or election to the office of President or Vice President of the United States or by his or her principal campaign committee shall be filed in original form with the Federal Election Commission.
All designations, statements, reports, and notices, as well as any modifications or amendments thereto, required to be filed under 11 CFR parts 101, 102, and 104 by a political committee other than any principal campaign committee or any committee referred to in 11 CFR 105.2 or 105.3, by persons other than political committees making independent expenditures under 11 CFR part 109, and by persons required to report the cost of communications under 11 CFR 104.6, shall be filed in original form with the Federal Election Commission.
(a) Either a microfilmed copy or photocopy of all original designations, statements, reports, modifications or amendments required to be filed pursuant to 11 CFR 105.2 shall be transmitted by the Secretary of the Senate to the Commission as soon as possible, but in any case no later than two (2) working days after receiving such designations, statements, reports, modifications, or amendments.
(b) The Secretary of the Senate shall then forward to the Commission a microfilm copy and a photocopy of
(c) The Secretary of the Senate shall place a time and date stamp on each original designation, statement, report, modification or amendment received.
2 U.S.C. 438(a)(8), 441a(b), 441a(g).
(a)
(2) An expenditure made on behalf of more than one clearly identified federal candidate shall be reported pursuant to 11 CFR 104.10(a). A payment that also includes amounts attributable to one or more non-federal candidates, and that is made by a political committee with separate federal and non-federal accounts, shall be made according to the procedures set forth in 11 CFR 106.5(g) or 106.6(e), as appropriate, but shall be reported pursuant to 11 CFR 104.10(a).
(b) An authorized expenditure made by a candidate or political committee on behalf of another candidate shall be reported as a contribution in-kind (transfer) to the candidate on whose behalf the expenditure was made, except that expenditures made by party committees pursuant to § 110.7 need only be reported as an expenditure.
(c)
(1) Expenditures for rent, personnel, overhead, general administrative, fund-raising, and other day-to-day costs of political committees need not be attributed to individual candidates, unless these expenditures are made on behalf of a clearly identified candidate and the expenditure can be directly attributed to that candidate.
(2) Expenditures for educational campaign seminars, for training of campaign workers, and for registration or get-out-the-vote drives of committees need not be attributed to individual candidates unless these expenditures are made on behalf of a clearly identified candidate, and the expenditure can be directly attributed to that candidate.
(3) Payments made for the cost of certain voter registration and get-out-the-vote activities conducted by State or local party organizations on behalf of any Presidential or Vice-Presidential candidate(s) are exempt from the definition of a contribution or an expenditure under 11 CFR 100.7(b)(17) and 100.8(b)(18). If the State or local party organization includes references
(d) For purposes of this section,
(e) Party committees, separate segregated funds, and nonconnected committees that make disbursements for administrative expenses, fundraising, exempt activities, or generic voter drives in connection with both federal and non-federal elections shall allocate their expenses in accordance with § 106.5 or § 106.6, as appropriate.
(a)
(2) Disbursements made prior to the time an individual becomes a candidate for the purpose of determining whether that individual should become a candidate pursuant to 11 CFR 100.7(b)(1) and 100.8(b)(1), i.e., payments for testing the waters, shall be allocable expenditures under this section if the individual becomes a candidate.
(b)
(2)
(i)
(B)
(C)
(D)
(E)
(F)
(G)
(ii)
(iii)
(B)
(C)
(D)
(iv)
(v)
(3)
(c)
(d)
(a) This section applies to allocation for expenses between campaign and non-campaign related travel with respect to campaigns of candidates for Federal office, other than Presidential and Vice Presidential candidates who receive federal funds pursuant to 11 CFR part 9005 or 9036. (See 11 CFR 9004.7 and 9034.7) All expenditures for campaign-related travel paid for by a candidate from a campaign account or by his or her authorized committees or by any other political committee shall be reported.
(b)(1) Travel expenses paid for by a candidate from personal funds, or from a source other than a political committee, shall constitute reportable expenditures if the travel is campaign-related.
(2) Where a candidate's trip involves both campaign-related and non-campaign-related stops, the expenditures
(3) Where a candidate conducts any campaign-related activity in a stop, the stop is a campaign-related stop and travel expenditures made are reportable. Campaign-related activity shall not include any incidental contacts.
(c)(1) Where an individual, other than a candidate, conducts campaign-related activities on a trip, the portion of the trip attributed to each candidate shall be allocated on a reasonable basis.
(2) Travel expenses of a candidate's spouse and family are reportable as expenditures only if the spouse or family members conduct campaign-related activities.
(d) Costs incurred by a candidate for the United States Senate or House of Representatives for travel between Washington, DC, and the State or district in which he or she is a candidate need not be reported herein unless the costs are paid by a candidate's authorized committee(s), or by any other political committee(s).
(e) Notwithstanding paragraphs (b) and (c) of this section, the reportable expenditure for a candidate who uses government conveyance or accommodations for travel which is campaign-related is the rate for comparable commercial conveyance or accommodation. In the case of a candidate authorized by law or required by national security to be accompanied by staff and equipment, the allocable expenditures are the costs of facilities sufficient to accommodate the party, less authorized or required personnel and equipment. If such a trip includes both campaign and noncampaign stops, equivalent costs are calculated in accordance with paragraphs (b) and (c) of this section.
(a) The purchase of opinion poll results by a candidate or a candidate's authorized political committee or agent is an expenditure by the candidate. Regarding the purchase of opinion poll results for the purpose of determining whether an individual should become a candidate, see 11 CFR 100.8(b)(1).
(b) The purchase of opinion poll results by a political committee or other person not authorized by a candidate to make expenditures and the subsequent acceptance of the poll results by a candidate or a candidate's authorized political committee or agent or by another unauthorized political committee is a contribution in-kind by the purchaser to the candidate or other political committee and an expenditure by the candidate or other political committee. Regarding the purchase of opinion poll results for the purpose of determining whether an individual should become a candidate, see 11 CFR 100.7(b)(1). The poll results are accepted by a candidate or other political committee if the candidate or the candidate's authorized political committee or agent or the other unauthorized political committee—
(1) Requested the poll results before their receipt;
(2) Uses the poll results; or
(3) Does not notify the contributor that the results are refused.
(c) The acceptance of any part of a poll's results which part, prior to receipt, has been made public without any request, authorization, prearrangement, or coordination by the candidate-receipient or political committee-recipient, shall not be treated as a contribution in-kind and expenditure under paragraph (b) of this section.
(d) The purchase of opinion poll results by an unauthorized political committee for its own use, in whole or in part, is an overhead expenditure by the political committee under § 106.1(c)(1) to the extent of the benefit derived by the committee.
(e) The amount of a contribution under paragraph (b) of this section or of any expenditure under paragraphs (a) and (b) of this section attributable to each candidate-recipient or political committee-recipient shall be—
(1) That share of the overall cost of the poll which is allocable to each candidate (including State and local candidates) or political committee, based upon the cost allocation formula of the polling firm from which the results are purchased. Under this method the size of the sample, the number of computer column codes, the extent of computer tabulations, and the extent of written analysis and verbal consultation, if applicable, may be used to determine the shares; or
(2) An amount computed by dividing the overall cost of the poll equally among candidates (including State and local candidates) or political committees receiving the results; or
(3) A proportion of the overall cost of the poll equal to the proportion that the number of question results received by the candidate or political committee bears to the total number of question results received by all candidates (including State and local candidates) and political committees; or
(4) An amount computed by any other method which reasonably reflects the benefit derived.
(f) The first candidate(s) or committee(s) receiving poll results under paragraph (b) or (d) of this section and any candidate or political committee receiving poll results under paragraph (b) of this section within 15 days after receipt by the initial recipient(s) shall compute the amount of the contribution in-kind and the expenditure as provided in paragraph (e) of this section.
(g) The amount of the contribution and expenditure reported by a candidate or a political committee receiving poll results under paragraph (b) of this section more than 15 days after receipt of such poll results by the initial recipient(s) shall be—
(1) If the results are received during the period 16 to 60 days following receipt by the initial recipient(s), 50 percent of the amount allocated to an initial recipient of the same results;
(2) If the results are received during the period 61 to 180 days after receipt by the initial recipient(s), 5 percent of the amount allocated to an initial recipient of the same results;
(3) If the results are received more than 180 days after receipt by the initial recipient(s), no amount need be allocated.
(h) A contributor of poll results under paragraph (b) of this section shall maintain records sufficient to support the valuation of the contribution(s) in-kind and shall inform the candidate-recipient(s) or political committee-recipient(s) of the value of the contribution(s).
(a)
(2)
(i) Administrative expenses including rent, utilities, office supplies, and salaries, except for such expenses directly attributable to a clearly identified candidate;
(ii) The direct costs of a fundraising program or event including disbursements for solicitation of funds and for planning and administration of actual fundraising events, where federal and non-federal funds are collected by one committee through such program or event;
(iii) State and local party activities exempt from the definitions of
(iv) Generic voter drives including voter identification, voter registration, and get-out-the-vote drives, or any other activities that urge the general public to register, vote or support candidates of a particular party or associated with a particular issue, without mentioning a specific candidate.
(b)
(2)
(i)
(ii)
(c)
(i) Under this method, expenses shall be allocated based on the ratio of federal expenditures to total federal and non-federal disbursements made by the committee during the two-year federal election cycle. This ratio shall be estimated and reported at the beginning of each federal election cycle, based upon the committee's federal and non-federal disbursements in a prior comparable federal election cycle or upon the committee's reasonable prediction of its disbursements for the coming two years. In calculating its federal expenditures, the committee shall include only amounts contributed to or otherwise spent on behalf of specific federal candidates. Calculation of total federal and non-federal disbursements shall also be limited to disbursements for specific candidates, and shall not include overhead or other generic costs.
(ii) On each of its periodic reports, the committee shall adjust its allocation ratio to reconcile it with the ratio of actual federal and non-federal disbursements made, to date. If the non-federal account has paid more than its allocable share, the committee shall transfer funds from its federal to its non-federal account, as necessary, to reflect the adjusted allocation ratio. The committee shall make note of any such adjustments and transfers on its periodic reports, submitted pursuant to 11 CFR 104.5.
(2)
(3)
(d)
(i) Under this method, expenses shall be allocated based on the ratio of federal offices expected on the ballot to total federal and non-federal offices expected on the ballot in the next general election to be held in the committee's state or geographic area. This ratio shall be determined by the number of categories of federal offices on the ballot and the number of categories of non-federal offices on the ballot, as described in paragraph (d)(1)(ii) of this section.
(ii) In calculating a ballot composition ratio, a state or local party committee shall count the federal offices of President, United States Senator, and United States Representative, if expected on the ballot in the next general election, as one federal office each. The committee shall count the non-federal offices of Governor, State Senator, and State Representative, if expected on the ballot in the next general election, as one non-federal office each. The committee shall count the total of all other partisan statewide executive candidates, if expected on the ballot in the next general election, as a maximum of two non-federal offices. State party committees shall also include in the ratio one additional non-federal office if any partisan local candidates are expected on the ballot in any regularly scheduled election during the two-year congressional election cycle. Local party committees shall also include in the ratio a maximum of two additional non-federal offices if any partisan local candidates are expected on the ballot in any regularly scheduled election during the two-year congressional election cycle. State and local party committees shall also include in the ratio one additional non-federal office.
(2)
(e)
(f)
(2) No later than the date 60 days after each fundraising program or event from which both federal and non-federal funds are collected, the committee shall adjust the allocation ratio for that program or event to reflect the actual ratio of funds received. If the non-federal account has paid more than its allocable share, the committee shall transfer funds from its federal to its non-federal account, as necessary, to reflect the adjusted allocation ratio. If the federal account has paid more than its allocable share, the committee shall make any transfers of funds from its non-federal to its federal account to reflect the adjusted allocation ratio within the 60-day time period established by this paragraph. The committee shall make note of any such adjustments and transfers in its report for any period in which a transfer was made, and shall also report the date of the fundraising program or event which serves as the basis for the transfer. In the case of a telemarketing or direct mail campaign, the “date” for purposes of this paragraph is the last day of the telemarketing campaign, or the day on which the final direct mail solicitations are mailed.
(g)
(i)
(ii)
(B) The committee shall transfer funds from its federal and non-federal accounts to its allocation account in amounts proportionate to the federal or non-federal share of each allocable expense.
(C) No funds contained in the allocation account may be transferred to any other account maintained by the committee.
(2)
(ii) Funds transferred from a committee's non-federal account to its federal account or its allocation account are subject to the following requirements:
(A) For each such transfer, the committee must itemize in its reports the allocable activities for which the transferred funds are intended to pay, as required by 11 CFR 104.10(b)(3); and
(B) Except as provided in paragraph (f)(2) of this section, such funds may not be transferred more than 10 days before or more than 60 days after the payments for which they are designated are made.
(iii) Any portion of a transfer from a committee's non-federal account to its federal account or its allocation account that does not meet the requirements of paragraph (g)(2)(ii) of this section shall be presumed to be a loan or contribution from the non-federal account to a federal account, in violation of the Act.
(3)
(a)
(b)
(i) Administrative expenses including rent, utilities, office supplies, and salaries not attributable to a clearly identified candidate, if such expenses are not paid by the separate segregated fund's connected organization;
(ii) The direct costs of a fundraising program or event including disbursements for solicitation of funds and for planning and administration of actual fundraising events, where federal and non-federal funds are collected through
(iii) Generic voter drives including voter identification, voter registration, and get-out-the-vote drives, or any other activities that urge the general public to register, vote or support candidates of a particular party or associated with a particular issue, without mentioning a specific candidate.
(2)
(i) Administrative expenses including rent, utilities, office supplies, and salaries, except for such expenses directly attributable to a clearly identified candidate;
(ii) The direct costs of a fundraising program or event including disbursements for solicitation of funds and for planning and administration of actual fundraising events, where federal and non-federal funds are collected through such program or event; and
(iii) Generic voter drives including voter identification, voter registration, and get-out-the-vote drives, or any other activities that urge the general public to register, vote or support candidates of a particular party or associated with a particular issue, without mentioning a specific candidate.
(c)
(1) Under this method, expenses shall be allocated based on the ratio of federal expenditures to total federal and non-federal disbursements made by the committee during the two-year federal election cycle. This ratio shall be estimated and reported at the beginning of each federal election cycle, based upon the committee's federal and non-federal disbursements in a prior comparable federal election cycle or upon the committee's reasonable prediction of its disbursements for the coming two years. In calculating its federal expenditures, the committee shall include only amounts contributed to or otherwise spent on behalf of specific federal candidates. Calculation of total federal and non-federal disbursements shall also be limited to disbursements for specific candidates, and shall not include overhead or other generic costs.
(2) On each of its periodic reports, the committee shall adjust its allocation ratio to reconcile it with the ratio of actual federal and non-federal disbursements made, to date. If the non-federal account has paid more than its allocable share, the committee shall transfer funds from its federal to its non-federal account, as necessary, to reflect the adjusted allocation ratio. The committee shall make note of any such adjustments and transfers on its periodic reports, submitted pursuant to 11 CFR 104.5.
(d)
(2) No later than the date 60 days after each fundraising program or event from which both federal and non-federal funds are collected, the committee shall adjust the allocation ratio for that program or event to reflect the actual ratio of funds received. If the non-federal account has paid more than
(e)
(i)
(ii)
(B) The committee shall transfer funds from its federal and non-federal accounts to its allocation account in amounts proportionate to the federal or non-federal share of each allocable expense.
(C) No funds contained in the allocation account may be transferred to any other account maintained by the committee.
(2)
(ii) Funds transferred from a committee's non-federal account to its federal account or its allocation account are subject to the following requirements:
(A) For each such transfer, the committee must itemize in its reports the allocable activities for which the tranferred funds are intended to pay, as required by 11 CFR 104.10(b)(3); and
(B) Except as provided in paragraph (d)(2) of this section, such funds may not be transferred more than 10 days before or more than 60 days after the payments for which they are designated are made.
(iii) Any portion of a transfer from a committee's non-federal account to its federal account or its allocation account that does not meet the requirements of paragraph (e)(2)(ii) of this section shall be presumed to be a loan or contribution from the non-federal account to a federal account, in violation of the Act.
(3)
2 U.S.C. 437, 438(a)(8).
Each convention committee established under 11 CFR 9008.3(a)(2) by a national committee of a political party and each committee or other organization, including a national committee, which represents a political party in making arrangements for that party's convention held to nominate a presidential or vice presidential candidate shall register and report in accordance with 11 CFR 9008.3(b).
Each host committee, and each committee or other organization or group of persons which represents a State, municipality, local government agency or other political subdivision in dealing with officials of a national political party with respect to matters involving a presidential nominating convention, shall register and report in accordance with 11 CFR 9008.51.
2 U.S.C. 434(a)(2) 438(a)(8), 439, 453.
A copy of each report and statement required to be filed by any person under the Act shall be filed either with the Secretary of State of the appropriate State or with the State officer who is charge by State law with maintaining state election campaign reports. In States where reports are to be filed with a designated officer other than the Secretary of State, the chief executive officer of that State shall notify the Commission of such designation.
A copy of each report and statement required to be filed by a Presidential or Vice Presidential candidate's principal campaign committee under the Act, including 11 CFR part 104, or by any other person making independent expenditures in connection with a candidate seeking nomination for election to the office of President or Vice-President under 11 CFR 104.4 or part 109, shall be filed with the State officer of each State in which an expenditure is made in connection with the campaign of a candidate seeking nomination for election to the office of President or
A copy of each report and statement required to be filed by a committee under 11 CFR part 104, or by any other person under 11 CFR part 109 shall be filed with the appropriate State officer of that State in which an expenditure is made in connection with the campaign of a candidate for nomination for election or election, to the office of Senator, Representative in, Delegate or Resident Commissioner to the Congress except that political committees other than authorized committees are required to file, and the Secretary of State is required to retain only that portion of the report applicable to candidates seeking election in that State.
Any unauthorized committee, which makes contributions in connection with a Presidential election and which is required to file a report(s) and statement(s) under the Act shall file a copy of such report(s) and statement(s) with the State officer of the State in which both the recipient and contributing committees have their headquarters.
A copy of any report or statement required to be filed with a State officer under 11 CFR part 108 shall be filed at the same time as the original report is filed. Each copy of such report or statement shall be a complete, true, and legible copy of the original report or statement filed.
The Secretary of State, or the equivalent State officer shall carry out the duties set forth in 11 CFR 108.5(a) through (d):
(a) Receive and maintain in an orderly manner all reports and statements required to be filed;
(b) Preserve such reports and statements (either in original form or in facsimile copy by microfilm or otherwise) filed under the Act for a period of 2 years from the date of receipt;
(c) Make the reports and statements filed available as soon as practicable (but within 48 hours of receipt) for public inspection and copying during office hours and permit copying of any such reports or statements 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 at a reasonable fee;
(d) Compile and maintain a current list of all reports and statements or parts of such reports and statements pertaining to each candidate.
(a) The provisions of the Federal Election Campaign Act of 1971, as amended, and rules and regulations issued thereunder, supersede and preempt any provision of State law with respect to election to Federal office.
(b) Federal law supersedes State law concerning the—
(1) Organization and registration of political committees supporting Federal candidates;
(2) Disclosure of receipts and expenditures by Federal candidates and political committees; and
(3) Limitation on contributions and expenditures regarding Federal candidates and political committees.
(c) The Act does not supersede State laws which provide for the—
(1) Manner of qualifying as a candidate or political party organization;
(2) Dates and places of elections;
(3) Voter registration;
(4) Prohibition of false registration, voting fraud, theft of ballots, and similar offenses; or
(5) Candidate's personal financial disclosure.
Any copy of a report required to be filed with the equivalent officer in the District of Columbia shall be deemed to be filed if the original has been filed with the Secretary or the Commission, as appropriate.
2 U.S.C. 431(17), 434(c), 438(a)(8), 441d.
(a)
(b) For purposes of this definition—
(1)
(2)
(3)
(4)
(i) Means any arrangement, coordination, or direction by the candidate or his or her agent prior to the publication, distribution, display, or broadcast of the communication. An expenditure will be presumed to be so made when it is—
(A) Based on information about the candidate's plans, projects, or needs provided to the expending person by the candidate, or by the candidate's agents, with a view toward having an expenditure made; or
(B) Made by or through any person who is, or has been, authorized to raise or expend funds, who is, or has been, an officer of an authorized committee, or who is, or has been, receiving any form of compensation or reimbursement from the candidate, the candidate's committee or agent;
(ii) But does not include providing to the expending person upon request Commission guidelines on independent expenditures.
(5)
(c) An expenditure not qualifying under this section as an independent expenditure shall be a contribution in-kind to the candidate and an expenditure by the candidate, unless otherwise exempted.
(d)(1) The financing 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 a contribution for the purpose
(2) This paragraph does not affect the right of a State or subordinate party committee to engage in such dissemination, distribution, or republication as agents designated by the national committee pursuant to § 110.7(a)(4).
(e) No expenditure by an authorized committee of a candidate on behalf of that candidate shall qualify as an independent expenditure.
(a) Every person other than a political committee, who makes independent expenditures aggregating in excess of $250 during a calendar year shall file a signed statement or report on FEC Form 5 with the Commission or Secretary of the Senate in accordance with 11 CFR 104.4(c).
(1) If a signed statement is submitted, the statement shall include:
(i) The reporting person's name mailing address, occupation and the name of his or her employer, if any;
(ii) The identification (name and mailing address) of the person to whom the expenditure was made;
(iii) The amount, date and purpose of each expenditure;
(iv) A statement which indicates whether such expenditure was in support of, or in opposition to a candidate, together with the candidate's name and office sought;
(v) A notarized certification under penalty of perjury as to whether such expenditure was made in cooperation, consultation or concert with, or at the request or suggestion of any candidate or any authorized committee or agent thereof; and
(vi) The identification of each person who made a contribution in excess of $200 to the person filing such report, which contribution was made for the purpose of furthering the reported independent expenditure.
(2) Reports or statements filed under this section shall be filed at the end of the reporting period (quarterly pre-election post-election semi-annual annual) (See 11 CFR 104.5)) during which any independent expenditure which aggregrates in excess of $250 is made and in any reporting period thereafter in which additional independent expenditures are made.
(b) Independent expenditures aggregating $1,000 or more made by any person after the twentieth day, but more than 24 hours before 12:01 a.m of the day of an election shall be reported within 24 hours after such independent expenditure is made. Such report or statement shall contain the information required by 11 CFR 109.2(a) indicating whether the independent expenditure is made in support of, or in opposition to, a particular candidate and shall be filed with the appropriate officers in accordance with 11 CFR 104.4(c).
Whenever any person makes an independent expenditure for the purpose of financing communications expressly advocating the election or defeat of a clearly identified candidate, such person shall comply with the requirements of 11 CFR 110.11.
2 U.S.C. 431(8), 431(9), 432(c)(2), 437d(a)(8), 438(a)(8), 441a, 441b, 441d, 441e, 441f, 441g and 441h.
(a)
(b)
(1) No person shall make contributions to any candidate, his or her authorized political committees or agents with respect to any election for Federal office which, in the aggregate, exceed $1,000.
(2) For purposes of this section,
(i) In the case of a contribution designated in writing by the contributor for a particular election, the election so designated. Contributors to candidates are encouraged to designate their contributions in writing for particular elections.
(ii) In the case of a contribution not designated in writing by the contributor for a particular election, the next election for that Federal office after the contribution is made.
(3)(i) A contribution designated in writing for a particular election, but made after that election, shall be made only to the extent that the contribution does not exceed net debts outstanding from such election. To the extent that such contribution exceeds net debts outstanding, the candidate or the candidate's authorized political committee shall return or deposit the contribution within ten days from the date of the treasurer's receipt of the contribution as provided by 11 CFR 103.3(a), and if deposited, then within sixty days from the date of the treasurer's receipt the treasurer shall take the following action, as appropriate:
(A) Refund the contribution using a committee check or draft; or
(B) Obtain a written redesignation by the contributor for another election in accordance with 11 CFR 110.1(b)(5); or
(C) Obtain a written reattribution to another contributor in accordance with 11 CFR 110.1(k)(3).
If the candidate is not a candidate in the general election, all contributions made for the general election shall be either returned or refunded to the contributors or redesignated in accordance with 11 CFR 110.1(b)(5), or reattributed in accordance with 11 CFR 110.1(k)(3), as appropriate.
(ii) In order to determine whether there are net debts outstanding from a particular election, the treasurer of the candidate's authorized political committee shall calculate net debts outstanding as of the date of the election. For purposes of this section,
(A) The total cash on hand available to pay those debts and obligations, including: currency; balances on deposit in banks, savings and loan institutions, and other depository institutions; traveler's checks; certificates of deposit; treasury bills; and any other committee investments valued at fair market value; and
(B) The total amounts owed to the candidate or political committee in the
(iii) The amount of the net debts outstanding shall be adjusted as additional funds are received and expenditures are made. The candidate and his or her authorized political committee(s) may accept contributions made after the date of the election if such contributions are designated in writing by the contributor for that election and if such contributions do not exceed the adjusted amount of net debts outstanding on the date the contribution is received.
(iv) This paragraph shall not be construed to prevent a candidate who is a candidate in the general election or his or her authorized political committee(s) from paying primary election debts and obligations with funds which represent contributions made with respect to the general election.
(4) For purposes of this section, a contribution shall be considered to be designated in writing for a particular election if—
(i) The contribution is made by check, money order, or other negotiable instrument which clearly indicates the particular election with respect to which the contribution is made;
(ii) The contribution is accompanied by a writing, signed by the contributor, which clearly indicates the particular election with respect to which the contribution is made; or
(iii) The contribution is redesignated in accordance with 11 CFR 110.1(b)(5).
(5)(i) The treasurer of an authorized political committee may request a written redesignation of a contribution by the contributor for a different election if—
(A) The contribution was designated in writing for a particular election, and the contribution, either on its face or when aggregated with other contributions from the same contributor for the same election, exceeds the limitation on contributions set forth in 11 CFR 110.1(b)(1);
(B) The contribution was designated in writing for a particular election and the contribution was made after that election and the contribution cannot be accepted under the net debts outstanding provisions of 11 CFR 110.1(b)(3);
(C) The contribution was not designated in writing for a particular election, and the contribution exceeds the limitation on contributions set forth in 11 CFR 110.1(b)(1); or
(D) The contribution was not designated in writing for a particular election, and the contribution was received after the date of an election for which there are net debts outstanding on the date the contribution is received.
(ii) A contribution shall be considered to be redesignated for another election if—
(A) The treasurer of the recipient authorized political committee requests that the contributor provide a written redesignation of the contribution and informs the contributor that the contributor may request the refund of the contribution as an alternative to providing a written redesignation; and
(B) Within sixty days from the date of the treasurer's receipt of the contribution, the contributor provides the treasurer with a written redesignation of the contribution for another election, which is signed by the contributor.
(iii) A contribution redesignated for another election shall not exceed the limitations on contributions made with respect to that election. A contribution redesignated for a previous election shall be subject to the requirements of 11 CFR 110.1(b)(3) regarding net debts outstanding.
(6) For the purposes of this section, a contribution shall be considered to be made when the contributor relinquishes control over the contribution. A contributor shall be considered to relinquish control over the contribution when it is delivered by the contributor to the candidate, to the political committee, or to an agent of the political committee. A contribution that is mailed to the candidate, or to the political committee or to an agent of the political committee, shall be considered to be made on the date of the postmark.
(c)
(2) For purposes of this section,
(i) The national committee;
(ii) The House campaign committee; and
(iii) The Senate campaign committee.
(3) Each recipient committee referred to in 11 CFR 110.1(c)(2) may receive up to the $20,000 limitation from a contributor, but the limits of 11 CFR 110.5 shall also apply to contributions made by an individual.
(4) The recipient committee shall not be an authorized political committee of any candidate, except as provided in 11 CFR 9002.1(c).
(d)
(2) The limitation on contributions of this paragraph also applies to contributions made to political committees making independent expenditures under 11 CFR part 109.
(e)
(1) In direct proportion to his or her share of the partnership profits, according to instructions which shall be provided by the partnership to the political committee or candidate; or
(2) By agreement of the partners, as long as—
(i) Only the profits of the partners to whom the contribution is attributed are reduced (or losses increased), and
(ii) These partners' profits are reduced (or losses increased) in proportion to the contribution attributed to each of them.
(f)
(1) Each contribution is designated in writing by the contributor for a particular office;
(2) The candidate maintains separate campaign organizations, including separate principal campaign committees and separate accounts; and
(3) No principal campaign committee or other authorized political committee of that candidate for one election for one Federal office transfers funds to, loans funds to, makes contributions to, or makes expenditures on behalf of another principal campaign committee or other authorized political committee of that candidate for another election for another Federal office, except as provided in 11 CFR 110.3(c)(4).
(g) [Reserved]
(h)
(1) The political committee is not the candidate's principal campaign committee or other authorized political committee or a single candidate committee;
(2) The contributor does not give with the knowledge that a substantial portion will be contributed to, or expended on behalf of, that candidate for the same election; and
(3) The contributor does not retain control over the funds.
(i)
(2) Minor children (children under 18 years of age) may make contributions
(i) The decision to contribute is made knowingly and voluntarily by the minor child;
(ii) The funds, goods, or services contributed are owned or controlled exclusively by the minor child, such as income earned by the child, the proceeds of a trust for which the child is the beneficiary, or a savings account opened and maintained exclusively in the child's name; and
(iii) The contribution is not made from the proceeds of a gift, the purpose of which was to provide funds to be contributed, or is not in any other way controlled by another individual.
(j)
(2) An election in which a candidate is unopposed is a separate election for the purposes of the limitations on contributions of this section.
(3) A primary or general election which is not held because a candidate is unopposed or received a majority of votes in a previous election is a separate election for the purposes of the limitations on contributions of this section. The date on which the election would have been held shall be considered to be the date of the election.
(4) A primary election which is not held because a candidate was nominated by a caucus or convention with authority to nominate is not a separate election for the purposes of the limitations on contributions of this section.
(k)
(2) If a contribution made by more than one person does not indicate the amount to be attributed to each contributor, the contribution shall be attributed equally to each contributor.
(3)(i) If a contribution to a candidate or political committee, either on its face or when aggregated with other contributions from the same contributor, exceeds the limitations on contributions set forth in 11 CFR 110.1 (b), (c) or (d), as appropriate, the treasurer of the recipient political committee may ask the contributor whether the contribution was intended to be a joint contribution by more than one person.
(ii) A contribution shall be considered to be reattributed to another contributor if—
(A) The treasurer of the recipient political committee asks the contributor whether the contribution is intended to be a joint contribution by more than one person, and informs the contributor that he or she may request the return of the excessive portion of the contribution if it is not intended to be a joint contribution; and
(B) Within sixty days from the date of the treasurer's receipt of the contribution, the contributors provide the treasurer with a written reattribution of the contribution, which is signed by each contributor, and which indicates the amount to be attributed to each contributor if equal attribution is not intended.
(l)
(2) If a political committee receives a written redesignation of a contribution for a different election, the treasurer shall retain the written redesignation provided by the contributor, as required by 11 CFR 110.1(b)(5) or 110.2(b)(5), as appropriate.
(3) If a political committee receives a written reattribution of a contribution
(4) If a political committee chooses to rely on a postmark as evidence of the date on which a contribution was made, the treasurer shall retain the envelope or a copy of the envelope containing the postmark and other identifying information.
(5) If a political committee does not retain the written records concerning designation required under 11 CFR 110.1(1)(2), the contribution shall not be considered to be designated in writing for a particular election, and the provisions of 11 CFR 110.1(b)(2)(ii) or 110.2(b)(2)(ii) shall apply. If a political committee does not retain the written records concerning redesignation or reattribution required under 11 CFR 110.1(1) (2), (3) or (6), the redesignation or reattribution shall not be effective, and the original designation or attribution shall control.
(6) For each written redesignation or written reattribution of a contribution described in paragraph (b)(5) or paragraph (k)(3) of this section, the political committee shall retain documentation demonstrating when the written redesignation or written reattribution was received. Such documentation shall consist of:
(i) A copy of the envelope bearing the postmark and the contributor's name, or return address or other identifying code; or
(ii) A copy of the written redesignation or written reattribution with a date stamp indicating the date of the committee's receipt; or
(iii) A copy of the written redesignation or written reattribution dated by the contributor.
(m)
(2) Contributions to delegate committees under 11 CFR 110.14 are subject to the limitations of this section.
(a)(1)
(2)
(b)
(2) For purposes of this section,
(i) In the case of a contribution designated in writing by the contributor for a particular election, the election so designated. Multicandidate political committees making contributions to candidates are encouraged to designate their contributions in writing for particular elections.
(ii) In the case of a contribution not designated in writing by the contributor for a particular election, the next election for that Federal office after the contribution is made.
(3)(i) A contribution designated in writing for a particular election, but made after that election, shall be made only to the extent that the contribution does not exceed net debts outstanding from such election. To the extent that such contribution exceeds net debts outstanding, the candidate or the candidate's authorized political committee shall return or deposit the contribution within ten days from the date
(A) Refund the contribution using a committee check or draft; or
(B) Obtain a written redesignation by the contributor for another election in accordance with 11 CFR 110.2(b)(5).
If the candidate is not a candidate in the general election, all contributions made for the general election shall be either returned or refunded to the contributors or redesignated in accordance with 11 CFR 110.2(b)(5).
(ii) The treasurer of the candidate's authorized political committee shall calculate net debts outstanding in accordance with 11 CFR 110.1(b)(3)(ii). The amount of the net debts outstanding shall be adjusted as additional funds are received and expenditures are made. The candidate and his or her authorized political committee(s) may accept contributions made after the date of the election if such contributions are designated in writing by the contributor for that election and if such contributions do not exceed the adjusted amount of net debts outstanding on the date the contribution is received.
(4) For purposes of this section, a contribution shall be considered to be designated in writing for a particular election if—
(i) The contribution is made by check, money order, or other negotiable instrument which clearly indicates the particular election with respect to which the contribution is made;
(ii) The contribution is accompanied by a writing, signed by the contributor, which clearly indicates the particular election with respect to which the contribution is made; or
(iii) The contribution is redesignated in accordance with 11 CFR 110.2(b)(5).
(5)(i) The treasurer of an authorized political committee may request a written redesignation of a contribution by the contributor for a different election if—
(A) The contribution was designated in writing for a particular election, and the contribution, either on its face or when aggregated with other contributions from the same contributor for the same election, exceeds the limitation on contributions set forth in 11 CFR 110.2(b)(1);
(B) The contribution was designated in writing for a particular election and the contribution was made after that election and the contribution cannot be accepted under the net debts outstanding provisions of 11 CFR 110.2(b)(3);
(C) The contribution was not designated in writing for a particular election, and the contribution exceeds the limitation on contributions set forth in 11 CFR 110.2(b)(1); or
(D) The contribution was not designated in writing for a particular election and the contribution was received after the date of an election for which there are net debts outstanding on the date the contribution is received.
(ii) A contribution shall be considered to be redesignated for another election if—
(A) The treasurer of the recipient authorized political committee requests that the contributor provide a written redesignation of the contribution and informs the contributor that the contributor may request the refund of the contribution as an alternative to providing a written redesignation; and
(B) Within sixty days from the date of the treasurer's receipt of the contribution, the contributor provides the treasurer with a written redesignation of the contribution for another election, which is signed by the contributor.
(iii) A contribution redesignated for another election shall not exceed the limitations on contributions made with respect to that election. A contribution redesignated for a previous election shall be subject to the requirements of 11 CFR 110.2(b)(3) regarding net debts outstanding.
(6) For the purposes of this section, a contribution shall be considered to be made when the contributor relinquishes control over the contribution. A contributor shall be considered to relinquish control over the contribution when it is delivered by the contributor to the candidate, to the political committee, or to an agent of the political committee. A contribution that is
(c)
(2) For purposes of this section,
(i) The national committee;
(ii) The House campaign committee; and
(iii) The Senate campaign committee.
(3) Each recipient committee referred to in 11 CFR 110.2(c)(2) may receive up to the $15,000 limitation from a multicandidate political committee.
(4) The recipient committee shall not be an authorized political committee of any candidate, except as provided in 11 CFR 9002.1(c).
(d)
(2) The limitation on contributions of this paragraph also applies to contributions made to political committees making independent expenditures under 11 CFR part 109.
(e)
(f)
(g)
(h)
(1) The recipient political committee is not the candidate's principal campaign committee or other authorized political committee or a single candidate committee;
(2) The multicandidate political committee does not give with the knowledge that a substantial portion will be contributed to, or expended on behalf of, that candidate for the same election; and
(3) The multicandidate political committee does not retain control over the funds.
(i)
(2) An election in which a candidate is unopposed is a separate election for the purposes of the limitations on contributions of this section.
(3) A primary or general election which is not held because a candidate is unopposed or received a majority of votes in a previous election is a separate election for the purposes of the limitations on contributions of this section. The date on which the election would have been held shall be considered to be the date of the election.
(4) A primary election which is not held because a candidate was nominated by a caucus or convention with authority to nominate is not a separate election for the purposes of the limitations on contributions of this section.
(j)
(2) Contributions to delegate committees under 11 CFR 110.14 are subject to the limitations of this section.
(a)
(i) Authorized committees of the same candidate for the same election to Federal office; or
(ii) Committees (including a separate segregated fund,
(2) Affiliated committees sharing a single contribution limitation under paragraph (a)(1)(ii) of this section include all of the committees established, financed, maintained or controlled by—
(i) A single corporation and/or its subsidiaries;
(ii) A single national or international union and/or its local unions or other subordinate organizations;
(iii) An organization of national or international unions and/or all its State and local central bodies;
(iv) A membership organization, (other than political party committees,
(v) The same person or group of persons.
(3)(i) The Commission may examine the relationship between organizations that sponsor committees, between the committees themselves, or between one sponsoring organization and a committee established by another organization to determine whether committees are affiliated.
(ii) In determining whether committees not described in paragraphs (a)(2) (i)-(iv) of this section are affiliated, the Commission will consider the circumstantial factors described in paragraphs (a)(3)(ii) (A) through (J) of this section. The Commission will examine these factors in the context of the overall relationship between committees or sponsoring organizations to determine whether the presence of any factor or factors is evidence of one committee or organization having been established, financed, maintained or controlled by another committee or sponsoring organization. Such factors include, but are not limited to:
(A) Whether a sponsoring organization owns a controlling interest in the voting stock or securities of the sponsoring organization of another committee;
(B) Whether a sponsoring organization or committee has the authority or ability to direct or participate in the governance of another sponsoring organization or committee through provisions of constitutions, bylaws, contracts, or other rules, or through formal or informal practices or procedures;
(C) Whether a sponsoring organization or committee has the authority or ability to hire, appoint, demote or otherwise control the officers, or other decisionmaking employees or members of another sponsoring organization or committee;
(D) Whether a sponsoring organization or committee has a common or overlapping membership with another sponsoring organization or committee which indicates a formal or ongoing relationship between the sponsoring organizations or committees;
(E) Whether a sponsoring organization or committee has common or overlapping officers or employees with another sponsoring organization or committee which indicates a formal or ongoing relationship between the sponsoring organizations or committees;
(F) Whether a sponsoring organization or committee has any members, officers or employees who were members, officers or employees of another sponsoring organization or committee which indicates a formal or ongoing relationship between the sponsoring organizations or committees, or which indicates the creation of a successor entity;
(G) Whether a sponsoring organization or committee provides funds or goods in a significant amount or on an ongoing basis to another sponsoring organization or 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;
(H) Whether a sponsoring organization or committee causes or arranges for funds in a significant amount or on an ongoing basis to be provided to another sponsoring organization or committee, but not including the transfer to a committee of its allocated share of proceeds jointly raised pursuant to 11 CFR 102.17;
(I) Whether a sponsoring organization or a committee or its agent had an active or significant role in the formation of another sponsoring organization or committee; and
(J) Whether the sponsoring organizations or committees have similar patterns of contributions or contributors which indicates a formal or ongoing relationshp between the sponsoring organizations or committees.
(b)
(i) The national committee of a political party and any political committees established, financed, maintained, or controlled by the same national committee; and
(ii) The State committee of the same political party.
(2) Application of paragraph (b)(1)(i) of this section means that—
(i) The House campaign committee and the national committee of a political party shall have separate limitations on contributions under 11 CFR 110.1 and 110.2.
(ii) The Senate campaign committee and the national committee of a political party shall have separate limitations on contributions, except that contributions to a senatorial candidate made by the Senate campaign committee and the national committee of a political party are subject to a single contribution limitation under 11 CFR 110.2(e).
(3) All contributions made by the political committees established, financed, maintained, or controlled by a State party committee and by subordinate State party committees shall be presumed to be made by one political committee. This presumption shall not apply if—
(i) The political committee of the party unit in question has not received
(ii) The political committee of the party unit in question does not make its contributions in cooperation, consultation or concert with, or at the request or suggestion of any other party unit or political committee established, financed, maintained, or controlled by another party unit.
(c)
(1) Transfers of funds between affiliated committees or between party committees of the same political party whether or not they are affiliated or by collecting agents to a separate segregated fund made pursuant to 11 CFR 102.6;
(2) Transfers of joint fundraising proceeds between organizations or committees participating in the joint fundraising activity provided that no participating committee or organization governed by 11 CFR 102.17 received more than its allocated share of the funds raised;
(3) Transfers of funds between the primary campaign and general election campaign of a candidate of funds unused for the primary;
(4) Transfers of funds between a candidate's previous Federal campaign committee and his or her current Federal campaign committee, or between previous Federal campaign committees, provided that the candidate is not a candidate for more than one Federal office at the same time, and provided that the funds transferred are not composed of contributions that would be in violation of the Act. The cash on hand from which the transfer is made shall be considered to consist of the funds most recently received by the transferor committee. The transferor committee must be able to demonstrate that such cash on hand contains sufficient funds at the time of the transfer that comply with the limitations and prohibitions of the Act to cover the amount transferred.
(i)
(ii)
(iii) For purposes of the contribution limits, a contribution made after an election has been held, or after an individual ceases to be a candidate in an election, shall be aggregated with other contributions from the same contributor for the next election unless the contribution is designated for the previous election, or is designated for another election, and the candidate has net debts outstanding for the election so designated pursuant to 11 CFR 110.1(b)(3).
(iv) For purposes of this section, an individual ceases to be a candidate in an election as of the earlier of the following dates—
(A) The date on which the candidate publicly announces that he or she will no longer be a candidate in that election for that office and ceases to conduct campaign activities with respect to that election; or
(B) The date on which the candidate is or becomes ineligible for nomination or election to that office by operation of law;
(5) Transfers of funds between the principal campaign committees of an individual seeking nomination or election to more than one Federal office, as long as the conditions in 11 CFR 110.3(c)(5) (i), (ii) and (iii) are met. An individual will be considered to be seeking nomination or election to more than one Federal office if the individual is concurrently a candidate for more than one Federal office during the same or overlapping election cycles.
(i) The transfer shall not be made when the individual is actively seeking nomination or election to more than one Federal office. An individual will not be considered to be actively seeking nomination or election to a Federal office if:
(A) The individual publicly announces that he or she will no longer seek nomination or election to that office and ceases to conduct campaign
(B) The individual is or becomes ineligible for nomination or election to that office by operation of law;
(C) The individual has filed a proper termination report with the Commission under 11 CFR 102.3; or
(D) The individual has notified the Commission in writing that the individual and his or her authorized committees will conduct no further campaign activities with respect to that election, except in connection with the retirement of debts outstanding at the time of the notification;
(ii) The limitations on contributions by persons shall not be exceeded by the transfer. The cash on hand from which the transfer is made shall be considered to consist of the funds most recently received by the transferor committee. The transferor committee must be able to demonstrate that such cash on hand contains sufficient funds at the time of the transfer that comply with the limitations and prohibitions of the Act to cover the amount transferred. A contribution shall be excluded from the amount transferred to the extent that such contribution, when aggregated with other contributions from the same contributor to the transferee principal campaign committee, exceeds the contribution limits set forth at 11 CFR 110.1 or 110.2, as appropriate; and
(iii) The candidate has not elected to receive funds under 26 U.S.C. 9006 or 9037 for either election; or
(6) [Reserved]
(7) The authorized committees of a candidate for more than one Federal office, or for a Federal office and a nonfederal office, shall follow the requirements for separate campaign organizations set forth at 11 CFR 110.8(d).
(d)
(a)
(2) No person shall solicit, accept, or receive a contribution as set out above from a foreign national.
(3) A foreign national shall not direct, dictate, control, or directly or indirectly participate in the decision-making process of any person, such as a corporation, labor organization, or political committee, with regard to such person's Federal or nonfederal election-related activities, such as decisions concerning the making of contributions or expenditures in connection with elections for any local, State, or Federal office or decisions concerning the administration of a political committee.
(4) For purposes of this section,
(i) A foreign principal, as defined in 22 U.S.C. 611(b); or
(ii) An individual who is not a citizen of the United States and who is not lawfully admitted for permanent residence, as defined in 8 U.S.C. 1101(a)(20);
(iii) Except that
(b)
(i) Make a contribution in the name of another;
(ii) Knowingly permit his or her name to be used to effect that contribution;
(iii) Knowingly help or assist any person in making a contribution in the name of another; or
(iv) Knowingly accept a contribution made by one person in the name of another.
(2) Examples of
(i) Giving money or anything of value, all or part of which was provided to the contributor by another person (the true contributor) without disclosing the source of money or the thing of value to the recipient candidate or committee at the time the contribution is made,
(ii) Making a contribution of money or anything of value and attributing as the source of the money or thing of value another person when in fact the contributor is the source.
(c)
(2) A candidate or committee receiving a cash contribution in excess of $100 shall promptly return the amount over $100 to the contributor.
(3) A candidate or committee receiving an anonymous cash contribution in excess of $50 shall promptly dispose of the amount over $50. The amount over $50 may be used for any lawful purpose unrelated to any Federal election, campaign, or candidate.
(a)
(b)
(c)
(2) For purposes of this section, any contribution to a candidate or his or her authorized committee with respect to a particular election made in a nonelection year shall be considered to be made during the calendar year in which such election is held.
(3) For purposes of this section, any contribution to an unauthorized committee which is made in a nonelection year shall not be considered to be made during the calendar year in which an election is held unless:
(i) The political committee is a single candidate committee which has supported or anticipates supporting the candidate; or
(ii) The contribution is earmarked by the contributor for a particular candidate with respect to a particular election.
(d)
(e)
(a)
(b)
(2) For purposes of this section,
(i) For purposes of this section, the following persons shall not be considered to be conduits or intermediaries:
(A) An individual who is an employee or a full-time volunteer working for the candidate's authorized committee, provided that the individual is not acting in his or her capacity as a representative of an entity prohibited from making contributions;
(B) A fundraising representative conducting joint fundraising with the candidate's authorized committee pursuant to 11 CFR 102.17 or 9034.8;
(C) An affiliated committee, as defined in 11 CFR 100.5(g);
(D) A commercial fundraising firm retained by the candidate or the candidate's authorized committee to assist in fundraising; and
(E) An individual who is expressly authorized by the candidate or the candidate's authorized committee to engage in fundraising, and who occupies a significant position within the candidate's campaign organization, provided that the individual is not acting in his or her capacity as a representative of an entity prohibited from making contributions.
(ii) Any person who is prohibited from making contributions or expenditures in connection with an election for Federal office shall be prohibited from acting as a conduit for contributions earmarked to candidates or their authorized committees. The provisions of this section shall not restrict the ability of an organization or committee to serve as a collecting agent for a separate segregated fund pursuant to 11 CFR 102.6.
(iii) Any person who receives an earmarked contribution shall forward such earmarked contribution to the candidate or authorized committee in accordance with 11 CFR 102.8, except that—
(A) A fundraising representative shall follow the joint fundraising procedures set forth at 11 CFR 102.17.
(B) A person who is prohibited from acting as a conduit pursuant to paragraph (b)(2)(ii) of this section shall return the earmarked contribution to the contributor.
(c)
(ii) The report to the Commission or Secretary shall be included in the conduit's or intermediary's report for the reporting period in which the earmarked contribution was received, or, if the conduit or intermediary is not required to report under 11 CFR part 104, by letter to the Commission within thirty days after forwarding the earmarked contribution.
(iii) The report to the recipient candidate or authorized committee shall be made when the earmarked contribution is forwarded to the recipient candidate or authorized committee pursuant to 11 CFR 102.8.
(iv) The report by the conduit or intermediary shall contain the following information:
(A) The name and mailing address of each contributor and, for each earmarked contribution in excess of $200, the contributor's occupation and the name of his or her employer;
(B) The amount of each earmarked contribution, the date received by the conduit, and the intended recipient as designated by the contributor; and
(C) The date each earmarked contribution was forwarded to the recipient candidate or authorized committee and whether the earmarked contribution was forwarded in cash or by the contributor's check or by the conduit's check.
(v) For each earmarked contribution passed through the conduit's or intermediary's account, the information specified in paragraph (c)(1)(iv) (A) through (C) of this section shall be itemized on the appropriate schedules of receipts and disbursements attached to the conduit's or intermediary's report, or shall be disclosed by letter, as appropriate. For each earmarked contribution forwarded in the form of the
(2)
(ii) The report by the recipient candidate or authorized committee shall contain the following information:
(A) The identification of the conduit or intermediary, as defined in 11 CFR 100.12;
(B) The total amount of earmarked contributions received from the conduit or intermediary and the date of receipt; and
(C) The information required under 11 CFR 104.3(a) (3) and (4) for each earmarked contribution which in the aggregate exceeds $200 in any calendar year.
(iii) The information specified in paragraph (c)(2)(ii) (A) through (C) of this section shall be itemized on Schedule A attached to the report for the reporting period in which the earmarked contribution is received.
(d)
(2) If a conduit or intermediary exercises any direction or control over the choice of the recipient candidate, the earmarked contribution shall be considered a contribution by both the original contributor and the conduit or intermediary. If the conduit or intermediary exercises any direction or control over the choice of the recipient candidate, the report filed by the conduit or intermediary and the report filed by the recipient candidate or authorized committee shall indicate that the earmarked contribution is made by both the original contributor and the conduit or intermediary, and that the entire amount of the contribution is attributed to each.
(a)(1) The national committee of a political party may make expenditures in connection with the general election campaign of any candidate for President of the United States affiliated with the party.
(2) The expenditures shall not exceed an amount equal to 2 cents multiplied by the voting age population of the United States.
(3) Any expenditure under this paragraph (a) shall be in addition to—
(i) Any expenditure by a national committee of a political party serving as the principal campaign committee of a candidate for President of the United States; and
(ii) Any contribution by the national committee to the candidate permissible under § 110.1 or § 110.2.
(4) The national committee of a political party may make expenditures authorized by this section through any designated agent, including State and subordinate party committees.
(5) The national committee of a political party may not make independent expenditures (see part 109) in connection with the general election campaign of a candidate for President of the United States.
(6) Any expenditures made by the national, state and subordinate committees of a political party pursuant to 11 CFR 110.7(a) on behalf of that party's Presidential candidate shall not count against the candidate's expenditure limitations under 11 CFR 110.8.
(b)(1) The national committee of a political party, and a State committee of a political party, including any subordinate committee of a State committee, may each make expenditures in connection with the general election campaign of a candidate for Federal office in that State who is affiliated with the party.
(2) The expenditures shall not exceed—
(i) 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—
(A) Two cents multiplied by the voting age population of the State; or
(B) Twenty thousand dollars; and
(ii) In the case of a candidate for election to the office of Representative, Delegate, or Resident Commissioner in any other State, $10,000.
(3) Any expenditure under paragraph (b) shall be in addition to any contribution by a committee to the candidate permissible under § 110.1 or § 110.2.
(c) For limitation purposes, State committee includes subordinate State committees. State committees and subordinate State committees combined shall not exceed the limits in paragraph (b)(2) of this section. To ensure compliance with the limitations, the State committee shall administer the limitation in one of the following ways:
(1) The State central committee shall be responsible for insuring that the expenditures of the entire party organization are within the limitations, including receiving reports from any subordinate committee making expenditures under paragraph (b) of this section, and filing consolidated reports showing all expenditures in the State with the Commission; or
(2) Any other method, submitted in advance and approved by the Commission which permits control over expenditures.
(a) No candidate for the office of President of the United States who is eligible under 26 U.S.C. 9003 (relating to conditions for eligibility for payments) or under 26 U.S.C. 9033 (relating to eligibility for payments) to receive payments from the Secretary of the Treasury and has received payments, may make expenditures in excess of—
(1) $10,000,000 in the case of a campaign for nomination for election to the office, except the aggregate of expenditures under this paragraph in any one State shall not exceed the greater of 16 cents multiplied by the voting age population of the State or $200,000; or
(2) $20,000,000 in the case of a campaign for election to the office.
(b) The expenditure limitations shall not be considered violated if, after the date of the primary or general election, convention or caucus, receipt of refunds and rebates causes a candidate's expenditures to be within the limitations.
(c) For the State limitations in paragraph (a)(1) of this section—
(1) Expenditures made in a State after the date of the primary election, convention or caucus relating to the primary election, convention or caucus count toward that State's expenditure limitation;
(2) The candidate may treat an amount that does not exceed 50% of the candidate's total expenditures allocable to a particular State under 11 CFR 106.2 as exempt fundraising expenses, and may exclude this amount from the candidate's total expenditures attributable to the expenditure limitations for that State. The candidate may treat 100% of the cost of mass mailings as exempt fundraising expenses, unless the mass mailings were mailed within 28 days before the state's primary election, convention or caucus. The total of all amounts excluded for exempt fundraising expenses shall not exceed 20% of the overall expenditure limitation under 11 CFR 9035.1.
(d)(1) If an individual is a candidate for more than one Federal office, or for a Federal office and a State office, he or she must designate separate principal campaign committees and establish completely separate campaign organizations.
(2) No funds, goods, or services, including loans and loan guarantees, may be transferred between or used by the separate campaigns, except as provided in 11 CFR 110.3(c)(5).
(3) Except for Presidential candidates receiving Presidential Primary Matching Funds, see 26 U.S.C. 9032, or General Election Public Financing, see 26
(e)(1) A political party may make reimbursement for the expenses of a candidate who is engaging in party-building activities, without the payment being considered a contribution to the candidate, and without the unreimbursed expense being considered an expenditure counting against the limitations in paragraph (a)(1) or (2) of this section, as long as—
(i) The event is a bona fide party event or appearance; and
(ii) No aspect of the solicitation for the event, the setting of the event, and the remarks or activities of the candidate in connection with the event were for the purpose of influencing the candidate's nomination or election.
(2)(i) An event or appearance meeting the requirements of paragraph (e)(1) of this section and occurring prior to January 1 of the year of the election for which the individual is a candidate is presumptively party-related;
(ii) Notwithstanding the requirements of paragraph (e)(1) of this section, an event or appearance occurring on or after January 1 of the year of the election for which the individual is a candidate is presumptively for the purpose of influencing the candidate's election, and any contributions or expenditures are governed by the contribution and expenditure limitations of this part 110.
(iii) The presumptions in paragraphs (e)(2)(i) and (ii) of this section may be rebutted by a showing to the Commission that the appearance or event was, or was not, party-related, as the case may be.
(f)(1) 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.
(2) Expenditures from personal funds made by a candidate for Vice President shall be considered to be expenditures by the candidate for President, if the candidate is receiving General Election Public Financing, see § 9003.2(c).
(g) An expenditure is made on behalf of a candidate, including a Vice-Presidential candidate, if it is made by—
(1) An authorized committee or any other agent of the candidate for purposes of making any expenditure;
(2) Any person authorized or requested by the candidate, an authorized committee of the candidate, or an agent of the candidate to make the expenditure; or
(3) A committee not authorized in writing, so long as it is requested by the candidate, an authorized committee of the candidate, or an agent of the candidate to make the expenditure.
(a)
(b)
(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 or design to violate paragraph (b)(1) of this section.
(c)
(2) For purposes of paragraph (c)(1) of this section, the term
(d)
(a) Except as provided in 11 CFR parts 9001,
(b) For purposes of this section,
(1) Any assets which, under applicable state law, at the time he or she became a candidate, the candidate had legal right of access to or control over, and with respect to which the candidate had either:
(i) Legal and rightful title, or
(ii) An equitable interest.
(2) Salary and other earned income from bona fide employment; dividends and proceeds from the sale of the candidate's stocks or other investments; bequests to the candidate; income from trusts established before candidacy; income from trusts established by bequest after candidacy of which the candidate is the beneficiary; gifts of a personal nature which had been customarily received prior to candidacy; proceeds from lotteries and similar legal games of chance.
(3) A candidate may use a portion of assets jointly owned with his or her spouse as personal funds. The portion of the jointly owned assets that shall be considered as personal funds of the candidate shall be that portion which is the candidate's share under the instrument(s) of conveyance or ownership. If no specific share is indicated by an instrument of conveyance or ownership, the value of one-half of the property used shall be considered as personal funds of the candidate.
(a)(1)
(i) Such communication, including any solicitation, if paid for and authorized by a candidate, an authorized committee of a candidate, or its agent, shall clearly state that the communication has been paid for by the authorized political committee; or
(ii) Such communication, including any solicitation, if authorized by a candidate, an authorized committee of a candidate or an agent thereof, but paid for by any other person, shall clearly state that the communication is paid for by such other person and is authorized by such candidate, authorized committee or agent; or
(iii) Such communication, including any solicitation, if made on behalf of or in opposition to a candidate, but paid for by any other person and not authorized by a candidate, authorized committee of a candidate or its agent, shall clearly state that the communication has been paid for by such person and is not authorized by any candidate or candidate's committee.
(iv) For solicitations directed to the general public on behalf of a political
(2)
(ii) A communication made by a party committee pursuant to 2 U.S.C. 441a(d) prior to the date the party's candidate is nominated shall satisfy the requirements of this section if it clearly states who paid for the communication.
(3)
(4)
(5)
(i) The disclaimer need not appear on the front or cover page of the communication as long as it appears within the communication, except on communications, such as billboards, that contain only a front face.
(ii) Each communication that would require a disclaimer if distributed separately, that is included in a package of materials, must contain the required disclaimer.
(iii) Disclaimers in a televised communication shall be considered clear and conspicuous if they appear in letters equal to or greater than four (4) percent of the vertical picture height that air for not less than four (4) seconds.
(6)
(i) Bumper stickers, pins, buttons, pens and similar small items upon which the disclaimer cannot be conveniently printed;
(ii) Skywriting, watertowers, wearing apparel or other means of displaying an advertisement of such a nature that the inclusion of a disclaimer would be impracticable; or
(iii) Checks, receipts and similar items of minimal value which do not contain a political message and which are used for purely administrative purposes.
(7)
(b)(1) No person who sells space in a newspaper or magazine to a candidate, an authorized committee of a candidate, or an agent of the candidate, for use in connection with the candidate's campaign for nomination or for election, shall charge an amount for the space which exceeds the comparable rate for the space for non-campaign purposes.
(2) For purposes of this section,
(a)
(b)
(1) The educational institution makes reasonable efforts to ensure that the appearances constitute speeches, question and answer sessions, or similar communications in an academic setting, and makes reasonable efforts to ensure that the appearances are not conducted as campaign rallies or events; and
(2) The educational institution does not, in conjunction with the appearance, expressly advocate the election or defeat of any clearly identified candidate(s) or candidates of a clearly identified political party, and does not favor any one candidate or political party over any other in allowing such appearances.
(a)
(2) Broadcasters (including a cable television operator, programmer or producer),
(b)
(1) Such debates include at least two candidates; and
(2) The staging organization(s) does not structure the debates to promote or advance one candidate over another.
(c)
(a)
(b) Definitions—(1)
(2)
(c)
(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.
(d)
(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)
(2) A delegate is not required to report expenditures made to advocate only his or her selection.
(f)
(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)
(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.
(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)
(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,
(g)
(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)
(2) A delegate committee shall report expenditures made pursuant to this paragraph.
(i)
(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)
(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)
(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,
(j)
(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)
2 U.S.C. 437g, 437d(a), 438(a)(8); 28 U.S.C. 2461 nt..
These regulations provide procedures for processing possible violations of the Federal Election Campaign Act of 1971, as amended (2 U.S.C. 431,
(a)
(b)
(c)
(a) Compliance matters may be initiated by a complaint or on the basis of information ascertained by the Commission in the normal course of carrying out its supervisory responsibilities.
(b) Matters initiated by complaint are subject to the provisions of 11 CFR 111.4 through 111.7. Matters initiated on the basis of information ascertained by the Commission in the normal course of carrying out its supervisory responsibilities are subject to the provisions of 11 CFR 111.8. All compliance matters are subject to the provisions of 11 CFR 111.2 and 111.9 through 111.23.
(a) Any person who believes that a violation of any statute or regulation over which the Commission has jurisdiction has occurred or is about to occur may file a complaint in writing to the General Counsel, Federal Election Commission, 999 E Street, NW., Washington, DC 20463. If possible, three (3) copies should be submitted.
(b) A complaint shall comply with the following:
(1) It shall provide the full name and address of the complainant; and
(2) The contents of the complaint shall be sworn to and signed in the presence of a notary public and shall be notarized.
(c) All statements made in a complaint are subject to the statutes governing perjury and to 18 U.S.C. 1001. The complaint should differentiate between statements based upon personal knowledge and statements based upon information and belief.
(d) The complaint should conform to the following provisions:
(1) It should clearly identify as a respondent each person or entity who is alleged to have committed a violation;
(2) Statements which are not based upon personal knowledge should be accompanied by an identification of the source of information which gives rise to the complainants belief in the truth of such statements;
(3) It should contain a clear and concise recitation of the facts which describe a violation of a statute or regulation over which the Commission has jurisdiction; and
(4) It should be accompanied by any documentation supporting the facts alleged if such documentation is known of, or available to, the complainant.
(a) Upon receipt of a complaint, the General Counsel shall review the complaint for substantial compliance with the technical requirements of 11 CFR 111.4, and, if it complies with those requirements shall within five (5) days after receipt notify each respondent that the complaint has been filed, advise them of Commission compliance procedures, and enclose a copy of the complaint.
(b) If a complaint does not comply with the requirements of 11 CFR 111.4, the General Counsel shall so notify the complainant and any person(s) or entity(ies) identified therein as respondent(s), within the five (5) day period specified in 11 CFR 111.5(a), that no action shall be taken on the basis of that complaint. A copy of the complaint shall be enclosed with the notification to each respondent.
(a) A respondent shall be afforded an opportunity to demonstrate that no action should be taken on the basis of a complaint by submitting, within fifteen (15) days from receipt of a copy of the complaint, a letter or memorandum setting forth reasons why the Commission should take no action.
(b) The Commission shall not take any action, or make any finding, against a respondent other than action dismissing the complaint, unless it has considered such response or unless no such response has been served upon the Commission within the fifteen (15) day period specified in 11 CFR 111.6(a).
(a) Following either the expiration of the fifteen (15) day period specified by 11 CFR 111.6(a) or the receipt of a response as specified by 11 CFR 111.6(a), whichever occurs first, the General Counsel may recommend to the Commission whether or not it should find reason to believe that a respondent has committed or is about to commit a violation of statutes or regulations over which the Commission has jurisdiction.
(b) The General Counsel may recommend that the Commission find that there is no reason to believe that a violation has been committed or is about to be committed, or that the Commission otherwise dismiss a complaint without regard to the provisions of 11 CFR 111.6(a).
(a) On the basis of information ascertained by the Commission in the normal course of carrying out its supervisory responsibilities, or on the basis of a referral from an agency of the United States or of any state, the General Counsel may recommend in writing that the Commission find reason to believe that a person or entity has committed or is about to commit a violation of statutes or regulations over which the Commission has jurisdiction.
(b) If the Commission finds reason to believe that a violation has occurred or is about to occur the notification to respondent required by 11 CFR 111.9(a) shall include a copy of a staff report setting forth the legal basis and the alleged facts which support the Commission's action.
(c) Prior to taking any action pursuant to this section against any person
(a) If the Commission, either after reviewing a complaint-generated recommendation as described in 11 CFR 111.7 and any response of a respondent submitted pursuant to 11 CFR 111.6, or after reviewing an internally-generated recommendation as described in 11 CFR 111.8, determines by an affirmative vote of four (4) of its members that it has reason to believe that a respondent has violated a statute or regulation over which the Commission has jurisdiction, its Chairman or Vice Chairman shall notify such respondent of the Commission's finding by letter, setting forth the sections of the statute or regulations alleged to have been violated and the alleged factual basis supporting the finding.
(b) If the Commission finds no reason to believe, or otherwise terminates its proceedings, the General Counsel shall so advise both complainant and respondent by letter.
(a) An investigation shall be conducted in any case in which the Commission finds reason to believe that a violation of a statute or regulation over which the Commission has jurisdiction has occurred or is about to occur.
(b) In its investigation, the Commission may utilize the provisions of 11 CFR 111.11 through 111.15. The investigation may include, but is not limited to, field investigations, audits, and other methods of information-gathering.
The Commission may authorize its Chairman or Vice Chairman to issue an order requiring any person to submit sworn written answers to written questions and may specify a date by which such answers must be submitted.
(a) The Commission may authorize its Chairman or Vice Chairman to issue subpoenas requiring the attendance and testimony of any person by deposition and to issue subpoenas duces tecum for the production of documentary or other tangible evidence in connection with a deposition or otherwise.
(b) If oral testimony is ordered to be taken by deposition or documents are ordered to be produced, the subpoena shall so state and shall advise the deponent or person subpoenaed that all testimony will be under oath. A deposition may be taken before any person having the power to administer oaths.
(c) The Federal Rules of Civil Procedure, Rule 30(e), shall govern the opportunity to review and sign depositions taken pursuant to this section.
(a) Service of a subpoena, order or notification upon a person named therein shall be made by delivering a copy to that person in the manner described by 11 CFR 111.13 (b), (c), and (d). In the case of subpoenas, fees for one day's attendance and mileage shall be tendered as specified in 11 CFR 111.14.
(b) Whenever service is to be made upon a person who has advised the Commission of representation by an attorney pursuant to 11 CFR 111.23, the service shall be made upon the attorney by any of the methods specified in 11 CFR 111.13(c).
(c) Delivery of subpoenas, orders and notifications to a natural person may be made by handing a copy to the person, or leaving a copy at his or her office with the person in charge thereof, by leaving a copy at his or her dwelling place or usual place of abode with some person of suitable age and discretion
(d) When the person to be served is not a natural person delivery of subpoenas, orders and notifications may be made by mailing a copy by registered or certified mail to the person at its place of business or by handing a copy to a registered agent for service, or to any officer, director, or agent in charge of any office of such person, or by mailing a copy by registered or certified mail to such representative at his or her last known address, or by any other method whereby actual notice is given.
Witnesses subpoenaed to appear for depositions shall be paid the same fees and mileage as witnesses in the courts of the United States. Such fees may be tendered at the time the witness appears for such deposition, or within a reasonable time thereafter.
(a) Any person to whom a subpoena is directed may, prior to the time specified therein for compliance, but in no event more than 5 days after the date of receipt of such subpoena, apply to the Commission to quash or modify such subpoena, accompanying such application with a brief statement of the reasons therefor. Motions to quash shall be filed with the General Counsel, Federal Election Commission, 999 E Street, NW., Washington, DC 20463. If possible, three (3) copies should be submitted.
(b) The Commission may deny the application or quash the subpoena or modify the subpoena.
(c) The person subpoenaed and the General Counsel may agree to change the date, time, or place of a deposition or for the production of documents without affecting the force and effect of the subpoena, but such agreements shall be confirmed in writing.
(a) Upon completion of the investigation, the General Counsel shall prepare a brief setting forth his or her position on the factual and legal issues of the case and containing a recommendation on whether or not the Commission should find probable cause to believe that a violation has occurred or is about to occur.
(b) The General Counsel shall notify each respondent of the recommendation and enclose a copy of his or her brief.
(c) Within fifteen (15) days from receipt of the General Counsel's brief, respondent may file a brief with the Commission Secretary, Federal Election Commission, 999 E Street, NW., Washington, DC 20463, setting forth respondent's position on the factual and legal issues of the case. If possible, ten (10) copies of such brief should be filed with the Commission Secretary and three (3) copies should be submitted to the General Counsel, Federal Election Commission, 999 E Street, NW., Washington, DC 20463.
(d) After reviewing the respondent's brief, the General Counsel shall advise the Commission in writing whether he or she intends to proceed with the recommendation or to withdraw the recommendation from Commission consideration.
(a) If the Commission, after having found reason to believe and after following the procedures set forth in 11 CFR 111.16, determines by an affirmative vote of four (4) of its members that there is probable cause to believe that a respondent has violated a statute or regulation over which the Commission has jurisdiction, the Commission shall authorize the General Counsel to so notify the respondent by letter.
(b) If the Commission finds no probable cause to believe or otherwise orders a termination of Commission proceedings, it shall authorize the General
(a) Upon a Commission finding of probable cause to believe, the Office of General Counsel shall attempt to correct or prevent the violation by informal methods of conference conciliation and persuasion, and shall attempt to reach a tentative conciliation agreement with the respondent.
(b) A conciliation agreement is not binding upon either party unless and until it is signed by the respondent and by the General Counsel upon approval by the affirmative vote of four (4) members of the Commission.
(c) If the probable cause to believe finding is made within forty-five days prior to any election, such conciliation attempt shall continue for at least fifteen (15) days from the date of such finding. In all other cases such attempts by the Commission shall continue for at least thirty (30) days, not to exceed ninety (90) days.
(d) Nothing in these regulations shall be construed to prevent the Commission from entering into a conciliation agreement with a respondent prior to a Commission finding of probable cause if a respondent indicates by letter to the General Counsel a desire to enter into negotiations directed towards reaching such a conciliation agreement. However, the Commission is not required to enter into any negotiations directed towards reaching a conciliation agreement unless and until it makes a finding of probable cause to believe. Any conciliation agreement reached under this subsection is subject to the provisions of subsection (b) of this section and shall have the same force and effect as a conciliation agreement reached after a Commission finding of probable cause to believe.
(e) If a conciliation agreement is reached between the Commission and the respondent, the General Counsel shall send a copy of the signed agreement to both complainant and respondent.
(a) If no conciliation agreement is finalized within the applicable minimum period specified by 11 CFR 111.18(c) the General Counsel may recommend to the Commission that the Commission authorize a civil action for relief in an appropriate court of the United States.
(b) Upon recommendation of the General Counsel, the Commission may, by an affirmative vote of four (4) of its members, authorize the General Counsel to commence a civil action for relief in an appropriate court of the United States.
(c) The provisions of 11 CFR 111.18(c) shall not preclude the Commission upon request of a respondent, from entering into a conciliation agreement even after a recommendation to file a civil action has been made pursuant to this section. Any conciliation agreement reached under this subsection is subject to the provisions of 11 CFR 111.18(b) and shall have the same force and effect as a conciliation agreement reached under 11 CFR 111.18(c).
(a) If the Commission makes a finding of no reason to believe or no probable cause to believe or otherwise terminates its proceedings, it shall make public such action and the basis therefor no later than thirty (30) days from the date on which the required notifications are sent to complainant and respondent.
(b) If a conciliation agreement is finalized, the Commission shall make public such conciliation agreement forthwith.
(a) Except as provided in 11 CFR 111.20, no complaint filed with the Commission, nor any notification sent by the Commission, nor any investigation conducted by the Commission, nor any findings made by the Commission shall be made public by the Commission or by any person or entity without the written consent of the respondent with respect to whom the complaint
(b) Except as provided in 11 CFR 111.20(b), no action by the Commission or by any person, and no information derived in connection with conciliation efforts pursuant to 11 CFR 111.18, may be made public by the Commission except upon a written request by respondent and approval thereof by the Commission.
(c) Nothing in these regulations shall be construed to prevent the introduction of evidence in the courts of the United States which could properly be introduced pursuant to the Federal Rules of Evidence or Federal Rules of Civil Procedure.
(a) In order to avoid the possibility of prejudice, real or apparent, to the public interest in enforcement actions pending before the Commission pursuant to 11 CFR part 111, except to the extent required for the disposition of ex parte matters as required by law (for example, during the normal course of an investigation or a conciliation effort), no interested person outside the agency shall make or cause to be made to any Commissioner or any member of any Commissioner's staff any ex parte communication relative to the factual or legal merits of any enforcement action, nor shall any Commissioner or member of any Commissioner's staff make or entertain any such ex parte communications.
(b) The prohibition of this regulation shall apply from the time a complaint is filed with the Commission pursuant to 11 CFR part 111 or from the time that the Commission determines on the basis of information ascertained in the normal course of its supervisory responsibilities that it has reason to believe that a violation has occurred or may occur pursuant to 11 CFR part 111, and remains in force until the Commission has finally concluded all action with respect to the enforcement matter in question.
(c) Nothing in this section shall be construed to prohibit contact between a respondent or respondent's attorney and any attorney or staff member of the Office of General Counsel in the course of representing the Commission or the respondent with respect to an enforcement proceeding or civil action. No statement made by such a Commission attorney or staff member during any such communication shall bind or estop the Commission in any way.
(a) If a respondent wishes to be represented by counsel with regard to any matter pending before the Commission, respondent shall so advise the Commission by sending a letter of representation signed by the respondent, which letter shall state the following:
(1) The name, address, and telephone number of the counsel;
(2) A statement authorizing such counsel to receive any and all notifications and other communications from the Commission on behalf of respondent.
(b) Upon receipt of a letter of representation, the Commission shall have no contact with respondent except through the designated counsel unless authorized in writing by respondent.
(a) Except as provided in paragraph (b) of this section, a civil penalty negotiated by the Commission or imposed by a court for a violation of the Act or chapter 95 or 96 of title 26 shall not exceed the greater of $5,500 or an amount equal to any contribution or expenditure involved in the violation. In the case of a knowing and willful violation, the civil penalty shall not exceed the greater of $11,000 or an amount equal to 200% of any contribution or expenditure involved in the violation.
(b) Any Commission member or employee, or any other person, who in violation of 2 U.S.C. 437g(a)(12)(A) makes public any notification or investigation under 2 U.S.C. 437g without receiving the written consent of the person receiving such notification, or the person with respect to whom such investigation is made, shall be fined not more than $2,200. Any such member
2 U.S.C. 437f, 438(a)(8).
(a) Any person may request in writing an advisory opinion concerning the application of the Act, chapters 95 or 96 of the Internal Revenue Code of 1954, or any regulation prescribed by the Commission. An authorized agent of the requesting person may submit the advisory opinion request, but the agent shall disclose the identity of his or her principal.
(b) The written advisory opinion request shall set forth a specific transaction or activity that the requesting person plans to undertake or is presently undertaking and intends to undertake in the future. Requests presenting a general question of interpretation, or posing a hypothetical situation, or regarding the activities of third parties, do not qualify as advisory opinion requests.
(c) Advisory opinion requests shall include a complete description of all facts relevant to the specific transaction or activity with respect to which the request is made.
(d) The Office of General Counsel shall review all requests for advisory opinions submitted under 11 CFR 112.1. If the Office of General Counsel determines that a request for an advisory opinion is incomplete or otherwise not qualified under 11 CFR 112.1, it shall, within 10 calendar days of receipt of such request, notify the requesting person and specify the deficiencies in the request.
(e) Advisory opinion requests should be sent to the Federal Election Commission, Office of General Counsel, 999 E Street, NW., Washington, DC 20463.
(f) Upon receipt by the Commission, each request which qualifies as an advisory opinion request (AOR) under 11 CFR 112.1 shall be assigned an AOR number for reference purposes.
(a) Advisory opinion requests which qualify under 11 CFR 112.1 shall be made public at the Commission promptly upon their receipt.
(b) A copy of the original request and any supplements thereto, shall be available for public inspection and purchase at the Public Disclosure Division of the Commission.
(a) Any interested person may submit written comments concerning advisory opinion requests made public at the Commission.
(b) The written comments shall be submitted within 10 calendar days following the date the request is made public at the Commission. However, if the 10th calendar day falls on a Saturday, Sunday, or Federal holiday, the 10 day period ends at the close of the business day next following the weekend or holiday. Additional time for submission of written comments may be granted upon written request for an extension by the person who wishes to submit comments or may be granted by the Commission without an extension request.
(c) Comments on advisory opinion requests should refer to the AOR number of the request, and statutory references should be to the United States Code citations, rather than to Public Law citations.
(d) Written comments and requests for additional time to comment shall
(e) Before it issues an advisory opinion the Commission shall accept and consider all written comments submitted within the 10 day comment period or any extension thereof.
(a) Within 60 calendar days after receiving an advisory opinion request that qualifies under 11 CFR 112.1, the Commission shall issue to the requesting person a written advisory opinion or shall issue a written response stating that the Commission was unable to approve an advisory opinion by the required affirmative vote of 4 members.
(b) The 60 calendar day period of 11 CFR 112.4(a) is reduced to 20 calendar days for an advisory opinion request qualified under 11 CFR 112.1 provided the request:
(1) Is submitted by any candidate, including any authorized committee of the candidate (or agent of either), within the 60 calendar days preceding the date of any election for Federal office in which the candidate is seeking nomination or election; and
(2) Presents a specific transaction or activity related to the election that may invoke the 20 day period if the connection is explained in the request.
(c) The 60 day and 20 day periods referred to in 11 CFR 112.4(a) and (b) only apply when the Commission has received a qualified and complete advisory opinion request under 11 CFR 112.1, and when the 60th or 20th day occurs on a Saturday, Sunday or Federal holiday, the respective period ends at the close of the business day next following the weekend or holiday.
(d) The Commission may issue advisory opinions pertaining only to the Federal Election Campaign Act of 1971, as amended, chapters 95 or 96 of the Internal Revenue Code of 1954, or rules or regulations duly prescribed under those statutes.
(e) Any rule of law which is not stated in the Act or in chapters 95 or 96 of the Internal Revenue Code of 1954, or in a regulation duly prescribed by the Commission, may be initially proposed only as a rule or regulation pursuant to procedures established in 2 USC 438(d) or 26 USC 9009(c) and 9039(c) as applicable.
(f) No opinion of an advisory nature may be issued by the Commission or any of its employees except in accordance with 11 CFR part 112; however, this limitation does not preclude distribution by the Commission of information consistent with the Act and chapters 95 or 96 of the Internal Revenue Code of 1954.
(g) When issued by the Commission, each advisory opinion or other response under 11 CFR 112.4(a) shall be made public and sent by mail, or personally delivered to the person who requested the opinion.
(a) An advisory opinion rendered by the Commission under 11 CFR part 112 may be relied upon by:
(1) Any person involved in the specific transaction or activity with respect to which such advisory opinion is rendered, and
(2) 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.
(b) Notwithstanding any other provision of law, any person who relies upon an advisory opinion in accordance with 11 CFR 112.5(a) and who acts in good faith in accordance with that advisory opinion shall not, as a result of any such act, be subject to any sanction provided by the Federal Election Campaign Act of 1971, as amended, or by chapters 95 or 96 of the Internal Revenue Code of 1954.
(a) The Commission may reconsider an advisory opinion previously issued if the person to whom the opinion was issued submits a written request for reconsideration within 30 calendar days of receipt of the opinion and if, upon the motion of a Commissioner who voted with the majority that originally approved the opinion, the Commission
(b) The Commission may reconsider an advisory opinion previously issued if, upon the motion of a Commissioner who voted with the majority that originally approved the opinion and within 30 calendar days after the date the Commission approved the opinion, the Commission adopts the motion to reconsider by the affirmative vote of 4 members.
(c) In the event an advisory opinion is reconsidered pursuant to 11 CFR 112.6(b), the action taken in good faith reliance on that advisory opinion by the person to whom the opinion was issued shall not result in any sanction provided by the Act or chapters 95 or 96 of the Internal Revenue Code of 1954. 11 CFR 112.6(c) shall not be effective after the date when the person to whom the advisory opinion was issued has received actual notice of the Commission's decision to reconsider that advisory opinion.
(d) Adoption of a motion to reconsider vacates the advisory opinion to which it relates.
2 U.S.C. 432(h), 438(a)(8), 439a, 441a.
When used in this part—
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(1)(i)
(A) Household food items or supplies;
(B) Funeral, cremation or burial expenses;
(C) Clothing, other than items of
(D) Tuition payments, other than those associated with training campaign staff;
(E) Mortgage, rent or utility payments—
(
(
(F) Admission to a sporting event, concert, theater or other form of entertainment, unless part of a specific campaign or officeholder activity;
(G) Dues, fees or gratuities at a country club, health club, recreational facility or other nonpolitical organization, unless they are part of the costs of a specific fundraising event that takes place on the organization's premises; and
(H) Salary payments to a member of the candidate's family, unless the family member is providing
(ii) The Commission will determine, on a case by case basis, whether other uses of funds in a campaign account fulfill a commitment, obligation or expense that would exist irrespective of the candidate's campaign or duties as a Federal officeholder, and therefore are personal use. Examples of such other uses include:
(A) Legal expenses;
(B) Meal expenses;
(C) Travel expenses, including subsistence expenses incurred during travel. If a committee uses campaign funds to pay expenses associated with travel that involves both personal activities and campaign or officeholder related activities, the incremental expenses that result from the personal activities are personal use, unless the person(s) benefiting from this use reimburse(s) the campaign account within thirty days for the amount of the incremental expenses; and
(D) Vehicle expenses, unless they are a
(2)
(3)
(4)
(5)
(6)
(i) The payment is a donation to a legal expense trust fund established in accordance with the rules of the United States Senate or the United State House of Representatives;
(ii) The payment is made from funds that are the candidate's personal funds as defined in 11 CFR 110.10(b), including an account jointly held by the candidate and a member of the candidate's family;
(iii) Payments for that expense were made by the person making the payment before the candidate became a candidate. Payments that are compensation shall be considered contributions unless—
(A) The compensation results from
(B) The compensation is exclusively in consideration of services provided by the employee as part of this employment; and
(C) The compensation does not exceed the amount of compensation which would be paid to any other similarly qualified person for the same work over the same period of time.
(7)
(i) The spouse of the candidate;
(ii) Any child, step-child, parent, grandparent, sibling, half-sibling or step-sibling of the candidate or the candidate's spouse;
(iii) The spouse of any child, step-child, parent, grandparent, sibling, half-sibling or step-sibling of the candidate; and
(iv) A person who has a committed relationship with the candidate, such as sharing a household and having mutual responsibility for each other's personal welfare or living expenses.
Excess campaign funds and funds donated:
(a) May be used to defray any ordinary and necessary expenses incurred in connection with the recipient's duties as a holder of Federal office, if applicable, including:
(1) The costs of travel by the recipient Federal officeholder and an accompanying spouse to participate in a function directly connected to
(2) The costs of winding down the office of a former Federal officeholder for a period of 6 months after he or she leaves office; or
(b) May be contributed to any organization described in section 170(c) of Title 26, of the United States Code; or
(c) May be transferred without limitation to any national, State, or local committee of any political party; or
(d) May be used for any other lawful purpose, except that, other than as set forth in paragraph (e) of this section, 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, or to repay to a candidate any loan the proceeds of which were used in connection with his or her campaign.
(e)(1) Except as limited by paragraph (e)(5) of this section, a qualified Member who serves in the 102d or an earlier Congress may convert to personal use no more than the unobligated balance of excess funds as of November 30, 1989. This unobligated balance shall be calculated under either paragraph (e)(1) (i) or (ii) of this section.
(i)
(ii)
(B) The Member may add the value of debts and loans reported as owed to the Member's authorized committee(s) as of November 30, 1989, and itemized on the committee(s)' year end reports for 1989, to the unobligated balance, provided that such receivables are actually collected by the committee(s) prior to their termination.
(C) The Member may add to the unobligated balance the value of vendor credits and deposit refunds to which authorized campaign committee(s) are entitled, if these receivables are itemized on Schedule C or D of the committee(s)' 1989 year end reports or in amendment(s) thereto.
(2) If the unobligated balance subsequently falls below its November 30, 1989, level, a qualified Member may use contributions lawfully received or other lawful committee income received after that date to restore the account up to that level.
(3) A qualified Member may convert committee assets which were not held on November 30, 1989, to personal use; however, the fair market value of such assets at the time of conversion shall be counted against the unobligated balance.
(4) Under no circumstances may an amount greater than the unobligated balance on November 30, 1989, be converted to personal use. Should money from subsequent contributions, other committee income, and/or the sale of campaign assets exceed the amount needed to restore the unobligated balance to its November 30, 1989, level, such additional funds shall not be converted to personal use but may be used for the purposes set forth in paragraphs (a), (b), and (c) of this section.
(5)
(f) Nothing in this section modifies or supersedes other Federal statutory restrictions or relevant State laws which may apply to the use of excess campaign or donated funds by candidates or Federal officeholders.
All funds donated to a federal officeholder, or State officeholder who is a candidate for federal office, shall be deposited into one of the following accounts:
(a) An account of the officeholder's principal campaign committee or other authorized committee pursuant to 11 CFR part 103;
(b) An account to which only funds donated to an individual to support his or her activities as a holder of federal office are deposited (including an office account).
(a) Any contributions to, or expenditures from an office account which are made for the purpose of influencing a federal election shall be subject to 2 U.S.C. 441a and 11 CFR part 110 of these regulations.
(b) If any treasury funds of a corporation or labor organization are donated
2 U.S.C. 431(8)(B), 431(9)(B), 432, 437d(a)(8), 438(a)(8), and 441b.
(a) For purposes of part 114 and section 12(h) of the Public Utility Holding Company Act (15 U.S.C. 79
(1) The terms
(2) The terms
(i) Communications by a corporation to its stockholders and executive or administrative personnel and their families or by a labor organization to its members and executive or administrative personnel, and their families, on any subject;
(ii) 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 executive or administrative personnel, and their families, as described in 11 CFR 114.3;
(iii) 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;
(iv) [Reserved]
(v) The sale of any food or beverage by a corporate vendor for use in a candidate's campaign or for use by a political committee of a political party at a charge less than the normal of comparable commercial rate, if the charge is at least equal to the costs of such food or beverage to the vendor, to the extent that: The aggregate value of such discount by the vendor on behalf of a single candidate does not exceed $1,000 with respect to any single election; and on behalf of all political committees of each political party does not exceed $2,000 in a calendar year.
(vi) The payment for legal or accounting services rendered to or on behalf of any political committee of a political party other than services attributable to activities which directly further the election of a designated candidate or candidates for Federal office if the corporation or labor organization paying for the services is the regular employer of the individual rendering the services. This exclusion shall not be applicable if additional employees are hired for the purpose of rendering services or if additional employees are hired in order to make regular employees available;
(vii) The payment for legal or accounting services rendered to or on behalf of an authorized committee of a
(viii) Activity permitted under 11 CFR 9008.9, 9008.52 and 9008.53 with respect to a presidential nominating convention;
(ix) A gift, subscription, loan, advance, or deposit of money or anything of value to a national committee of a political party or a State committee of a political party which is specifically designated for the purpose of defraying any cost incurred with respect to the construction or purchase of any office facility which is not acquired for the purpose of influencing the election of any candidate in any particular election for Federal office, except that any gift, subscription, loan, advace, or deposit of money or anything of value, and any such cost, shall be reported in accordance with 11 CFR 104.3(g); or
(x) Any activity which is specifically permitted by part 114.
(b)
(c)
(1) This definition includes—
(i) The individuals who run the corporation's business such as officers, other executives, and plant, division, and section managers; and
(ii) Individuals following the recognized professions, such as lawyers and engineers.
(2) This definition does
(i) Professionals who are represented by a labor organization;
(ii) Salaried foremen and other salaried lower level supervisors having direct supervision over hourly employees;
(iii) Former or retired personnel who are not stockholders; or
(iv) Individuals who may be paid by the corporation or labor organization, such as consultants, but who are not employees, within the meaning of 26 CFR 31.3401(c)-1, of the corporation or labor organization for the purpose of income withholding tax on employee wages under Internal Revenue Code of 1954, section 3402.
(3) Individuals on commission may be considered executive or administrative personnel if they have policymaking, managerial, professional, or supervisory responsibility and if the individuals are employees, within the meaning of 26 CFR 31.3401(c)-1 of the corporation for the purpose of income withholding tax on employee wages under the Internal Revenue Code of 1954, section 3402.
(4) The Fair Labor Standards Act, 29 U.S.C. 201,
(d)
(e)(1)
(i) Expressly provides for “members” in its articles and by-laws;
(ii) Expressly solicits members; and
(iii) Expressly acknowledges the acceptance of membership, such as by sending a membership card or inclusion on a membership newsletter list.
(2)
(i) Have some significant financial attachment to the membership association, such as a significant investment or ownership stake (but
(ii) Are required to pay on a regular basis a specific amount of dues that is predetermined by the association and are entitled to vote directly either for at least one member who has fully participatory and voting rights on the highest governing body of the membership association, or for those who select at least one member of those on the highest governing body of the membership association; or
(iii) Are entitled to vote directly for all of those on the highest governing body of the membership association.
(3) Notwithstanding the requirements of paragraph (e)(2)(ii) of this section, the Commission may determine, on a case by case basis, that persons seeking to be considered members of a membership association for purposes of this section have a significant organizational and financial attachment to the association under circumstances that do not precisely meet the requirements of the general rule. For example, student members who pay a lower amount of dues while in school or long term dues paying members who qualify for lifetime membership status with little or no dues obligation may be considered members if they retain voting rights in the association.
(4) Notwithstanding the requirements of paragraphs (e)(2) (i) through (iii) of this section, members of a local union are considered to be members of any national or international union of which the local, union is a part and of any federation with which the local, national, or a international union is affiliated.
(f)
(g)
(h)
(i)
(j)
(a) National banks and corporations organized by authority of any law of Congress are prohibited from making a contribution, as defined in 11 CFR 114.1(a), in connection with any election to any political office, including local, State and Federal offices, or in connection with any primary election or political convention or caucus held to select candidates for any political office, including any local, State or Federal office. National banks and corporations organized by authority of any law of Congress are prohibited form making expenditures as defined in 11 FR 114.1(a) for communications to those outside the restricted class expressly advocating the election or defeat of one or more clearly identified candidate(s) or the candidates of a clearly identified political party, with respect to an election to any political office, including any local, State or Federal office.
(1) Such national banks and corporations may engage in the activities permitted by 11 CFR part 114, except to the extent that such activity is foreclosed by provisions of law other than the Act.
(2) The provisions of 11 CFR part 114 apply to the activities of a national bank, or a corporation organized by any law of Congress, in connection with local, State and Federal elections.
(b) Any corporation whatever or any labor organization is prohibited from making a contribution as defined in 11 CFR 114.1(a) in connection with any Federal election. Except as provided at 11 CFR 114.10, corporations and labor organizations are prohibited from making expenditures with respect to a Federal election (as defined in 11 CFR 114.1(a)) for communications to those outside the restricted class expressly advocating the election or defeat of one or more clearly identified candidate(s) or the candidates of a clearly identified political party.
(c) Disbursements by corporations and labor organizations for the election-related activities described in 11 CFR 114.3 and 114.4 will not cause those activities to be contributions or expenditures, even when coordinated with any candidate, candidate's agent, candidate's authorized committee(s) or any party committee to the extent permitted in those sections. Coordination beyond that described in 11 CFR 114.3 and 114.4 shall not cause subsequent activities directed at the restricted class to be considered contributions or expenditures. However, such coordination may be considered evidence that could negate the independence of subsequent communications to those outside the restricted class by the corporation, labor organization or its separate segregated fund, and could result in an in-kind contribution.
(d) A candidate, political committee, or other person is prohibited from knowingly accepting or receiving any contribution prohibited by this section.
(e) No officer or director of any corporation or any national bank, and no officer of any labor organization shall consent to any contribution or expenditure by the corporation, national bank, or labor organization prohibited by this section.
(f)
(2) Examples of facilitating the making of contributions include but are not limited to—
(i) Fundraising activities by corporations (except commercial vendors) or labor organizations that involve—
(A) Officials or employees of the corporation or labor organization ordering or directing subordinates or support staff (who therefore are not acting as volunteers) to plan, organize or carry out the fundraising project as a part of their work responsibilities using corporate or labor organization resources, unless the corporation or labor organization receives advance payment for the fair market value of such services;
(B) Failure to reimburse a corporation or labor organization within a commercially reasonable time for the use of corporate facilities described in 11 CFR 114.9(d) in connection with such fundraising activities;
(C) Using a corporate or labor organization list of customers, clients, vendors or others who are not in the restricted class to solicit contributions or distribute invitations to the fundraiser, unless the corporation or labor organization receives advance payment for the fair market value of the list;
(D) Using meeting rooms that are not customarily made available to clubs, civic or community organizations or other groups; or
(E) Providing catering or other food services operated or obtained by the corporation or labor organization, unless the corporation or labor organization receives advance payment for the fair market value of the services;
(ii) Providing materials for the purpose of transmitting or delivering contributions, such as stamps, envelopes addressed to a candidate or political committee other than the corporation's or labor organization's separate segregated fund, or other similar items which would assist in transmitting or delivering contributions, but not including providing the address of the candidate or political committee;
(iii) Soliciting contributions earmarked for a candidate that are to be collected and forwarded by the corporation's or labor organizations's separate segregated fund, except to the extent such contributions also are treated as contributions to and by the separate segregated fund; or
(iv) Using coercion, such as the threat of a detrimental job action, the threat of any other financial reprisal, or the threat of force, to urge any individual to make a contribution or engage in fundraising activities on behalf of a candidate or political committee.
(3) Facilitating the making of contributions does not include the following activities if conducted by a separate segregated fund—
(i) Any activity specifically permitted under 11 CFR 110.1, 110.2, or 114.5 through 114.8, including soliciting contributions to a candidate or political committee, and making in kind contributions to a candidate or political committee; and
(ii) Collecting and forwarding contributions earmarked to a candidate in accordance with 11 CFR 110.6.
(4) Facilitating the making of contributions also does not include the following activities if conducted by a corporation or labor organization—
(i) Enrolling members of a corporation's or labor organization's restricted class in a payroll deduction plan or check-off system which deducts contributions from dividend or payroll checks to make contributions to the corporation's or labor organization's separate segregated fund or an employee participation plan pursuant to 11 CFR 114.11;
(ii) Soliciting contributions to be sent directly to candidates if the solicitation is directed to the restricted class,
(iii) Soliciting contributions earmarked for a candidate that are to be collected and forwarded by the corporation's or labor organization's separate segregated fund, to the extent such contributions also are treated as contributions to and by the separate segregated fund.
(a)
(2) Incorporated membership organizations, incorporated trade associations, incorporated cooperatives and corporations without capital stock may make communications to their restricted class, or any part of that class as permitted in paragraphs (a)(1) and (c) of this section.
(b)
(c)
(1)
(i) The material is produced at the expense of the corporation or labor organization; and
(ii) The material constitutes a communications of the views of the corporation or the labor organization, and is not the republication or reproduction, in whole or in part, of any broadcast, transcript or tape or any written, graphic, or other form of campaign materials prepared by the candidate, his or her campaign committees, or their authorized agents. A corporation or labor organization may, under this section, use brief quotations from speeches or other materials of a candidate that demonstrate the candidate's position as part of the corporation's or labor organization's expression of its own views.
(2)
(ii) The candidate, candidate's representative or party representative may ask for contributions to his or her campaign or party, or ask that contributions to the separate segregated fund of the corporation or labor organization be designated for his or her campaign or party. The incidental solicitation of persons outside the corporation's or labor organization's restricted class who may be present at the meeting as permitted by this section will not be a violation of 11 CFR part 114. The candidate's representative or party representative (other than an officer, director or other representative of a corporation or official, member or employee of a labor organization) or the candidate, may accept contributions before, during or after the appearance at the meeting, convention or other function of the corporation or labor organization.
(iii) The corporation or labor organization may suggest that members of its restricted class contribute to the candidate or party committee, but the collection of contributions by any officer, director or other representative of the corporation or labor organization before, during, or after the appearance while at the meeting, is an example of
(iv) If the corporation or labor organization permits more than one candidate for the same office, or more than one candidate's representative or party representative, to address its restricted class, and permits the news media to cover or carry an appearance by one candidate or candidate's representative or party representative, the corporation or labor organization shall also permit the news media to cover or carry the appearances by the other candidate(s) for that office, or the other candidates' representatives or party representatives. If the corporation or labor organization permits a representative of the news media to cover or carry a candidate or candidate's representative or party representative appearance, the corporation or labor organization shall provide all other representatives of the news media with equal access for covering or carrying that appearance. Equal access is provided by—
(A) Providing advance information regarding the appearance to the representatives of the news media whom the corporation or labor organization customarily contacts and other representatives of the news media upon request; and
(B) Allowing all representatives of the news media to cover or carry the appearance, through the use of pooling arrangements if necessary.
(3)
(4)
(a)
(b)
(i) If a candidate for the House or Senate or a candidate's representative is permitted to address or meet employees, all candidates for that seat who request to appear must be given a similar opportunity to appear;
(ii) If a Presidential or Vice Presidential candidate or candidate's representative is permitted to address or meet employees, all candidates for that office who are seeking the nomination or election, and who meet pre-established objective criteria under 11 CFR 110.13(c), and who request to appear must be given a similar opportunity to appear;
(iii) If representatives of a political party are permitted to address or meet employees, representatives of all political parties which had a candidate or candidates on the ballot in the last general election or which are actively engaged in placing or will have a candidate or candidates on the ballot in the next general election and who request to appear must be given a similar opportunity to appear;
(iv) The candidate's representative or party representative (other than an officer, director or other representative of a corporation) or the candidate, may ask for contributions to his or her campaign or party, or ask that contributions to the separate segregated fund of the corporation be designated for his or her campaign or party. The candidate, candidate's representative or party representative shall not accept contributions before, during or after the appearance while at the meeting, convention or other function of the corporation, but may leave campaign materials or envelopes for members of the audience. A corporation, its restricted class, or other employees of the corporation or its separate segregated fund shall not, either orally or in writing, solicit or direct or control contributions by members of the audience to any candidate or party in conjunction with any appearance by any candidate or party representative under this section, and shall not facilitate the making of contributions to any such candidate or party (see 11 CFR 114.2(f));
(v) A corporation or its separate segregated fund shall not, in conjunction with any candidate, candidate representative or party representative appearance under this section, expressly advocate the election or defeat of any clearly identified candidate(s) or candidates of a clearly identified political party and shall not promote or encourage express advocacy by employees;
(vi) No candidate, candidate's representative or party representative shall be provided with more time or a substantially better location than other candidates, candidates' representatives or party representatives who appear, unless the corporation is able to demonstrate that it is clearly impractical to provide all candidates, candidates' representatives and party representatives with similar times or locations;
(vii) Coordination with each candidate, candidate's agent, and candidate's authorized committee(s) may include discussions of the structure, format and timing of the candidate appearance and the candidate's positions on issues, but shall not include discussions of the candidate's plans, projects, or needs relating to the campaign; and
(viii) Representatives of the news media may be allowed to be present during a candidate, candidate representative or party representative appearance under this section, in accordance with the procedures set forth at 11 CFR 114.3(c)(2)(iv).
(2)
(i) The candidate's representative or party representative (other than an official, member or employee of a labor organization) or the candidate, may ask for contributions to his or her campaign or party, or ask that contributions to the separate segregated fund of the labor organization be designated for his or her campaign or party. The candidate, candidate's representative or party representative shall not accept contributions before, during or after the appearance while at the meeting, convention or other function of the labor organization, but may leave campaign materials or envelopes for members of the audience. No official, member, or employee of a labor organization or its separate segregated fund shall, either orally or in writing, solicit or direct or control contributions by members of the audience to any candidate or party representative under this section, and shall not facilitate the making of contributions to any such candidate or party. See 11 CFR 114.2(f).
(ii) A labor organization or its separate segregated fund shall not, in conjunction with any candidate or party representative appearance under this section, expressly advocate the election or defeat of any clearly identified candidate(s), and shall not promote or encourage express advocacy by its members or employees.
(c)
(2)
(3)
(ii) A corporation or labor organization may distribute official registration-by-mail forms to the general public. A corporation or labor organization may distribute absentee ballots to the general public if permitted by the applicable State law.
(iii) A corporation or labor organization may donate funds to State or local government agencies responsible for the administration of elections to help defray the costs of printing or distributing registration or voting information and forms.
(iv) The corporation or labor organization shall not, in connection with
(v) The reproduction and distribution of registration or voting information and forms shall not be coordinated with any candidate(s) or political party.
(4)
(5)
(i) The corporation or labor organization shall not contact or in any other way act in cooperation, coordination, or consultation with or at the request or suggestion of the candidates, the candidates' committees or agents regarding the preparation, contents and distribution of the voter guide, and no portion of the voter guide may expressly advocate the election or defeat of one or more clearly identified candidate(s) or candidates of any clearly identified political party.
(ii) (A) The corporation or labor organization shall not contact or in any other way act in cooperation, coordination, or consultation with or at the request or suggestion of the candidates, the candidates' committees or agents regarding the preparation, contents and distribution of the voter guide, except that questions may be directed in writing to the candidates included in the voter guide and the candidates may respond in writing;
(B) All of the candidates for a particular seat or office shall be provided an equal opportunity to respond, except that in the case of Presidential and Vice Presidential candidates the corporation or labor organization may choose to direct the questions only to those candidates who—
(
(
(C) No candidate may receive greater prominence in the voter guide than other participating candidates, or substantially more space for responses;
(D) The voter guide and its accompanying materials shall not contain an electioneering message; and
(E) The voter guide and its accompanying materials shall not score or rate the candidates' responses in such a way as to convey an electioneering message.
(6)
(i) The public announcement of the endorsement may be made through a press release and press conference. Disbursements for the press release and press conference shall be de minimis. The disbursements shall be considered de minimis if the press release and notice of the press conference is distributed only to the representatives of the news media that the corporation or labor organization customarily contacts when issuing non-political press releases or holding press conferences for other purposes.
(ii) The public announcement of the endorsement may not be coordinated with the candidate, the candidate's agents or the candidate's authorized committee(s).
(7)
(ii)
(A) The educational institution makes reasonable efforts to ensure that the appearances constitute speeches, question and answer sessions, or similar communications in an academic setting, and makes reasonable efforts to ensure that the appearances are not conducted as campaign rallies or events; and
(B) The educational institution does not, in conjunction with the appearance, expressly advocate the election or defeat of any clearly identified candidate(s) or candidates of a clearly identified political party, and does not favor any one candidate or political party over any other in allowing such appearances.
(d)
(1) The corporation or labor organization shall not make any communication expressly advocating the election or defeat of any clearly identified candidate(s) or candidates of a clearly identified political party as part of the voter registration or get-out-the-vote drive.
(2) The registration or get-out-the-vote drive shall not be coordinated with any candidate(s) or political party.
(3) The registration drive shall not be directed primarily to individuals previously registered with, or intending to register with, the political party favored by the corporation or labor organization. The get-out-the-vote drive shall not be directed primarily to individuals currently registered with the political party favored by the corporation or labor organization.
(4) These services shall be made available without regard to the voter's political preference. Information and other assistance regarding registering or voting, including transportation and other services offered, shall not be withheld or refused on the basis of support for or opposition to particular candidates or a particular political party.
(5) Individuals conducting the registration or get-out-the-vote drive shall not be paid on the basis of the number of individuals registered or transported who support one or more particular candidates or political party.
(6) The corporation or labor organization shall notify those receiving information or assistance of the requirements of paragraph (d)(4) of this section. The notification shall be made in writing at the time of the registration or get-out-the-vote drive.
(e)
(f)
(2) A broadcaster (including a cable television operator, programmer or producer),
(3) A corporation or labor organization may donate funds to nonprofit organizations qualified under 11 CFR 110.13(a)(1) to stage candidate debates held in accordance with 11 CFR 110.13 and 114.4(f).
(a)
(2) A guideline for contributions may be suggested by a corporation or a labor organization, or the separate segregated fund of either, provided that the person soliciting or the solicitation informs the persons being solicited—
(i) That the guidelines are merely suggestions; and
(ii) That an individual is free to contribute more or less than the guidelines suggest and the corporation or labor organization will not favor or disadvantage anyone by reason of the amount of their contribution or their decision not to contribute.
(3) Any person soliciting an employee or member for a contribution to a separate segregated fund must inform such employee or member of the political purposes of the fund at the time of the solicitation.
(4) Any persons soliciting an employee or member for a contribution to a separate segregated fund must inform the employee or member at the time of such solicitation of his or her right to refuse to so contribute without any reprisal.
(5) Any written solicitation for a contribution to a separate segregated fund which is addressed to an employee or member must contain statements which comply with the requirements of paragraphs (a)(3) and (4) of this section, and if a guideline is suggested, statements which comply with the requirements of paragraph (a)(2) of this section.
(b)
(1) A contributor may not be paid for his or her contribution through a bonus, expense account, or other form of direct or indirect compensation.
(2) A corporation, labor organization, membership organization, cooperative, or corporation without capital stock may, subject to the provisions of 39 U.S.C. 3005 and chapter 61, title 18, United States Code, utilize a raffle or other fundraising device which involves a prize, so long as State law permits and the prize is not disproportionately valuable. Dances, parties, and other types of entertainment may also be used as fundraising devices. When using raffles or entertainment to raise funds, a reasonable practice to follow is for the separate segregated fund to reimburse the corporation or labor organization for costs which exceed one-third of the money contributed.
(3) If the separate segregated fund pays any solicitation or other administrative expense from its own account, which expense could be paid for as an administrative expense by the collecting agent, the collecting agent may reimburse the separate segregated fund no later than 30 calendar days after the expense was paid by the separate segregated fund.
(c)
(i) The fund accepts contributions of all amounts, subject to the limitations of part 110;
(ii) Subject to paragraph (c)(1)(iii) of this section, nothing of value may be given in return for or in the course of membership;
(iii) The fund may use membership status for intangible privileges such as allowing members only to choose the candidates to whom the fund will contribute.
(2) The fact that the separate segregated fund of a corporation, labor organization, membership organization, cooperative, or corporation without capital stock is a
(d)
(e)
(1) A corporation or labor organization is not required to report any payment made or obligation incurred which is not a contribution or expenditure, as defined in § 114.1(a), except those reporting requirements specifically set forth in this section.
(2) A membership organization or corporation is not required to report the cost of any communication to its members or 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 person to Federal office, except that—
(i) 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 those costs exceed $2,000 per election, be reported in accordance with 11 CFR 100.8(b)(4); and
(ii) The amounts paid or incurred for legal or accounting services rendered to or on behalf of a candidate or political committee solely for the purpose of ensuring compliance with the provisions of the Act or chapter 95 or 96 of the Internal Revenue Code of 1954 paid by a corporation or labor organization which is the regular employer of the individual rendering such services, shall be reported in accordance with the provisions of part 104.
(3) A separate segregated fund is subject to all other disclosure requirements of political committees as set forth in part 104.
(f)
(g)
(1) A corporation or a separate segregated fund established by a corporation is prohibited from soliciting contributions to such fund from any person other than its stockholders and their families and its executive or administrative personnel and their families. A corporation may solicit the executive or administrative personnel of its subsidiaries, branches, divisions, and affiliates and their families. For purposes of this section, the factors set forth at 11 CFR 100.5(g)(4) shall be used to determine whether an organization is an affiliate of a corporation.
(2) A labor organization, or a separate segregated fund established by a labor organization is prohibited from soliciting contributions to such a fund from any person other than its members and executive or administrative personnel, and their families.
(h)
(i)
(j)
(k)
(1) If a corporation, including its subsidiaries, branches, divisions, or affiliates utilizes a payroll deduction plan, check-off system, or other plan which deducts contributions from the dividend or payroll checks of stockholders or executive or administrative personnel, the corporation shall, upon written request of the labor organization, make that method available to members of the labor organization working for the corporation, its subsidiaries, branches, divisions, or affiliates, who wish to contribute to the separate segregated
(2) If a corporation uses a computer for addressing envelopes or labels for a solicitation to its stockholders or executive or administrative personnel, the corporation shall, upon written request, program the computer to enable the labor organization to solicit its members. The corporation shall charge the labor organization a cost sufficient only to reimburse the corporation for the actual expenses incurred in programming the computers and the allocated cost of employee time relating to the work, and the materials used.
(3) If a corporation uses corporate facilities, such as a company dining room or cafeteria, for meetings of stockholders or executive or administrative personnel at which solicitations are made, the corporation shall upon written request of the labor organization allow that labor organization to use existing corporate facilities for meetings to solicit its members. The labor organization shall be required to reimburse the corporation for any actual expenses incurred thereby, such as any increase in the overhead to the corporation and any cost involved in setting up the facilities.
(4) If a corporation uses no method to solicit voluntary contributions or to facilitate the making of voluntary contributions from stockholders or executive or administrative personnel, it is not required by law to make any method available to the labor organization for its members. The corporation and the labor organization may agree upon making any lawful method available even though such agreement is not required by the Act.
(5) The availability of methods of twice yearly solicitations is subject to the provisions of § 114.6(e).
(l)
(a) A corporation and/or its separate segregated fund may make a total of two written solicitations for contributions to its separate segregated fund per calendar year of its employees other than stockholders, executive or administrative personnel, and their families. Employees as used in this section does not include former or retired employees who are not stockholders. Nothing in this paragraph shall limit the number of solicitations a corporation may make of its stockholders and executive or administrative personnel under § 114.5(g).
(b) A labor organization and/or its separate segregated fund may make a total of two written solicitations per calendar year of employees who are not members of the labor organization, executive or administrative personnel, or stockholders (and their families) of a corporation in which the labor organization represents members working for the corporation. Nothing in this paragraph shall limit the number of solicitations a labor organization may make of its members under § 114.5(g).
(c)
(1) Of the existence of the custodial arrangement described hereinafter;
(2) That the corporation, labor organization, or the separate segregated fund of either cannot be informed of persons who do not make contributions; and
(3) That persons who, in a calendar year make a single contribution of $50
(d)
(1) The custodian for a separate segregated fund established by a corporation shall not be a stockholder, officer, executive or administrative personnel, or employee of the corporation, or an officer, or employee of its separate segregated fund. The custodian for a separate segregated fund established by a labor organization shall not be a member, officer or employee of the labor organization or its separate segregated fund.
(2) The custodian shall keep the records of contributions received in accordance with the requirements of part 102 and shall also—
(i) Establish a separate account and deposit contributions in accordance with the provisions of part 103;
(ii) Provide the fund with the identification of any person who makes a single contribution of more than $50 and the identification of any person who makes multiple contributions aggregating more than $200. The custodian must provide this information within a reasonable time prior to the reporting date of the fund under part 104;
(iii) Periodically forward all funds in the separate account, by check drawn on that account, to the separate segregated fund; and
(iv) Treat all funds which appear to be illegal in accordance with the provisions of § 103.3(b).
(3) The custodian shall not—
(i) Make the records of persons making a single contribution of $50 or less, or multiple contributions aggregating $200 or less, in a calendar year, available to any person other than representatives of the Federal Election Commission or the Secretary of the Senate, as appropriate, and law enforcement officials or judicial bodies.
(ii) Provide the corporation or labor organization or the separate segregated fund of either with any information pertaining to persons who, in a calendar year, make a single contribution of $50 or less or multiple contributions aggregating $200 or less except that the custodian may forward to the corporation, labor organization or separate segregated fund of either the total number of contributions received; or
(iii) Provide the corporation, labor organization, or the separate segregated fund of either with any information pertaining to persons who have not contributed.
(4) The corporation, labor organization, or the separate segregated fund of either shall provide the custodian with a list of all contributions, indicating the contributor's identification and amount contributed, which have been made directly to the separate segregated fund by any person within the group of persons solicited under this section.
(5) Notwithstanding the prohibitions of paragraph (d)(1) of this section, the custodian may be employed by the separate segregated fund as its treasurer and may handle all of its contributions, provided that the custodian preserves the anonymity of the contributors as required by this section. The custodian shall file the required reports with the Federal Election Commission or the Secretary of the Senate, as appropriate. A custodian who serves as treasurer is subject to all of the duties, responsibilities, and liabilities of a treasurer under the Act, and may not participate in the decision making process whereby the separate segregated fund makes contributions and expenditures.
(e)
(2) The twice yearly solicitation may only be used by a corporation or labor
(3) A corporation is required to make available to a labor organization representing any members working for the corporation or its subsidiaries, branches, divisions, or affiliates the method which the corporation uses to solicit employees under this section during any calendar year.
(i) If the corporation uses a method to solicit any employees under this section, the corporation is required to make that method available to the labor organization to solicit the employees of the corporation who are not represented by that labor organization, and the executive or administrative personnel and the stockholders of the corporation and their families.
(ii) If the corporation does not wish to disclose the names and addresses of stockholders or employees, the corporation shall make the names and addresses of stockholders and employees available to an independent mailing service which shall be retained to make the mailing for
(iii) If the corporation makes no solicitation of employees under this section during the calendar year, the corporation is not required to make any method or any names and addresses available to any labor organization.
(4) The corporation shall notify the labor organization of its intention to make a solicitation under this section during a calendar year and of the method it will use, within a reasonable time prior to the solicitation, in order to allow the labor organization opportunity to make a similar solicitation.
(5) If there are several labor organizations representing members employed at a single corporation, its subsidiaries, branches, divisions, or affiliates, the labor organizations, either singularly or jointly, may not make a combined total of more than two written solicitations per calendar year. A written solicitation may contain a request for contributions to each separate fund established by the various labor organizations making the combined mailing.
(a) Membership organizations, cooperatives, or corporations without capital stock, or separate segregated funds established by such persons may solicit contributions to the fund from members and executive or administrative personnel, and their families, of the organization, cooperative, or corporation without capital stock.
(b) Nothing in this section waives the prohibition on contributions to the separate segregated fund by corporations, national banks, or labor organizations which are members of a membership organization, cooperative, or corporation without capital stock.
(c) A trade association whose membership is made up in whole or in part of corporations is subject to the provisions of § 114.8 when soliciting any stockholders or executive or administrative personnel of member corporations. A trade association which is a membership organization may solicit its noncorporate members under the provisions of this section.
(d) The question of whether a professional organization is a corporation is determined by the law of the State in which the professional organization exists.
(e) There is no limitation upon the number of times an organization under this section may solicit its members and executive or administrative personnel, and their families.
(f) There is no limitation under this section on the method of solicitation or the method of facilitating the making of voluntary contributions which may be used.
(g) A membership organization, cooperative, or corporation without capital stock and the separate segregated funds of the organizations are subject to the provisions in § 114.5(a).
(h) A membership organization, cooperative, or corporation without capital stock may communicate with its members and executive or administrative personnel, and their families, under the provisions of § 114.3.
(i) A mutual life insurance company may solicit its policyholders if the policyholders are members within the organizational structure.
(j) A membership organization, including a trade association, cooperative, or corporation without capital stock or a separate segregated fund established by such organization may not solicit contributions from the separate segregated funds established by its members. The separate segregated fund established by a membership organization, including a trade association, cooperative, or corporation without capital stock may, however, accept unsolicited contributions from the separate segregated funds established by its members.
(k)(1) A federated cooperative as defined in the Agricultural Marketing Act of 1929, 12 U.S.C. 1141j, or a rural cooperative eligible for assistance under chapter 31 or title 7 of the United States Code, may solicit the members of the cooperative's regional, state or local affiliates, provided that all of the political committees established, financed, maintained or controlled by the cooperative and its regional, State or local affiliates are considered one political committee for the purposes of the limitations in 11 CFR 110.1 and 110.2.
(2) A cooperative as described in paragraph (k)(1) of this section may make communications to its members under the provisions of 11 CFR 114.3.
(a)
(b)
(c)
(1) The member corporation involved has separately and specifically approved the solicitations; and
(2) The member corporation has not approved a solicitation by any other trade association for the same calendar year.
(d)
(2) A copy of each approved request received by a trade association or its separate segregated fund shall be maintained by the trade association or its fund for three years from the year for which the approval is given.
(3) The request for approval may contain a copy of solicitation materials which will be used if approval is granted. Such a mailing must specifically indicate the requirement of approval and the limitation of paragraph (c)(2) of this section, and approval must be granted to the trade association or its separate segregated fund prior to the time any solicitation is made of the stockholders or executive or administrative personnel by the trade association, its separate segregated fund, or by the corporation for contributions to the separate segregated fund of the trade association. (The request for approval may be sent to the representatives of the corporation with whom the trade association normally conducts the association's activities.)
(4) A separate authorization specifically allowing a trade association to solicit its corporate member's stockholders, and executive or administrative personnel applies through the calendar year for which it is designated. A separate authorization by the corporate member must be designated for
(5) In its request to a member corporation, a trade association may indicate that it intends to solicit, for example, a limited class of the executive or administrative personnel of the member corporation, or only the executive or administrative personnel but not the stockholders of the member corporation. Moreover, in its approval, a member corporation may similarly limit any solicitation by the trade association or its separate segregated fund. In any event, a member corporation, once it has approved any solicitation—even to a limited extent—of its personnel or stockholders by a trade association or its separate segregated fund, is precluded from approving any such solicitation by another trade association or its separate segregated fund and the corporation and its personnel are precluded from soliciting the corporation's executive or administrative personnel or stockholders on behalf of another trade association or its separate segregated fund.
(e)
(2) A member corporation which grants permission to a trade association to solicit is in no way restricted in its rights under § 114.5(g) to solicit its stockholders or executive or administrative personnel and their families for contributions to the corporation's own separate segregated fund.
(3) There is no limitation on the method of soliciting voluntary contributions or the method of facilitating the making of voluntary contributions which a trade association may use. The member corporation may not use a payroll deduction or checkoff system for executive or administrative personnel contributing to the separate segregated fund of the trade association.
(4) A trade association and/or its separate segregated fund is subject to the provisions of § 114.5(a).
(f)
(g)
(i) The federation and its member associations may engage in a joint solicitation; or
(ii) The member association may delegate its solicitation rights to the federation.
(2) A federation is subject to the provisions of this section when soliciting the stockholders and executive or administrative personnel of the corporate members of its member associations.
(h)
(i)
(2) A trade association may solicit its executive or administrative personnel and their families under the provisions of § 114.5(g); a trade association may solicit its other employees under the provisions of § 114.6.
(a)
(i) When used by employees during working hours, an amount of activity during any particular work period which does not prevent the employee from completing the normal amount of work which that employee usually carries out during such work period; or
(ii) When used by stockholders other than employees during the working period, such use does not interfere with the corporation in carrying out its normal activities; but
(iii) Any such activity which does not exceed one hour per week or four hours per month, regardless of whether the activity is undertaken during or after normal working hours, shall be considered as occasional, isolated, or incidental use of the corporate facilities.
(2) A stockholder or employee who makes more than occasional, isolated, or incidental use of a corporation's facilities for individual volunteer activities in connection with a Federal election is required to reimburse the corporation within a commercially reasonable time for the normal and usual rental charge, as defined in 11 CFR 100.7(a)(1)(iii)(B), for the use of such facilities.
(b)
(i) When used by employees during working hours, an amount of activity during any particular work period which does not prevent the employee from completing the normal amount of work which that employee usually carries out during such work period; or
(ii) When used by members other than employees during the working period, such use does not interfere with the labor organization in carrying out its normal activities; but
(iii) Any such activity which does not exceed one hour per week or four hours per month, regardless of whether the activity is undertaken during or after
(2) The officials, members, and employees who make more than occasional, isolated, or incidental use of a labor organization's facilities for individual volunteer activities in connection with a Federal election are required to reimburse the labor organization within a commercially reasonable time for the normal and usual rental charge, as defined in 11 CFR 100.7(a)(1)(iii)(B), for the use of such facilities.
(c)
(d)
(e)
(i) In the case of travel to a city served by regularly scheduled commercial service, the first class air fare;
(ii) In the case of travel to a city not served by a regularly scheduled commercial service, the usual charter rate.
(2) A candidate, candidate's agent, or person traveling on behalf of a candidate who uses other means of transportation owned or leased by a corporation or labor organization must reimburse, within a commercially reasonable time, the corporation or labor organization at the normal and usual rental charge.
(a)
(b)
(1)
(2) A corporation's
(i) The corporation's purpose as stated in its charter, articles of incorporation, or bylaws, except that a statement such as “any lawful purpose,” “any lawful activity,” or other comparable statement will not preclude a finding under paragraph (c) of this section that the corporation's only express purpose is the promotion of political ideas;
(ii) The corporation's purpose as publicly stated by the corporation or its agents; and
(iii) Purposes evidenced by activities in which the corporation actually engages.
(3) (i) The term
(A) Any provision of goods or services that results in income to the corporation; and
(B) Advertising or promotional activity which results in income to the corporation, other than in the form of membership dues or donations.
(ii) The term
(4) The term
(c)
(1) Its only express purpose is the promotion of political ideas, as defined in paragraph (b)(1) of this section;
(2) It cannot engage in business activities;
(3) It has:
(i) No shareholders or other persons, other than employees and creditors with no ownership interest, affiliated in any way that could allow them to make a claim on the organization's assets or earnings; and
(ii) No persons who are offered or who receive any benefit that is a disincentive for them to disassociate themselves with the corporation on the basis of the corporation's position on a political issue. Such benefits include but are not limited to:
(A) Credit cards, insurance policies or savings plans; and
(B) Training, education, or business information, other than that which is necessary to enable recipients to engage in the promotion of the group's political ideas.
(4) It:
(i) Was not established by a business corporation or labor organization;
(ii) Does not directly or indirectly accept donations of anything of value from business corporations, or labor organizations; and
(iii) If unable, for good cause, to demonstrate through accounting records that paragraph (c)(4)(ii) of this section is satisfied, has a written policy against accepting donations from business corporations or labor organizations; and
(5) It is described in 26 U.S.C. 501(c)(4).
(d)
(2) Except as provided in paragraph (d)(1) of this section, qualified nonprofit corporations remain subject to the requirements and limitations of 11 CFR part 114, including those provisions prohibiting corporate contributions, whether monetary or in-kind.
(e)
(i) This certification is due no later than the due date of the first independent expenditure report required under paragraph (e)(2). However, the corporation is not required to submit this certification prior to making independent expenditures.
(ii) This certification may be made either as part of filing FEC Form 5 (independent expenditure form) or by submitting a letter in lieu of the form. The letter shall contain the name and address of the corporation and the signature and printed name of the individual filing the qualifying statement. The letter shall also certify that the corporation has the characteristics set forth in paragraphs (c)(1) through (c)(5) of this section.
(2)
(f)
(g)
(a) A corporation may establish and administer an employee participation plan (i.e. a
(1) The employees must exercise complete control and discretion over the disbursement of the monies in their accounts.
(2) The trustee, bank, or other administrator shall not provide the corporation or its separate segregated fund any report of the source or recipient of any contribution(s) or donation(s) into or out of any account or of the amount any employee has in an account.
(3) The trustee, bank, or other administrator may provide the corporation or its separate segregated fund with a periodic report limited to information about the total number of employees in the program, the total number of funds in all the accounts combined, and the total amount of contributions made to all candidates and committees combined.
(4) No stockholder, director, or employee of the corporation or its separate segregated fund may exert pressure of any kind to induce participation in the program.
(5) No stockholder, director, or employee of the corporation or its separate segregated fund may exercise any direction or control, either oral or written, over contributions by participants in the program to any candidate, group of candidates, political party, or other person.
(b) An employee participation plan must be made available to all employees including members of a labor organization who are employees of the corporation. Communications about participation in the plan may be conducted by either the corporation or the labor organization or both.
(c) A labor organization may establish and administer an employee participation plan subject to the above provisions, except that the cost shall be borne by the labor organization.
(d) The method used to transmit employee or member contributions to the candidate or political committee may not in any manner identify the corporation or labor organization which established the employee particiption plan.
(a) An organization may incorporate and not be subject to the provisions of this part if the organization incorporates for liability purposes only, and if the organization is a political committee as defined in 11 CFR 100.5. Notwithstanding the corporate status of the political committee, the treasurer of an incorporated political committee remains personally responsible for carrying out their respective duties under the Act.
(b) [Reserved]
(c)(1) A corporation of labor organization may not pay the employer's share of the cost of fringe benefits, such as health and life insurance and retirement, for employees or members on leave-without-pay to participate in political campaigns of Federal candidates. The separate segregated fund of a corporation or a labor organization may pay the employer's share of fringe benefits, and such payment would be a contribution in-kind to the candidate. An employee or member may, out of unreimbursed personal funds, assure the continuity of his or her fringe benefits during absence from work for political campaigning, and such payment would not be a contribution in-kind.
(2) Service credit for periods of leave-without-pay is not considered compensation for purposes of this section if the employer normally gives identical
Notwithstanding any other provisions of part 114, a corporation or labor organization which customarily makes its meeting rooms available to clubs, civic or community organizations, or other groups may make such facilities available to a political committee or candidate if the meeting rooms are made available to any candidate or political committee upon request and on the same terms given to other groups using the meeting rooms.
Sec. 310(8), Pub. L. 92-225, added by sec. 208, Pub. L. 93-443, 88 Stat. 1279, and amended by secs. 105 and 107(a)(1), Pub. L. 94-283, 90 Stat. 481 (2) U.S.C. 437d(a)(8)), and sec. 315(a)(10), Pub. L. 92-225, 86 Stat. 16, amended by secs. 208(a) and (c)(10), and 209(a)(1) and (b)(1), Pub. L. 93-443, 88 Stat. 1279, 1287, and sec. 105, Pub. L. 94-283, 90 Stat. 481 (2 U.S.C. 438(a)(10)).
(a)
(1) Enters into any contract with the United States or any department or agency thereof either for—
(i) The rendition of personal services; or
(ii) Furnishing any material, supplies, or equipment; or
(iii) Selling any land or buildings;
(2) If the payment for the performance of the contract or payment for the material, supplies, equipment, land, or building is to be made in whole or in part from funds appropriated by the Congress.
(b) The period during which a person is prohibited from making a contribution or expenditure is the time between the earlier of the commencement of negotiations or when the requests for proposals are sent out, and the later of—
(1) The completion of performance under; or
(2) The termination of negotiations for, the contract or furnishing of material, supplies, equipment, land, or buildings, or the rendition of personal services.
(c) For purposes of this part, a contract includes
(1) A sole source, negotiated, or advertised procurement conducted by the United States or any of its agencies;
(2) A written (except as otherwise authorized) contract, between any person and the United States or any of its departments or agencies, for the furnishing of personal property, real property, or personal services; and
(3) Any modification of a contract.
(d) The basic contractual relationship must be with the United States or any department or agency thereof. A person who contracts with a State or local jurisdiction or entity other than the United States or any department or agency thereof is not subject to this part, even if the State or local jurisdiction or entity is funded in whole or in part from funds appropriated by the Congress. The third party beneficiary of a Federal contract is not subject to the prohibitions of this part.
(e) The term labor organization has the meaning given it by § 114.1(a).
(a) It shall be unlawful for a Federal contractor, as defined in § 115.1(a), to make, either directly or indirectly, any contribution or expenditure of money or other thing of value, or to promise expressly or impliedly to make any such contribution or expenditure to
(b) This prohibition runs for the time period set forth in § 115.1(b).
(c) It shall be unlawful for any person knowingly to solicit any such contribution from a Federal contractor.
(a) Corporations, labor organizations, membership organizations, cooperatives, and corporations without capital stock to which this part applies may expend treasury monies to establish, administer, and solicit contributions to any separate segregated fund subject to the provisions of part 114. Each specific prohibition, allowance, and duty applicable to a corporation, labor organization, or separate segregated fund under part 114 applies to a corporation, labor organization, or separate segregated fund to which this part applies.
(b) The question of whether a professional organization is a corporation is determined by the law of the State in which the professional organization exists.
(a) The assets of a partnership which is a Federal contractor may not be used to make contributions or expenditures in connection with Federal elections.
(b) Individual partners may make contributions or expenditures in their own names from their personal assets.
(c) Nothing in this part prohibits an employee of a partnership which is a Federal contractor from making contributions or expenditures from his or her personal assets.
Individuals or sole proprietors who are Federal contractors are prohibited from making contributions or expenditures from their business, personal, or other funds under their dominion or control. The spouse of an individual or sole proprietor who is a Federal contractor is not prohibited from making a personal contribution or expenditure in his or her name.
Nothing in this part shall prohibit the stockholders, officers, or employees of a corporation, the employees, officers, or members of an unincorporated association, cooperative, membership organization, labor organization, or other group or organization which is a Federal contractor from making contributions or expenditures from their personal assets.
2 U.S.C. 433(d), 434(b)(8), 438(a)(8), 441a, 441b, and 451.
(a)
(b)
(c)
(d)
(e)
(1) Any agreement between the creditor and political committee that full payment is not due until after the creditor provides goods or services to the political committee;
(2) Any agreement between the creditor and the political committee that the political committee will have additional time to pay the creditor beyond the previously agreed to due date; and
(3) The failure of the political committee to make full payment to the creditor by a previously agreed to due date.
(f)
(a)
(b)
(c)
(i) It has any outstanding debts or obligations; or
(ii) It has any funds or assets available to pay part or all of the outstanding debts or obligations owed by another authorized committee of the same candidate and that other authorized committee is unable to pay such debts or obligations.
(2) No transfers of funds may be made from a candidate's authorized committee to another authorized committee of the same candidate if the transferor committee has net debts outstanding at the time of the transfer under the formula described in 11 CFR 110.1(b)(3)(ii).
(3) An authorized committee that qualifies as a terminating committee
(i) The authorized committee that has assigned the debts otherwise qualifies for termination under 11 CFR 102.3; and
(ii) The authorized committee that received the assigned debts notifies the Commission in writing that it has assumed the obligation to pay the entire amount owed and that it has assumed the obligation to report the debts, and any contributions received for retirement of the assigned debts, in accordance with 11 CFR part 104. The assigned debts shall be disclosed on a separate schedule of debts and obligations attached to the authorized committee's reports. Contributions received for retirement of the assigned debts shall be disclosed on a separate schedule of receipts attached to the authorized committee's reports.
(a)
(b)
(c)
(1) Whether the commercial vendor followed its established procedures and its past practice in approving the extension of credit;
(2) Whether the commercial vendor received prompt payment in full if it previously extended credit to the same candidate or political committee; and
(3) Whether the extension of credit conformed to the usual and normal practice in the commercial vendor's trade or industry.
(d)
(a)
(1) The amount forgiven is exempted from the definition of contribution in 11 CFR 100.7(b); or
(2) The commercial vendor has treated the debt in a commercially reasonable manner and the requirements of 11 CFR 116.7 or 116.8, as appropriate, are satisfied.
(b)
(1) The amount forgiven is exempted from the definition of contribution in 11 CFR 100.7(b); or
(2) The corporation has treated the debt in a commercially reasonable manner and the requirements of 11 CFR 116.7 or 116.8, as appropriate, are satisfied.
(c)
(1) The amount forgiven is exempted from the definition of contribution in 11 CFR 100.7(b); or
(2) The candidate and the political committee have undertaken all reasonable efforts to satisfy the outstanding debt and the requirements of 11 CFR 116.7 or 116.8, as appropriate, including the submission of the information specified in those sections and Commission review, are satisfied.
(d)
(1) The initial extension of credit was made in accordance with 11 CFR 116.3;
(2) The candidate or political committee has undertaken all reasonable efforts to satisfy the outstanding debt. Such efforts may include, but are not limited to, the following—
(i) Engaging in fundraising efforts;
(ii) Reducing overhead and administrative costs; and
(iii) Liquidating assets; and
(3) The commercial vendor has pursued its remedies as vigorously as it would pursue its remedies against a nonpolitical debtor in similar circumstances. Such remedies may include, but are not limited to, the following—
(i) Oral and written requests for payment;
(ii) Withholding delivery of additional goods or services until overdue debts are satisfied;
(iii) Imposition of additional charges or penalties for late payment;
(iv) Referral of overdue debts to a commercial debt collection service; and
(v) Litigation.
(e)
(f)
(a)
(b)
(1) The payment is for the individual's transportation expenses incurred while traveling on behalf of a candidate or political committee of a political party or for usual and normal subsistence expenses incurred by an individual, other than a volunteer, while traveling on behalf of a candidate or political committee of a political party; and
(2) The individual is reimbursed within sixty days after the closing date of the billing statement on which the charges first appear if the payment was made using a personal credit card, or within thirty days after the date on which the expenses were incurred if a personal credit card was not used. For purposes of this section, the closing date shall be the date indicated on the billing statement which serves as the cutoff date for determining which charges are included on that billing statement. In addition, “subsistence expenses” include only expenditures for personal living expenses related to a particular individual traveling on committee business, such as food or lodging.
(c)
(d)
(e)
(a)
(b)
(c)
(a)
(1) Has been paid in full;
(2) Has been settled and the requirements of this section, including Commission review, have been satisfied;
(3) Has been forgiven by the creditor and the requirements of 11 CFR 116.8, including Commission review, have been satisfied;
(4) Has been determined not to be payable pursuant to 11 CFR 116.9; or
(5) Has been otherwise extinguished or discharged.
(b)
(1) Amounts owed to commercial vendors (
(2) Debts arising from advances by committee staff and other individuals (
(3) Salary owed to committee employees (
(4) Debts arising from loans from political committees or individuals, including candidates, to the extent permitted under 11 CFR part 110.
(c)
(1) Debts and obligations that shall not be forgiven or settled for less than the entire amount owed include repayment obligations pursuant to 11 CFR 9007.2, 9008.10, 9008.11, 9038.2 or 9038.3 of funds received from the Presidential Election Campaign Fund or the Presidential Primary Matching Payment Account.
(2) Disputed debts are not subject to the debt settlement and Commission review requirements and procedures. (
(d)
(e)
(i) The terms of the initial extension of credit and a description of the terms under which the creditor has extended credit to nonpolitical debtors of similar risk and size of obligation;
(ii) A description of the efforts made by the candidate or the terminating committee to satisfy the debt;
(iii) A description of the remedies pursued by the creditor to obtain payment of the debt and a comparison to the remedies customarily pursued by the creditor in similar circumstances involving nonpolitical debtors; and
(iv) The terms of the debt settlement and a comparison to the terms of the creditor's other debt settlements involving nonpolitical debtors in similar circumstances, if any.
(2) Each debt settlement plan filed under this section shall include a signed statement from each creditor covered indicating agreement to the terms of the settlement of the debt owed to that creditor.
(3) The debt settlement plan shall include a statement as to whether the terminating committee has sufficient cash on hand to pay the total amount indicated in the debt settlement plan, and if not, a statement as to what steps
(4) If a debt settlement plan does not include settlements for all of the terminating committee's outstanding debts and obligations, the debt settlement plan shall include a separate list of all of the terminating committee's remaining debts and obligations, including debts that are not subject to debt settlement as set forth in paragraph (c) of this section. The debt settlement plan shall indicate—
(i) Whether the terminating committee intends to pay the entire amount still owed on each remaining debt or obligation or to settle such debts and obligations, and if settlement is contemplated, the terms that were or will be offered to the creditor(s); and
(ii) Whether the terminating committee has sufficient cash on hand to pay such remaining debts and obligations, or to pay a lesser portion of such amounts, and if not, what steps the terminating committee will take to obtain the funds needed to make such payments.
(5) If the terminating committee expects to have residual funds or assets after disposing of all its outstanding debts and obligations, the debt settlement plan shall include a statement as to the purpose for which such residual funds or assets will be used.
(6) The political committee filing the debt settlement plan shall demonstrate in the debt settlement plan that such political committee qualifies as a terminating committee under 11 CFR 116.1(a) and shall state when the political committee expects to file a termination report under 11 CFR 102.3.
(7) Upon the Commission's request, the candidate, the terminating committee or the creditor shall provide such additional information as the Commission may require to review the debt settlement plan. The Commission may also require the submission of additional debt settlement agreements prior to Commission review of the debt settlement plan.
(f)
(1) The information provided by the terminating committee and the creditors under this section;
(2) The amount of each debt that remains unpaid and the length of time each debt has been overdue;
(3) The amount and percentage of each debt that would be forgiven under the plan;
(4) The total amount of debts and obligations owed by the terminating committee to all creditors, compared to the total amount of cash on hand and other amounts available to pay those debts and obligations;
(5) The year to date expenditures and receipts of the terminating committee; and
(6) Whether the total percentage that was or will be repaid on any loans made by the candidate to the terminating committee is comparable to the total percentage that was or will be paid to other creditors.
(g)
(a)
(1) The creditor has exercised reasonable diligence in attempting to locate the ongoing committee and has been unable to do so; or
(2) The ongoing committee—
(i) Does not have sufficient cash on hand to pay the creditor;
(ii) Has receipts of less than $1000 during the previous twenty-four months;
(iii) Has disbursements of less than $1000 during the previous twenty-four months; and
(iv) Owes debts to other creditors of such magnitude that the creditor could reasonably conclude that the ongoing committee will not pay this particular debt.
(b)
(1) The terms of the initial extension of credit and a description of the terms under which the creditor has extended credit to nonpolitical debtors of similar risk and size of obligation;
(2) A description of the efforts made by the candidate or the ongoing committee to satisfy the debt;
(3) A description of the remedies pursued by the creditor to obtain payment of the debt and a comparison to the remedies customarily pursued by the creditor in similar circumstances involving nonpolitical debtors; and
(4) An indication that the creditor has forgiven other debts involving nonpolitical debtors in similar circumstances, if any.
(c)
(a)
(1) The creditor has gone out of business and no other entity has a right to be paid the amount owed; or
(2) The political committee has exercised reasonable diligence in attempting to locate the creditor and has been unable to do so.
(b)
(c)
(d)
(a)
(b)
2 U.S.C. 437d(a)(8), 2 U.S.C. 438(a)(8), 5 U.S.C. 553(e).
This part prescribes the procedures for the submission, consideration, and disposition of petitions filed with the Federal Election Commission. It establishes the conditions under which the Commission may identify and respond to petitions for rulemaking, and informs the public of the procedures the agency follows in response to such petitions.
(a) Any interested person may file with the Commission a written petition for the issuance, amendment, or repeal of a rule implementing any of the following statutes:
(1) The Federal Election Campaign Act of 1971, as amended, 2 U.S.C. 431
(2) The Presidential Election Campaign Fund Act, as amended, 26 U.S.C. 9001
(3) The Presidential Primary Matching Payment Account Act, as amended, 26 U.S.C. 9031
(4) The Freedom of Information Act, 5 U.S.C. 552; or
(5) Any other law that the Commission is required to implement and administer.
(b) The petition shall—
(1) Include the name and address of the petitioner or agent. An authorized agent of the petitioner may submit the petition, but the agent shall disclose the identity of his or her principal;
(2) Identify itself as a petition for the issuance, amendment, or repeal of a rule;
(3) Identify the specific section(s) of the regulations to be affected;
(4) Set forth the factual and legal grounds on which the petitioner relies, in support of the proposed action; and
(5) Be addressed and submitted to the Federal Election Commission, Office of General Counsel, 999 E Street, NW., Washington, DC 20463.
(c) The petition may include draft regulatory language that would effectuate the petitioner's proposal.
(d) The Commission may, in its discretion, treat a document that fails to conform to the format requirements of paragraph (b) of this section as a basis for a sua sponte rulemaking. For example, the Commission may consider whether to initiate a rulemaking project addressing issues raised in an advisory opinion request submitted under 11 CFR 112.1 or in a complaint filed under 11 CFR 111.4. However, the Commission need not follow the procedures of 11 CFR 200.3 in these instances.
(a) If a document qualifies as a petition under 11 CFR 200.2, the Commission, upon the recommendation of the Office of General Counsel, will—
(1) Publish a Notice of Availability in the
(2) Send a letter to the Commissioner of Internal Revenue, pursuant to 2 U.S.C. 438(f), seeking the IRS's comments on the petition; and
(3) Send a letter to the petitioner, acknowledging receipt of the petition and informing the petitioner of the above actions.
(b) If the petition does not comply with the requirements of 11 CFR 200.2(b), the Office of General Counsel may notify the petitioner of the nature of any discrepancies.
(c) If the Commission decides that a Notice of Inquiry, Advance Notice of Proposed Rulemaking, or a public hearing on the petition would contribute to its determination whether to commence a rulemaking proceeding, it will publish an appropriate notice in the
(d) The Commission will not consider the merits of the petition before the expiration of the comment period on the Notice of Availability.
(e) The Commission will consider all comments filed within the comment period prescribed in the relevant
(a) After considering the comments that have been filed within the comment period(s) and any other information relevant to the subject matter of the petition, the Commission will decide whether to initiate a rulemaking based on the filed petition.
(b) If the Commission decides not to initiate a rulemaking, it will give notice of this action by publishing a Notice of Disposition in the
(c) The Commission may reconsider a petition for rulemaking previously denied if the petitioner submits a written request for reconsideration within 30 calendar days after the date of the denial and if, upon the motion of a Commissioner who voted with the majority that originally denied the petition, the Commission adopts the motion to reconsider by the affirmative vote of four members.
The Commission's decision on the petition for rulemaking may include, but will not be limited to, the following considerations—
(a) The Commission's statutory authority;
(b) Policy considerations;
(c) The desirability of proceeding on a case-by-case-basis;
(d) The necessity or desirability of statutory revision;
(e) Available agency resources.
(a) The agency record for the petition process consists of the following:
(1) The petition, including all attachments on which it relies, filed by the petitioner.
(2) Written comments on the petition which have been circulated to and considered by the Commission, including attachments submitted as a part of the comments.
(3) Agenda documents, in the form they are circulated to and considered by the Commission in the course of the petition process.
(4) All notices published in the
(5) The transcripts or audio tapes of any public hearing(s) on the petition.
(6) All correspondence between the Commission and the petitioner, other commentators and state or federal agencies pertaining to Commission consideration of the petition.
(7) The Commission's decision on the petition, including all documents identified or filed by the Commission as part of the record relied on in reaching its final decision.
(b) The administrative record specified in paragraph (a) of this section is the exclusive record for the Commission's decision.
2 U.S.C. 437d(a)(8), 437f, 438(a)(8), 438(b); 26 U.S.C. 9007, 9008, 9009(b), 9038, 9039(b).
This part prescribes procedures for handling ex parte communications made in connection with public funding, Commission audits, litigation, rulemaking proceedings and the advisory opinion process. Rules governing such communications made in connection with Commission enforcement actions are found at 11 CFR 111.22, while provisions setting forth employee responsibilities under the Commission's Standards of Conduct rules are found at 11 CFR 7.15.
As used in this part:
(a)
(1) Any candidate or committee applying for or participating in the public funding process, or
(2) Any ongoing audit, or
(3) Any pending litigation matter, or
(4) Any pending rulemaking, or
(5) Any pending advisory opinion request.
(b) Ex parte communications does not include the following communications.
(1) Statements by any person publicly made in a public forum; or
(2) Statements or inquiries by any person limited to the procedural status of an open proceeding involving an application for public funding, a rulemaking, an advisory opinion request, an audit being conducted pursuant to 26 U.S.C. 9007 (a) and (b), 9008 (g) and (h), or 9038 (a) and (b), or a litigation matter.
(c)
(d)
(a) In order to avoid the possibility of prejudice, real or apparent, to the public interest in Commission decisionmaking during the public funding process, in audits undertaken by the Commission, and in any litigation to which the Commission is a party, no person outside the agency shall make or cause to be made to any Commissioner or any member of any Commissioner's staff any ex parte communication regarding any candidate or committee's eligibility for or entitlement to public funding; any audit; or any pending or prospective Commission decision regarding litigation, including whether to initiate, settle, appeal, or seek certiorari, or any other decision concerning a litigation matter; nor shall any Commissioner or member of any Commissioner's staff entertain any such ex parte communications.
(b) The requirements of this section apply:
(1) In the case of public funding, from the time a primary election candidate submits to the Commission the letter required by 11 CFR 9033.1(a), Presidential and Vice Presidential candidates submit to the Commission the letter required by 11 CFR 9003.1, or a committee seeking convention funding registers with the Commission as required by 11 CFR 9008.12(a)(1) or 9008.12(b)(1), until the start of the audit process.
(2) (i) In the case of an audit undertaken pursuant to 26 U.S.C. 9007 (a) and (b), 9008 (g) and (h), or 9038 (a) and (b), from the date of the Commission's letter to a presidential campaign committee, a convention committee, or a host committee asking that it make a pre-inventory check of its records, prior to the commencement of audit fieldwork by the Commission, through the end of the audit process; and
(ii) In the case of an audit undertaken pursuant to 2 U.S.C. 438(b), from the date the Commission's staff circulates a document for Commission approval containing a proposed referral to undertake an audit, until the Commission publicly issues the final audit report.
(c)(1) A Commissioner or member of a Commissioner's staff who receives an oral ex parte communication concerning any matters addressed in paragraph (a) or (b) of this section shall attempt to prevent the communication. If unsuccessful in preventing the communication, the Commissioner or staff member shall advise the person making the communication that he or she will not consider the communication and shall, as soon after the communication as is reasonably possible but no later than three business days after the communication, unless special circumstances make this impracticable; or prior to the next Commission discussion of the matter, whichever is earlier, prepare a statement setting forth the substance and circumstances of the communication, and deliver the statement to the Designated Agency Ethics Official for placement in the file of the matching fund request, audit or litigation case.
(2) A Commissioner or member of a Commissioner's staff who receives a written ex parte communication concerning any Commission action or potential action concerning any candidate or committee's eligibility for or entitlement to public funding, or any audit, or any prospective Commission decision or action concerning any pending litigation case, during the period described in paragraph (b) of this section shall, as soon after the communication as is reasonably possible but no later than three business days after the communication, unless special circumstances make this impracticable; or prior to the next Commission discussion of the matter, whichever is earlier, deliver a copy of the communication to the Designated Agency Ethics Official for placement in the file of the audit or litigation case.
(a) A Commissioner or member of a Commissioner's staff who receives an ex parte communication concerning any rulemaking or advisory opinion during the period described in paragraph (b) of this section shall, as soon after the communication as is reasonably possible but no later than three business days after the communication unless special circumstances make this impracticable, or prior to the next Commission discussion of the matter, whichever is earlier, provide a copy of a written communication or a written summary of an oral communication to the Commission Secretary for placement in the public file of the rulemaking or advisory opinion. The Commissioner or staff member shall advise any person making an oral communication that a written summary of the conversation will be made part of the public record.
(b) The requirements of paragraph (a) of this section apply:
(1) In the case of a rulemaking proceeding, from the date a petition for rulemaking is circulated to Commissioners' offices, or the date on which a proposed rulemaking document is first circulated to the Commission or placed on an agenda of a Commission public meeting, through final Commission action on that rulemaking.
(2) In the case of an advisory opinion, from the date a request for an advisory opinion is circulated to Commissioner's offices through the date on which the advisory opinion is issued, and during any period of reconsideration pursuant to 11 CFR 112.6.
Any person who becomes aware of a possible violation of this part shall notify the Designated Agency Ethics Official in writing of the facts and circumstances of the alleged violation. The Designated Agency Ethics Official shall recommend to the Commission the appropriate action to be taken. The Commission shall determine the appropriate action by at least four votes.
26 U.S.C. 9009(b).
This subchapter governs entitlement to and use of funds certified from the Presidential Election Campaign Fund under 26 U.S.C. 9001
26 U.S.C. 9002 and 9009(b).
(a) Notwithstanding the definition at 11 CFR 100.5,
(b) Any withdrawal of an authorization shall be in writing and shall be addressed and filed in the same manner provided for at 11 CFR 102.12 or 102.13.
(c) Any candidate nominated by a political party may designate the national committee of that political party as that candidate's authorized committee in accordance with 11 CFR 102.12(c).
(d) For purposes of this subchapter, references to the “candidate” and his or her responsibilities under this subchapter shall also be deemed to refer to the candidate's authorized committee(s).
(a) For the purposes of this subchapter,
(1) Has been nominated by a major party for election to the office of President of the United States or the office of Vice President of the United States; or
(2) Has qualified or consented to have his or her name appear on the general election ballot (or to have the names of electors pledged to him or her on such ballot) as the candidate of a political
(b) An individual who is no longer actively conducting campaigns in more than one State pursuant to 11 CFR 9004.8 shall cease to be a candidate for the purpose of this subchapter.
For purposes of this subchapter,
(a)
(1) Incurred to further a candidate's campaign for election to the office of President or Vice President of the United States;
(2) Incurred within the expenditure report period, as defined under 11 CFR 9002.12, or incurred before the beginning of such period in accordance with 11 CFR 9003.4 to the extent such expenditure is for property, services or facilities to be used during such period; and
(3) Neither the incurrence nor the payment of such expenditure constitutes a violation of any law of the United States, any law of the State in which such expense is incurred or paid, or any regulation prescribed under such Federal or State law, except that any State law which has been pre-empted by the Federal Election Campaign Act of 1971, as amended, shall not be considered a State law for purposes of this subchapter. An expenditure which constitutes such a violation shall nevertheless count against the candidate's expenditure limitation if the expenditure meets the conditions set forth at 11 CFR 9002.11(a) (1) and (2).
(b)(1) An expenditure is made to further a Presidential or Vice Presidential candidate's campaign if it is incurred by or on behalf of such candidate or his or her authorized committee. For purposes of 11 CFR 9002.11(b)(1), any expenditure incurred by or on behalf of a Presidential candidate of a political party will also be considered an expenditure to further the campaign of the Vice Presidential candidate of that party. Any expenditure incurred by or on behalf of the Vice Presidential candidate will also be considered an expenditure to further the campaign of the Presidential candidate of that party.
(2) An expenditure is made on behalf of a candidate if it is made by—
(i) Any authorized committee or any other agent of the candidate for the purpose of making an expenditure; or
(ii) Any person authorized or requested by the candidate, by the candidate's authorized committee(s), or by an agent of the candidate or his or her authorized committee(s) to make an expenditure; or
(iii) A committee which has been requested by the candidate, the candidate's authorized committee(s), or an agent thereof to make the expenditure, even though such committee is not authorized in writing.
(3) Expenditures that further the election of other candidates for any public office shall be allocated in accordance with 11 CFR 106.1(a) and will be considered qualified campaign expenses only to the extent that they specifically further the election of the candidate for President or Vice President. A candidate may make expenditures under this section in conjunction with other candidates for any public office, but each candidate shall pay his or her proportionate share of the cost in accordance with 11 CFR 106.1(a).
(4) Expenditures by a candidate's authorized committee(s) pursuant to 11 CFR 9004.6 for the travel and related ground service costs of media shall be qualified campaign expenses. Any reimbursement for travel and related services costs received by a candidate's authorized committee shall be subject to the provisions of 11 CFR 9004.6.
(5) Legal and accounting services which are provided solely to ensure compliance with 2 U.S.C. 431
(c) Except as provided in 11 CFR 9034.4(e), expenditures incurred either before the beginning of the expenditure report period or after the last day of a candidate's eligibility will be considered qualified campaign expenses if they meet the provisions of 11 CFR 9004.4(a). Expenditures described under 11 CFR 9004.4(b) will not be considered qualified campaign expenses.
(a) In the case of a major party, the expenditure report period begins on September 1 before the election or on the date on which the major party's presidential nominee is chosen, whichever is earlier; and the period ends 30 days after the Presidential election.
(b) In the case of a minor or new party, the period will be the same as
26 U.S.C. 9003 and 9009(b).
(a)
(2) Major party candidates shall sign and submit such letter to the Commission within 14 days after receiving the party's nomination for election. Minor and new party candidates shall sign and submit such letter within 14 days after such candidates have qualified to appear on the general election ballot in 10 or more states pursuant to 11 CFR 9002.2(a)(2). The Commission, on written request by a minor or new party candidate, at any time prior to the date of the general election, may extend the deadline for filing such letter except that the deadline shall be a date prior to the date of the general election.
(b)
(1) Agree that they have the burden of proving that disbursements made by them or any authorized committee(s) or agent(s) thereof are qualified campaign expenses as defined in 11 CFR 9002.11.
(2) Agree that they and their authorized committee(s) shall comply with the documentation requirements set forth at 11 CFR 9003.5.
(3) Agree that they and their authorized committee(s) shall provide an explanation, in addition to complying with the documentation requirements, of the connection between any disbursements made by the candidates or the authorized committee(s) of the candidates and the campaign if requested by the Commission.
(4) Agree that they and their authorized committee(s) will keep and furnish to the Commission all documentation relating to receipts and disbursements including any books, records (including bank records for all accounts), all documentation required by this subchapter (including those required to be maintained under 11 CFR 9003.5), and other information that the Commission may request. If the candidate or the candidate's authorized committee maintains or uses computerized information containing any of the categories of data listed in 11 CFR 9003.6(a), the committee will provide computerized magnetic media, such as magnetic tapes or magnetic diskettes, containing the computerized information that meets the requirements of 11 CFR 9003.6(b) at the times specified in 11 CFR 9007.1(b)(1). Upon request, documentation explaining the computer system's software capabilities shall be provided, and such personnel as are necessary to explain the operation of the computer system's software and
(5) Agree that they and their authorized committee(s) shall obtain and furnish to the Commission upon request all documentation relating to funds received and disbursements made on the candidate's behalf by other political committees and organizations associated with the candidate.
(6) Agree that they and their authorized committee(s) shall permit an audit and examination pursuant to 11 CFR part 9007 of all receipts and disbursements including those made by the candidate, all authorized committees and any agent or person authorized to make expenditures on behalf of the candidate or committee(s). The candidate and authorized committee(s) shall facilitate the audit by making available in one central location, office space, records and such personnel as are necessary to conduct the audit and examination, and shall pay any amounts required to be repaid under 11 CFR part 9007.
(7) Submit the name and mailing address of the person who is entitled to receive payments from the Fund on behalf of the candidates; the name and address of the depository designated by the candidates as required by 11 CFR part 103 and 11 CFR 9005.2; and the name under which each account is held at the depository at which the payments from the Fund are to be deposited.
(8) Agree that they and their authorized committee(s) shall comply with the applicable requirements of 2 U.S.C. 431
(9) Agree that they and their authorized committee(s) shall pay any civil penalties included in a conciliation agreement or otherwise imposed under 2 U.S.C. 437g against the candidates, any authorized committees of the candidates or any agent thereof.
(10) Agree that any television commercial prepared or distributed by the candidate or the candidate's authorized committee(s) 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.
(a)
(1) That the candidate and his or her authorized committee(s) have not incurred and will not incur qualified campaign expenses in excess of the aggregate payments to which they will be entitled under 11 CFR part 9004.
(2) That no contributions have been or will be accepted by the candidate or his or her authorized committee(s); except as contributions specifically solicited for, and deposited to, the candidate's legal and accounting compliance fund established under 11 CFR 9003.3(a); or except to the extent necessary to make up any deficiency in payments received from the Fund due to the application of 11 CFR 9005.2(b).
(b)
(1) That the candidate and his or her authorized committee(s) have not incurred and will not incur qualified campaign expenses in excess of the aggregate payments to which the eligible candidates of a major party are entitled under 11 CFR 9004.1.
(2) That no contributions to defray qualified campaign expenses have been or will be accepted by the candidate or his or her authorized committee(s) except to the extent that the qualified campaign expenses incurred exceed the aggregate payments received by such candidate from the Fund under 11 CFR 9004.2.
(c)
(1) For purposes of this section, the term
(2) Expenditures from personal funds made under this paragraph shall not apply against the expenditure limitations.
(3) For purposes of this section, the terms
(i) Any assets which, under applicable state law, at the time he or she became a candidate, the candidate had legal right of access to or control over, and with respect to which the candidate had either:
(A) Legal and rightful title, or
(B) An equitable interest.
(ii) Salary and other earned income from bona fide employment; dividends and proceeds from the sale of the candidate's stocks or other investments; bequests to the candidate; income from trusts established before candidacy; income from trusts established by bequest after candidacy of which the candidate is a beneficiary; gifts of a personal nature which had been customarily received prior to candidacy; proceeds from lotteries and similar legal games of chance.
(iii) A candidate may use a portion of assets jointly owned with his or her spouse as personal funds. The portion of the jointly owned assets that shall be considered as personal funds of the candidate shall be that portion which is the candidate's share under the instrument(s) of conveyance or ownership. If no specific share is indicated by any instrument of conveyance or ownership, the value of one-half of the property used shall be considered as personal funds of the candidate.
(4) For purposes of this section, expenditures from personal funds made by a candidate of a political party for the office of Vice President shall be considered to be expenditures made by the candidate of such party for the office of President.
(5) Contributions made by members of a candidate's family from funds which do not meet the definition of personal funds under 11 CFR 9003.2(c)(3) shall not count against such candidate's $50,000 expenditure limitation under 11 CFR 9003.2(c).
(6) Personal funds expended pursuant to this section shall be first deposited in an account established in accordance with 11 CFR 9003.3 (b) or (c).
(7) The provisions of this section shall not operate to limit the candidate's liability for, nor the candidate's ability to pay, any repayments required under 11 CFR part 9007. If the candidate or his or her committee knowingly incurs expenditures in excess of the limitations of 11 CFR 110.8(a), the Commission may seek civil penalties under 11 CFR part 111 in addition to any repayment determinations made on the basis of such excessive expenditures.
(8) Expenditures made using a credit card for which the candidate is jointly or solely liable will count against the limits of this section to the extent that the full amount due, including any finance charge, is not paid by the committee within 60 days after the closing date of the billing statement on which the charges first appear. For purposes of this section, the “closing date” shall be the date indicated on the billing statement which serves as the cutoff date for determining which charges are included on that billing statement.
(d)
(a)
(A) All solicitations for contributions to the GELAC shall clearly state that Federal law prohibits private contributions from being used for the candidate's election and that contributions will be used solely for legal and accounting services to ensure compliance with Federal law, and shall clearly state how contribution checks should be made payable.
(B) Contributions to the GELAC shall be subject to the limitations and prohibitions of 11 CFR parts 110, 114, and 115.
(C) Contributions shall be deposited in the GELAC only if they are designated in writing for the GELAC, or transferred pursuant to paragraph (a)(1) (ii), (iii), (iv) or (v) of this section. Any contribution which otherwise could be matched pursuant to 11 CFR 9034.2 shall not be considered designated in writing for the GELAC unless the contributor specifically redesignates it for the GELAC or unless it is accompanied by a proper designation for the GELAC. Any contribution that is designated in writing or redesignated for the GELAC shall not be matched pursuant to 11 CFR 9034.2.
(ii)(A) Contributions made during the matching payment period that do not exceed the contributor's limit for the primary election may be redesignated for the GELAC and subsequently transferred to the GELAC before the nomination only if—
(
(
(
(
(B) All contributions redesignated and deposited pursuant to paragraph (a)(1)(ii)(A) of this section shall be subject to the contribution limitations applicable for the general election pursuant to 11 CFR 110.1(b)(2)(i).
(iii) Funds received during the matching payment period that are remaining in a candidate's primary election account after the nomination may be transferred to the GELAC without regard to the contribution limitations of 11 CFR part 110 and used for any purpose permitted under this section, only if the funds are in excess of any amount needed to pay remaining net outstanding campaign obligations under 11 CFR 9034.1(b) and any amount required to be reimbursed to the Presidential Primary Matching Payment Account under 11 CFR 9038.2. The excess funds so transferred may include contributions made before the beginning of the expenditure report period, which contributions do not exceed the contributor's limit for the primary election. Such contributions need not be redesignated by the contributors for the GELAC.
(iv) Contributions that are made after the beginning of the expenditure report period but which are not designated in writing for the GELAC may be redesignated for the GELAC and transferred to the GELAC only if—
(A) The funds are in excess of any amount needed to pay remaining net outstanding campaign obligations under 11 CFR 9034.1(b) and any amount required to be reimbursed to the Presidential Primary Matching Payment Account under 11 CFR 9038.2;
(B) The contributions have not been submitted for matching; and
(C) The candidate obtains the contributor's redesignation in accordance with 11 CFR 110.1.
(v) Contributions made with respect to the primary election that exceed the contributor's limit for the primary election may be redesignated for the
(vi) For purposes of this section, a contribution shall be considered to be designated in writing for the GELAC if—
(A) The contribution is made by check, money order, or other negotiable instrument which clearly indicates that it is made with respect to the GELAC; or
(B) The contribution is accompanied by a writing, signed by the contributor, which clearly indicates that it is made with respect to the GELAC.
(2)
(A) To defray the cost of legal and accounting services provided solely to ensure compliance with 2 U.S.C. 431
(B) To defray in accordance with paragraph (a)(2)(ii)(A) of this section, that portion of expenditures for payroll, overhead, and computer services related to ensuring compliance with 2 U.S.C. 431
(C) To defray any civil or criminal penalties imposed pursuant to 2 U.S.C. 437g or 26 U.S.C. 9012;
(D) To make repayments under 11 CFR 9007.2;
(E) To defray the cost of soliciting contributions to the GELAC;
(F) To defray the cost of producing, delivering and explaining the computerized information and materials provided pursuant to 11 CFR 9003.6 and explaining the operation of the computer system's software;
(G) To make a loan to an account established pursuant to 11 CFR 9003.4 to defray qualified campaign expenses incurred prior to the expenditure report period or prior to receipt of Federal funds, provided that the amounts so loaned are restored to the GELAC; and
(H) To defray unreimbursed costs incurred in providing transportation and services for the Secret Service and national security staff pursuant to 11 CFR 9004.6.
(ii)(A) Expenditures for payroll (including payroll taxes), overhead and computer services, a portion of which are related to ensuring compliance with Title 2 of the United States Code and Chapter 95 of Title 26 of the United States Code, shall be initially paid from the candidate's Federal fund account under 11 CFR 9005.2 and may be later reimbursed by the compliance fund. For purposes of paragraph (a)(2)(i)(B) of this section, a candidate may use contributions to the GELAC to reimburse his or her Federal fund account an amount equal to 10% of the payroll and overhead expenditures of his or her national campaign headquarters and state offices.
(B) Overhead expenditures include, but are not limited to rent, utilities, office equipment, furniture, supplies and all telephone charges except for telephone charges related to a special use such as voter registration and get out the vote efforts.
(C) If the candidate wishes to claim a larger compliance exemption for payroll or overhead expenditures, the candidate shall establish allocation percentages for each individual who spends all or a portion of his or her time to perform duties which are considered necessary to ensure compliance with title 2 of the United States Code or chapter 95 of title 26 of the United States Code. The candidate shall keep detailed records to support the derivation of each percentage. Such records shall indicate which duties are considered compliance and the percentage of time each person spends on such activity.
(D) In addition, a candidate may use contributions to the GELAC to reimburse his or her Federal fund account an amount equal to 50% of the costs (other than payroll) associated with computer services. Such costs include but are not limited to rental and maintenance of computer equipment, data entry services not performed by committee personnel, and related supplies.
(E) If the candidate wishes to claim a larger compliance exemption for costs associated with computer services, the candidate shall establish allocation percentages for each computer function that is considered necessary, in whole or in part, to ensure compliance with 2 U.S.C. 431
(F) The Commission's Financial Control and Compliance Manual for General Election Candidates Receiving Public Funding contains some accepted alternative allocation methods for determining the amount of salaries and overhead expenditures that may be considered exempt compliance costs.
(G) Reimbursement from the GELAC may be made to the separate account maintained for federal funds under 11 CFR 9005.2 for legal and accounting compliance services disbursements that are initially paid from the separate federal funds account. Such reimbursement must be made prior to any repayment determination by the Commission pursuant to 11 CFR 9007.2. Any amounts so reimbursed to the Federal funds account may not subsequently be transferred back to the GELAC.
(iii) Amounts paid from the GELAC for the purposes permitted by paragraphs (a)(2)(i) (A) through (F) and (H) of this section shall not be subject to the expenditure limits of 2 U.S.C. 441a(b) and 11 CFR 110.8. (See also 11 CFR 100.8(b)(15).) When the proceeds of loans made in accordance with paragraph (a)(2)(i)(G) of this section are expended on qualified campaign expenses, such expenditures shall count against the candidate's expenditure limit.
(iv) Contributions to or funds deposited in the GELAC may not be used to retire debts remaining from the presidential primaries, except that, if after payment of all expenses set out in paragraph (a)(2)(i) of this section, there are excess campaign funds, such funds may be used for any purpose permitted under 2 U.S.C. 439a and 11 CFR part 113, including payment of primary election debts.
(3)
(ii) The receipts to and disbursements from the GELAC account shall be reported in a separate report in accordance with 11 CFR 9006.1(b)(2). All contributions made to the GELAC account shall be recorded in accordance with 11 CFR 102.9. Disbursements made from the GELAC account shall be documented in the same manner provided in 11 CFR 9003.5.
(b)
(2) Such contributions may be deposited in a separate account or may be deposited with federal funds received under 11 CFR 9005.2. Disbursements from this account shall be made only to defray qualified campaign expenses and to defray the cost of soliciting contributions to such account. All disbursements from this account shall be documented in accordance with 11 CFR 9003.5 and shall be reported in accordance with 11 CFR 9006.1.
(3) A candidate may make transfers to this account from his or her GELAC, or from the candidate's primary election account in accordance with paragraph (a)(1)(iii) of this section.
(4) The contributions received under this section shall be subject to the limitations and prohibitions of 11 CFR Parts 110, 114 and 115 and shall be aggregated with all contributions made by the same persons to the candidate's GELAC under paragraph (a) of this section for the purposes of such limitations.
(5) Any costs incurred for soliciting contributions to this account shall not be considered expenditures to the extent that the aggregate of such costs does not exceed 20 percent of the expenditure limitation under 11 CFR 9003.2(a)(1). These costs shall, however,
(6) Any costs incurred for legal and accounting services which are provided solely to ensure compliance with 2 U.S.C. 431
(7) The Commission's Financial Control and Compliance Manual for General Election Candidates Receiving Public Funding contains some accepted alternative allocation methods for determining the amount of salaries and overhead expenditures that may be considered exempt compliance costs or exempt fundraising costs.
(c)
(2) The contributions received under this section shall be subject to the limitations and prohibitions of 11 CFR parts 110, 114 and 115.
(3) Such contributions may be deposited in a separate account or may be deposited with federal funds received under 11 CFR 9005.2. Disbursements from this account shall be made only for the following purposes:
(i) To defray qualified campaign expenses;
(ii) To make repayments under 11 CFR 9007.2;
(iii) To defray the cost of soliciting contributions to such account;
(iv) To defray the cost of legal and accounting services provided solely to ensure compliance with 2 U.S.C. 431
(v) To defray the cost of producing, delivering and explaining the computerized information and materials provided pursuant to 11 CFR 9003.6 and explaining the operation of the computer system's software.
(4) All disbursements from this account shall be documented in accordance with 11 CFR 9003.5 and shall be reported in accordance with 11 CFR part 104 and § 9006.1. The candidate shall keep and maintain a separate record of disbursements made to defray exempt legal and accounting costs under paragraphs (c) (6) and (7) of this section and shall report such disbursements in accordance with 11 CFR part 104 and 11 CFR 9006.1.
(5) Any costs incurred for soliciting contributions to this account shall not be considered expenditures to the extent that the aggregate of such costs does not exceed 20 percent of the expenditure limitation under 11 CFR 9003.2(a)(1). These costs shall, however, be reported as disbursements in accordance with 11 CFR Part 104 and 9006.1. For purposes of this section, a candidate may exclude from the expenditure limitation the amount of payroll costs described in paragraph (b)(5) of this section.
(6) Any costs incurred for legal and accounting services which are provided solely to ensure compliance with 2 U.S.C. 431
(7) The Commission's Financial Control and Compliance Manual for General Election Candidates Receiving Public Funding contains some accepted alternative allocation methods for determining the amount of salaries and overhead expenditures that may be
(a)
(2) A candidate may incur qualified campaign expenses prior to receiving payments under 11 CFR part 9005.
(b)
(2) A major party candidate may borrow from his or her legal and accounting compliance fund for the purposes of defraying permissible expenditures described in 11 CFR 9003.4(a). All amounts borrowed from the legal and accounting compliance fund must be restored to such fund after the beginning of the expenditure report period either from federal funds received under 11 CFR part 9005 or private contributions received under 11 CFR 9003.3(b). For candidates receiving federal funds, restoration shall be made within 15 days after receipt of such funds.
(3) A minor or new party candidate may defray such expenditures from contributions received in accordance with 11 CFR 9003.3(c).
(4)(i) A candidate who has received federal funding under 11 CFR part 9031
(ii) A candidate who has not received federal funding during the primary campaign may borrow at any time from his or her primary account(s) to defray such expenditures, provided that a major party candidate receiving payments equal to the expenditure limitation shall reimburse all amounts borrowed from his or her primary committee(s) from payments received by the candidate under 11 CFR part 9005 within 15 days of such receipt.
(5) A candidate may use personal funds in accordance with 11 CFR 9003.2(c), up to his or her $50,000 limit, to defray such expenditures.
(c)
(a)
(b)
(i) A receipted bill from the payee that states that purpose of the disbursement; or
(ii) If such a receipt is not available,
(A) One of the following documents generated by the payee: a bill, invoice, or voucher that states the purpose of the disbursement; or
(B) Where the documents specified in paragraph (b)(1)(ii)(A) of this section are not available, a voucher or contemporaneous memorandum from the candidate or the committee that states the purpose of the disbursement; or
(iii) Where the supporting documentation required in paragraphs (b)(1) (i) or (ii) of this section is not available, the candidate or committee may present collateral evidence to document the qualified campaign expense. Such collateral evidence may include, but is not limited to:
(A) Evidence demonstrating that the expenditure is part of an identifiable program or project which is otherwise sufficiently documented such as a disbursement which is one of a number of documented disbursements relating to a campaign mailing or to the operation of a campaign office; or
(B) Evidence that the disbursement is covered by a pre-established written campaign committee policy, such as a dairy travel expense policy.
(iv) If the purpose of the disbursement is not stated in the accompanying documentation, it must be indicated on the canceled check.
(2) For all other disbursements, the candidate shall present:
(i) A record disclosing the full name and mailing address of the payee, the amount, date and purpose of the disbursement, if made from a petty cash fund; or
(ii) A canceled check negotiated by the payee that states the full name and mailing address of the payee, and the amount, date and purpose of the disbursement.
(3) For purposes of this section:
(i)
(ii)
(c)
(d)
(2)
(a)
(1) Information required by law to be maintained regarding the committee's receipts or disbursements;
(2) Receipts by and disbursements from a legal and accounting compliance fund under 11 CFR 9003.3(a), including the allocation of payroll and overhead expenditures;
(3) Receipts and disbursements under 11 CFR 9003.3 (b) or (c) to defray the costs of soliciting contributions or to defray the costs of legal and accounting services, including the allocation of payroll and overhead expenditures;
(4) Records relating to the costs of producing broadcast communications and purchasing airtime;
(5) Records used to prepare statements of net outstanding qualified campaign expenses;
(6) Records used to reconcile bank statements;
(7) Disbursements made and reimbursements received for the cost of transportation, ground services and facilities made available to media personnel, including records relating to how costs charged to media personnel were determined;
(8) Records relating to the acquisition, use and disposition of capital assets or other assets; and
(9) Any other information that may be used during the Commission's audit to review the committee's receipts, disbursements, loans, debts, obligations, bank reconciliations or statements of net outstanding qualified campaign expenses.
(b)
(c)
26 U.S.C. 9004 and 9009(b).
The eligible candidates of each major party in a Presidential election shall be entitled to equal payments under 11 CFR part 9005 in an amount which, in the aggregate, shall not exceed $20,000,000 as adjusted by the Consumer Price Index in the manner described in 11 CFR 110.9(c).
(a)
(1) If he or she received at least 5% of the total popular vote as the candidate of a minor party in the preceding election whether or not he or she is the same minor party's candidate in this election.
(2) In an amount which is equal, in the aggregate, to a proportionate share of the amount to which major party candidates are entitled under 11 CFR 9004.1.
(b)
(c)
(a)
(b)
(1) The amount of qualified campaign expenses incurred by such eligible candidate and his or her authorized committee(s), reduced by the amount of contributions which are received to defray qualified campaign expenses by such eligible candidate and such committee(s); or
(2) The aggregate payments to which the eligible candidates of a major party are entitled under 11 CFR 9004.1, reduced by the amount of contributions received by such eligible candidates
(c)
(a)
(1) To defray qualified campaign expenses;
(2) To repay loans that meet the requirements of 11 CFR 100.7 (a)(1) or (b)(11) or to otherwise restore funds (other than contributions received pursuant to 11 CFR 9003.3 (b) or (c) and expended to defray qualified campaign expenses) used to defray qualified campaign expenses;
(3) To restore funds expended in accordance with 11 CFR 9003.4 for qualified campaign expenses incurred by the candidate prior to the beginning of the expenditure report period.
(4)
(i) Costs associated with the termination of the candidate's general election campaign such as complying with the post-election requirements of the Act and other necessary administrative costs associated with winding down the campaign, including office space rental, staff salaries, and office supplies; or
(ii) Costs incurred by the candidate prior to the end of the expenditure report period for which written arrangement or commitment was made on or before the close of the expenditure report period.
(iii) 100% of salary, overhead and computer expenses incurred after the end of the expenditure report period may be paid from a legal and accounting compliance fund established pursuant to 11 CFR 9003.3, and will be presumed to be solely to ensure compliance with 2 U.S.C. 431
(5)
(i) Gifts for committee employees, consultants and volunteers in recognition for campaign-related activities or services do not exceed $150 total per individual and the total of all gifts does not exceed $20,000; and
(ii) All monetary bonuses for committee employees and consultants in recognition for campaign-related activities or services;
(A) Are provided for pursuant to a written contract made prior to the date of the election; and
(B) Are paid during the expenditure report period.
(b)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
Investment of public funds or any other use of public funds that results in income is permissible, provided that an amount equal to all net income derived from such a use, less Federal, State and local taxes paid on such income, shall be paid to the Secretary. Any net loss from an investment or other use of public funds will be considered a non-qualified campaign expense and an amount equal to the amount of such loss shall be repaid to the United States Treasury as provided under 11 CFR 9007.2(b)(2)(i).
(a)
(2) Subject to the limitation in paragraphs (b) and (c) of this section, committees may seek reimbursement for these expenses, and may deduct reimbursements received from media representatives from the amount of expenditures subject to the overall expenditure limitations of 11 CFR 9003.2 (a)(1) and (b)(1). Expenses for which the committee receives no reimbursement will be considered qualified campaign expenses, and, with the exception of those expenses relating to Secret Service personnel and national security staff, will be subject to the overall expenditure limitation.
(b)
(2) For the purpose of this section, a media representative's pro rata share shall be calculated by dividing the total actual cost of the transportation and services provided by the total number of individuals to whom such transportation and services are made available. For purposes of this calculation,
(c)
(i) The amount of reimbursements received from media representatives in payment for the transportation and services described in paragraph (a) of this section, up to the actual cost of the transportation and services provided to media representatives; and
(ii) An additional amount of the reimbursements received from media representatives, representing the administrative costs incurred by the committee in providing these services to the media representative and seeking reimbursement for them, equal to:
(A) Three percent of the actual cost of transportation and services provided to the media representatives under this section; or
(B) An amount in excess of 3% representing the administrative costs actually incurred by the committee in providing services to the media representatives, provided that the committee is able to document the total amount of administrative costs actually incurred.
(2) For the purpose of this paragraph, “administrative costs” includes all costs incurred by the committee in making travel arrangements and seeking reimbursement, whether these services are performed by committee staff or by independent contractors.
(d)
(1) Any reimbursement received in excess of 110% of the actual pro rata cost of the transportation and services made available to a media representative shall be returned to the media representative.
(2) Any amount in excess of the amount deductible under paragraph (c) of this section that is not required to be returned to the media representative under paragraph (d)(1) of this section shall be paid to the Treasury.
(e)
(a) Notwithstanding the provisions of 11 CFR 106.3, expenditures for travel relating to a Presidential or Vice Presidential candidate's campaign by any individual, including a candidate, shall, pursuant to the provisions of paragraph (b) of this section, be qualified campaign expenses and be reported by the candidate's authorized committee(s) as expenditures.
(b)(1) For a trip which is entirely campaign-related, the total cost of the trip shall be a qualified campaign expense and a reportable expenditure.
(2) For a trip which includes campaign-related and non-campaign related stops, that portion of the cost of the trip allocable to campaign activity shall be a qualified campaign expense and a reportable expenditure. Such portion shall be determined by calculating what the trip would have cost from the point of origin of the trip to the first campaign-related stop and from the stop through each subsequent campaign-related stop to the point of origin. If any campaign activity, other than incidental contacts, is conducted at a stop, that stop shall be considered campaign-related. Campaign activity
(3) For each trip, an itinerary shall be prepared and such itinerary shall be made available by the committee for Commission inspection. The itinerary shall show the time of arrival and departure and the type of events held.
(4) For trips by government conveyance or by charter, a list of all passengers on such trip, along with a designation of which passengers are and which are not campaign-related, shall be made available for Commission inspection. When required to be created, a copy of the government's or charter company's official manifest shall also be maintained and made available by the committee.
(5)(i) If any individual, including a candidate, uses a government airplane for campaign-related travel, the candidate's authorized committee shall pay the appropriate government entity an amount equal to:
(A) The lowest unrestricted and non-discounted first class commercial air fare available for the time traveled, in the case of travel to a city served by a regularly scheduled commercial airline service; or
(B) The lowest unrestricted and non-discounted coach commercial air fare available for the time traveled, in the case of travel to a city served by regularly scheduled coach airline service, but not regularly scheduled first class airline service; or
(C) In the case of travel to a city not served by a regularly scheduled commercial airline service, the commercial charter rate for an airplane sufficient in size to accommodate the campaign-related travelers, including the candidate, plus the news media and the Secret Service.
(ii) If a government airplane is flown to a campaign-related stop where it will pick up passengers, or from a campaign-related stop where it left off passengers, the candidate's authorized committee shall pay the appropriate government entity an amount equal to the greater of the amount billed or the amount required under paragraph (b)(5)(i) of this section for one passenger.
(iii) If any individual, including a candidate, uses a government conveyance, other than an airplane, for campaign-related travel, the candidate's authorized committee shall pay the appropriate government entity an amount equal to the commercial rental rate for a conveyance sufficient in size to accommodate the campaign-related travelers, including the candidate, plus the news media and the Secret Service.
(iv) If any individual, including a candidate, uses accommodations, including lodging and meeting rooms, during campaign-related travel, and the accommodations are paid for by a government entity, the candidate's authorized committee shall pay the appropriate government entity an amount equal to the usual and normal charge for the accommodations, and shall maintain documentation supporting the amount paid.
(v) For travel by airplane, the committee shall maintain documentation of the lowest unrestricted nondiscounted air fare available for the time traveled, including the airline, flight number and travel service providing that fare or the charter rate, as appropriate. For travel by other conveyances, the committee shall maintain documentation of the commercial rental rate for a conveyance of sufficient size, including the provider of the conveyance and the size, model and make of the conveyance.
(6) Travel expenses of a candidate's spouse and family when accompanying the candidate on campaign-related travel may be treated as qualified campaign expenses and reportable expenditures. If the spouse or family members conduct campaign-related activities, their travel expenses shall be qualified campaign expenses and reportable expenditures.
(7) If any individual, including a candidate, incurs expenses for campaign-related travel, other than by use of government conveyance or accommodations, an amount equal to that
(i) If the trip is by charter, the actual cost for each passenger shall be determined by dividing the total operating cost for the charter by the total number of passengers transported. The amount which is a qualified campaign expense and a reportable expenditure shall be calculated in accordance with the formula set forth at 11 CFR 9004.7(b)(2) on the basis of the actual cost per passenger multiplied by the number of passengers traveling for campaign purposes.
(ii) If the trip is by non-charter commercial transportation, the actual cost shall be calculated in accordance with the formula set forth at 11 CFR 9004.7(b)(2) on the basis of the commercial fare. Such actual cost shall be a qualified campaign expense and a reportable expenditure.
(8) Travel on corporate airplanes and other corporate conveyances is governed by 11 CFR 114.9(e).
(a) Any individual who is not actively conducting campaigns in more than one State for the office of President or Vice President shall cease to be a candidate under 11 CFR 9002.2.
(b) An individual who ceases to be a candidate under this section shall:
(1) No longer be eligible to receive any payments under 11 CFR 9005.2 except to defray qualified campaign expenses as provided in 11 CFR 9004.4.
(2) Submit a statement, within 30 calendar days after he or she ceases to be a candidate, setting forth the information required under 11 CFR 9004.9(c).
(a)
(1) The total of:
(i) All outstanding obligations for qualified campaign expenses as of the date of the election; plus
(ii) An estimate of the amount of qualified campaign expenses that will be incurred by the end of the expenditure report period; plus
(iii) An estimate of the necessary winding down costs, as defined under 11 CFR 9004.4(a)(4), submitted in the format required by paragraph (a)(4) of this section; less
(2) The total of:
(i) Cash on hand as of the close of business on the day of the election, including: All contributions dated on or before that date; currency; balances on deposit in banks, savings and loan institutions, and other depository institutions; traveler's checks; certificates of deposit; treasury bills; and any other committee investments valued at fair market value;
(ii) The fair market value of capital assets and other assets on hand; and
(iii) Amounts owed to the candidate's authorized committee(s) in the form of credits, refunds of deposits, returns, receivables, or rebates of qualified campaign expenses; or a commercially reasonable amount based on the collectibility of those credits, returns, receivables or rebates.
(3) The amount submitted as the total of outstanding campaign obligations under paragraph (a)(1) of this section shall not include any accounts payable for non-qualified campaign expenses nor any amounts determined or anticipated to be required as a repayment under 11 CFR part 9007 or any amounts paid to secure a surety bond under 11 CFR 9007.5(c).
(4) The amount submitted as an estimate of necessary winding down costs under paragraph (a)(1)(iii) of this section shall be broken down by expense category and quarterly or monthly time period. This breakdown shall include estimated costs for office space rental, staff salaries, legal expenses, accounting expenses, office supplies, equipment rental, telephone expenses,
(b)
(c)
(d)(1)
(2)
(e)
(f)
(2)
(ii)
(iii)
(iv) If the candidate demonstrates that the amount of outstanding qualified campaign expenses still exceeds committee assets, the Commission will certify the payment of post-election funds to which the candidate is entitled.
(v)
(a)
(b)
26 U.S.C. 9005, 9006 and 9009(b).
(a)
(b)
(2) The candidate may submit, within 15 days after the Commission's initial determination, written legal or factual materials to demonstrate that a redetermination is appropriate. Such materials may be submitted by counsel if the candidate so desires.
(3) The Commission will consider any written legal or factual materials timely submitted by the candidate in making its final determination. A final determination of certification by the Commission will be accompanied by a written statement of reasons for the Commission's action. This statement will explain the reasons underlying the Commission's determination and will summarize the results of any investigation on which the determination is based.
(c)
(2) The Commission's determination of eligibility will be based on the following factors:
(i) The candidate has received at least 5% or more of the total popular vote based on unofficial vote results in each State;
(ii) The candidate has filed a preliminary statement of his or her net outstanding qualified campaign expenses pursuant to 11 CFR 9004.9(a); and
(iii) The candidate has met all applicable conditions for eligibility under 11 CFR 9003.1 and 9003.2.
(3) The Commission will notify the candidate of its initial determination of the amount, if any, to which the candidate is entitled, give the legal and factual reasons for its determination and advise the candidate of the evidence on which the determination is based. The Commission will also notify the candidate that it will deduct a percentage of the amount to which the candidate is entitled based on the unofficial vote results when the Commission certifies an amount for payment to the Secretary. This deduction will be based on the average percentage differential between the unofficial and official vote results for all candidates who received public funds in the preceding Presidential general election.
(4) The candidate may submit within 15 days after the Commission's initial determination written legal or factual materials to demonstrate that a redetermination is appropriate. Such materials may be submitted by counsel if the candidate so desires.
(5) The Commission will consider any written legal or factual materials timely submitted by the candidate in making its final determination. A final determination of certification by the Commission will be accompanied by a written statement of reasons for the Commission's action. This statement will explain the reasons underlying the Commission's determination and will summarize the results of any investigation on which the determination is based.
(d) All certifications made by the Commission pursuant to this section shall be final and conclusive, except to
(a) Upon receipt of a certification from the Commission under 11 CFR 9005.1 for payment to the eligible Presidential and Vice Presidential candidates of a political party, the Secretary shall pay to such candidates out of the Fund the amount certified by the Commission. Amounts paid to a candidate shall be under the control of that candidate.
(b)(1) If at the time of a certification from the Commission under 11 CFR 9005.1, the Secretary determines that the monies in the Fund are not, or may not be, sufficient to satisfy the full entitlements of the eligible candidates of all political parties, he or she shall withhold an amount which is determined to be necessary to assure that the eligible candidates of each political party will receive their pro rata share.
(2) Amounts withheld under 11 CFR 9005.2(b)(1) shall be paid when the Secretary determines that there are sufficient monies in the Fund to pay such amounts, or pro rata portions thereof, to all eligible candidates from whom amounts have been withheld.
(c) Payments received from the Fund by a major party candidate shall be deposited in a separate account maintained by his or her authorized committee, unless there is a deficiency in the Fund as provided under 11 CFR 9005.2(b)(1). In the case of a deficiency, the candidate may establish a separate account for payments from the Fund or may deposit such payments with contributions received pursuant to 11 CFR 9003.3(b). The account(s) shall be maintained at a State bank, federally chartered depository institution or other depository institution, the deposits or accounts of which are insured by the Federal Deposit Insurance Corporation.
(d) No funds other than the payments received from the Treasury, reimbursements, or income generated through use of public funds in accordance with 11 CFR 9004.5, shall be deposited in the account described in 11 CFR 9005.2(c). “Reimbursements” shall include, but are not limited to, refunds of deposits, vendor refunds, reimbursements for travel expenses under 11 CFR 9004.6 and 9004.7 and reimbursements for legal and accounting costs under 11 CFR 9003.3(a)(2)(ii)(B).
2 U.S.C. 434 and 26 U.S.C. 9009(b).
(a) The authorized committee(s) of a candidate shall report all expenditures to further the candidate's general election campaign in reports separate from reports of any other expenditures made by such committee(s) with respect to other elections. Such reports shall be filed pursuant to the requirements of 11 CFR part 104.
(b) The authorized committee(s) of a candidate shall file separate reports as follows:
(1) One report shall be filed which lists all receipts and disbursements of:
(i) Contributions and loans received by a major party candidate pursuant to 11 CFR part 9003 to make up deficiencies in Fund payments due to the application of 11 CFR part 9005;
(ii) Contributions and loans received pursuant to 11 CFR 9003.2(b)(2) by a minor, or new party for use in the general election;
(iii) Receipts for expenses incurred before the beginning of the expenditure report period pursuant to 11 CFR 9003.4;
(iv) Personal funds expended in accordance with 11 CFR 9003.2(c); and
(v) Payments received from the Fund.
(2) A second report shall be filed which lists all receipts of and disbursements from, contributions received for the candidate's legal and accounting compliance fund in accordance with 11 CFR 9003.3(a).
The reports required to be filed under 11 CFR 9006.1 shall be filed during an election year on a monthly or quarterly basis as prescribed at 11 CFR 104.5(b)(1). During a non-election year, the candidate's principal campaign committee may elect to file reports either on a monthly or quarterly basis in accordance with 11 CFR 104.5(b)(2).
If the authorized committee(s) of a candidate file a schedule of itemized receipts, disbursements, or debts and obligations pursuant to 11 CFR 104.3 that was generated directly or indirectly from computerized files or records, the schedule shall list in alphabetical order the sources of the receipts, the payees or the creditors, as appropriate. In the case of individuals, such schedule shall list all contributors, payees, and creditors in alphabetical order by surname.
26 U.S.C. 9007 and 9009(b).
(a)
(2) In addition, the Commission may conduct other examinations and audits from time to time as it deems necessary to carry out the provisions of this subchapter.
(3) Information obtained pursuant to any audit and examination conducted under 11 CFR 9007.1(a) (1) and (2) may be used by the Commission as the basis, or partial basis, for its repayment determinations under 11 CFR 9007.2.
(b)
(i)
(ii)
(iii)
(iv) If, in the course of the audit process, a dispute arises over the documentation sought or other requirements of the candidate agreement, the candidate may seek review by the Commission of the issues raised. To seek review, the candidate shall submit a written statement within 10 days after the disputed Commission staff request is made, describing the dispute and indicating the candidate's proposed alternative(s).
(v) If the candidate or his or her authorized committee fails to produce particular records, materials, evidence or other information requested by the Commission, the Commission may issue an order pursuant to 2 U.S.C. 437d(a)(1) or a subpoena or subpoena duces tecum pursuant to 2 U.S.C. 437d(a)(3). The procedures set forth in 11 CFR 111.11 through 111.15, as appropriate, shall apply to the production of such records, materials, evidence or other information as specified in the order, subpoena or subpoena duces tecum.
(2) Fieldwork will include the following steps designed to keep the candidate and committee informed as to the progress of the audit and to expedite the process:
(i)
(ii)
(iii)
(3) Commission staff may conduct additional fieldwork after the completion of the fieldwork conducted pursuant to 11 CFR 9007.1(b) (1) and (2). Factors that may necessitate such follow-up fieldwork include, but are not limited to, the following:
(i) Committee response to audit findings;
(ii) Financial activity of the committee subsequent to the fieldwork conducted pursuant to 11 CFR 9007.1(b)(1);
(iii) Committee responses to Commission repayment determinations made under 11 CFR 9007.2.
(4) The Commission will notify the candidate and his or her authorized committee if follow-up fieldwork is necessary. The provisions of 11 CFR 9007.1(b) (1) and (2) will apply to any additional fieldwork conducted.
(c)
(d)
(2) The audit report may contain issues that warrant referral to the Office of General Counsel for possible enforcement proceedings under 2 U.S.C. 437g and 11 CFR Part 111.
(3) Addenda to the audit report may be approved and issued by the Commission from time to time as circumstances warrant and as additional information becomes available. Such addenda may be based on follow-up fieldwork conducted under paragraph (b)(3) of this section, and/or information ascertained by the Commission in the normal course of carrying out its supervisory responsibilities. The procedures set forth in paragraphs (c) and (d) (1) and (2) of this section will be followed in preparing such addenda. The addenda will be placed on the public record as set forth in paragraph (e) of this section. Such addenda may also include additional repayment determination(s).
(e)
(2) Following Commission approval of the audit report, the report will be forwarded to the committee and released
(f)(1)
(2) A committee in responding to a sample-based finding shall respond only to the specific sample items used to make the projection. If the committee demonstrates that any apparent errors found among the sample items were not errors, the Commission shall make a new projection based on the reduced number of errors in the sample.
(3) Within 30 days of service of the Final Audit Report, the committee shall submit a check to the United States Treasury for the total amount of any excessive or prohibited contributions not refunded, reattributed or redesignated in a timely manner in accordance with 11 CFR 103.3(b) (1), (2) or (3); or take any other action required by the Commission with respect to sample-based findings.
(a)
(2) The Commission will notify the candidate of any repayment determinations made under this section as soon as possible, but not later than 3 years after the day of the presidential election. The Commission's issuance of the audit report to the candidate under 11 CFR 9007.1(d) will constitute notification for purposes of this section.
(3) Once the candidate receives notice of the Commission's repayment determination under this section, the candidate should give preference to the repayment over all other outstanding obligations of his or her committee, except for any federal taxes owed by the committee.
(4) Repayments may be made only from the following sources: personal funds of the candidate (without regard to the limitations of 11 CFR 9003.2(c)), contributions and federal funds in the committee's account(s), and any additional funds raised subject to the limitations and prohibitions of the Federal Election Campaign Act of 1971, as amended.
(b)
(1)
(2)
(A) To defray qualified campaign expenses;
(B) To repay loans, the proceeds of which were used to defray qualified campaign expenses; and
(C) To restore funds (other than contributions which were received and expended by minor or new party candidates to defray qualified campaign
(ii) Examples of Commission repayment determinations under 11 CFR 9007.2(b)(2) include, but are not limited to the following:
(A) Determinations that a candidate, a candidate's authorized committee(s) or agent(s) have incurred expenses in excess of the aggregate payments to which an eligible major party candidate is entitled;
(B) Determinations that amounts spent by a candidate, a candidate's authorized committee(s) or agent(s) from the Fund were not documented in accordance with 11 CFR 9003.5;
(C) Determinations that any portion of the payments made to a candidate from the Fund was expended in violation of State or Federal law; and
(D) Determinations that any portion of the payments made to a candidate from the Fund was used to defray expenses resulting from a violation of State or Federal law, such as the payment of fines or penalties.
(iii) In the case of a candidate who has received contributions pursuant to 11 CFR 9003.3 (b) or (c), the amount of any repayment sought under this section shall bear the same ratio to the total amount determined to have been used for non-qualified campaign expenses as the amount of payments certified to the candidate from the Fund bears to the total deposits, as of December 31 of the Presidential election year. For purposes of this section, total deposits means all deposits to all candidate accounts minus transfers between accounts, refunds, rebates, reimbursements, checks returned for insufficient funds, proceeds of loans and other similar amounts.
(3)
(4)
(5)
(c)
(1)
(2)
(i)
(ii)
(3)
(d)
(2) If the candidate requests an administrative review of the Commission's repayment determination(s) under paragraph (c)(2) of this section, the time for repayment will be suspended until the Commission has concluded its administrative review of the repayment determination(s). Within 30 calendar days after service of the notice of the Commission's post-administrative review repayment determination(s), the candidate shall repay to the United States Treasury the amounts which the Commission has determined to be repayable. Upon application by the candidate, the Commission may grant an extension of up to 90 calendar days in which to make repayment.
(3) Interest shall be assessed on all repayments made after the initial 90-day repayment period established at paragraph (d)(1) of this section or the 30-day repayment period established at paragraph (d)(2) of this section. The amount of interest due shall be the greater of:
(i) An amount calculated in accordance with 28 U.S.C. 1961 (a) and (b); or
(ii) The amount actually earned on the funds set aside or to be repaid under this section.
(e)
(f)
(g)
(h)
(i)
(a) It is the policy of the Commission that extensions of time under 11 CFR part 9007 will not be routinely granted.
(b) Whenever a candidate has a right or is required to take action within a period of time prescribed by 11 CFR part 9007 or by notice given thereunder, the candidate may apply in writing to the Commission for an extension of time in which to exercise such right or take such action. The candidate shall demonstrate in the application for extension that good cause exists for his or her request.
(c) An application for extension of time shall be made at least 7 calendar days prior to the expiration of the time period for which the extension is sought. The Commission may, upon a showing of good cause, grant an extension of time to a candidate who has applied for such extension in a timely manner. The length of time of any extension granted hereunder shall be decided by the Commission and may be less than the amount of time sought by the candidate in his or her application. If a candidate seeks an extension of any 60-day response period under 11 CFR Part 9007, the Commission may grant no more than one extension to that candidate, which extension shall not exceed 15 days.
(d) If a candidate fails to seek an extension of time, exercise a right or take a required action prior to the expiration of a time period prescribed by 11 CFR part 9007, the Commission may, on the candidate's showing of excusable neglect:
(1) Permit such candidate to exercise his or her right(s), or take such required action(s) after the expiration of the prescribed time period; and
(2) Take into consideration any information obtained in connection with the exercise of any such right or taking of any such action before making decisions or determinations under 11 CFR part 9007.
In accordance with 11 CFR 104.16(c), the Commission, pursuant to 11 CFR 111.10, may upon affirmative vote of four members conduct an audit and field investigation of any committee in any case in which the Commission finds reason to believe that a violation of a statute or regulation over which the Commission has jurisdiction has occurred or is about to occur.
(a)
(i) Be filed within 20 calendar days following service of the Commission's repayment determination or final determination;
(ii) Raise new questions of law or fact that would materially alter the Commission's repayment determination or final determination; and
(iii) Set forth clear and convincing grounds why such questions were not and could not have been presented during the original determination process.
(2) If a candidate files a timely petition under this section challenging a Commission repayment determination, the time for repayment will be suspended until the Commission serves notice on the candidate of its determination on the petition. The time periods for making repayment under 11 CFR 9007.2(d) shall apply to any amounts determined to be repayable following the Commission's consideration of a petition for rehearing under this section.
(b)
(c)
(ii) A request for a stay shall be made in writing and shall be filed within 30 calendar days after service of the Commission's decision on a petition for rehearing under paragraph (a) of this section or, if no petition for rehearing is filed, within 30 calendar days after service of the Commission's repayment determination under 11 CFR 9007.2(c).
(2) The Commission's approval of a stay request will be conditioned upon the candidate's presentation of evidence in the stay request that he or she:
(i) Has placed the entire amount at issue in a separate interest-bearing account pending the outcome of the appeal and that withdrawals from the account may only be made with the joint signatures of the candidate or his or her agent and a Commission representative; or
(ii) Has posted a surety bond guaranteeing payment of the entire amount at issue plus interest; or
(iii) Has met the following criteria:
(A) He or she will suffer irreparable injury in the absence of a stay; and, if so, that
(B) He or she has made a strong showing of the likelihood of success on the merits of the judicial action.
(C) Such relief is consistent with the public interest; and
(D) No other party interested in the proceedings would be substantially harmed by the stay.
(3) In determining whether the candidate has made a strong showing of the likelihood of success on the merits under paragraph (c)(2)(iii)(B) of this section, the Commission may consider whether the issue on appeal presents a novel or admittedly difficult legal question and whether the equities of the case suggest that the status quo should be maintained.
(4) All stays shall require the payment of interest on the amount at issue. The amount of interest due shall be calculated from the date 30 days after service of the Commission's repayment determination under 11 CFR 9007.2(c)(4) and shall be the greater of:
(i) An amount calculated in accordance with 28 U.S.C. 1961 (a) and (b); or
(ii) The amount actually earned on the funds set aside under this section.
If the committee has checks outstanding to creditors or contributors that have not been cashed, the committee shall notify the Commission. The committee shall inform the Commission of its efforts to locate the payees, if such efforts have been necessary, and its efforts to encourage the payees to cash the outstanding checks. The committee shall also submit a check for the total amount of such outstanding checks, payable to the United States Treasury.
(a) The Commission's administrative record for final determinations under 11 CFR 9004.9 and 9005.1, and for repayment determinations under 11 CFR 9007.2, consists of all documents and materials submitted to the Commission for its consideration in making those determinations. The administrative record will include the certification of the Commission's vote(s), the audit report that is sent to the committee (for repayment determinations), the statement(s) of reasons, and the candidate agreement. The committee may include documents or materials in the administrative record by submitting them within the time periods set forth at 11 CFR 9004.9(f)(2)(ii), 9005.1(b)(2), 9005.1(c)(4), 9007.1(c) and 9007.2(c)(2), as appropriate.
(b) The Commission's administrative record for determinations under 11 CFR 9004.9, 9005.1 and 9007.2 does not include:
(1) Documents and materials in the files of individual Commissioners or employees of the Commission that do not constitute a basis for the Commission's decisions because they were not circulated to the Commission and were not referenced in documents that were circulated to the Commission;
(2) Transcripts or audio tapes of Commission discussions other than transcripts or audio tapes of oral hearings pursuant to 11 CFR 9007.2(c)(2), although such transcripts or tapes may be made available under 11 CFR parts 4 or 5; or
(3) Documents properly subject to privileges such as an attorney-client privilege, or items constituting attorney work product.
(c) The administrative record identified in paragraph (a) of this section is the exclusive record for the Commission's determinations under 11 CFR 9004.9, 9005.1 and 9007.2
2 U.S.C. 437, 438(a)(8); 26 U.S.C. 9008, 9009(b).
(a) This Part interprets 2 U.S.C. 437 and 26 U.S.C. 9008. Under 26 U.S.C. 9008(b), the national committees of both major and minor parties are entitled to public funds to defray expenses incurred with respect to a Presidential Nominating convention. Under 26 U.S.C. 9008(d), expenditures with regard to such a convention by a national committee receiving public funds are limited to $4,000,000, as adjusted by the Consumer Price Index. New parties are not entitled to receive any public funds to defray convention expenses.
(b) Under 2 U.S.C. 437, each committee or organization which represents a national party in making arrangements for that party's presidential nominating convention is required to file disclosure reports. This reporting obligation extends to all such committees or organizations, regardless of whether or not public funds are used or available to defray convention expenses.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(a)
(2) The national committee shall establish a convention committee which shall be responsible for conducting the day to day arrangements and operations of that party's presidential nominating convention. The convention committee shall register with the Commission as a political committee pursuant to 11 CFR Part 102. The convention committee shall receive all public funds to which the national committee is entitled under 11 CFR 9008.4 and 9008.5 and all private contributions made for the purpose of defraying convention expenses. All expenditures on behalf of the national committee for convention expenses shall be made by the convention committee.
(3) The national committee shall file with the Commission an application statement. Any changes in the information provided in the application statement must be reported to the Commission within 10 days following the change. The application statement shall include:
(i) The name and address of the national committee;
(ii) The name and address of the convention committee and of the officers of that committee;
(iii) The name of the city where the convention is to be held and the approximate dates;
(iv) The name, address, and position of the convention committee officers designated by the national committee to sign requests for payments; and
(v) The name and address of the depository of the convention committee.
(4) The convention committee shall, by letter to the Commission, agree to the conditions set forth in paragraph (a)(4) (i) through (viii) of this section. This agreement shall also be binding upon the national committee.
(i) The convention committee shall agree to comply with the applicable expenditure limitation set forth at 11 CFR 9008.8.
(ii) The convention committee shall agree to file convention reports as required under 2 U.S.C. 437 and 11 CFR 9008.3(b).
(iii) The convention committee shall agree to establish one or more accounts into which all public funds received under 11 CFR 9008.4 and 9008.5 must be deposited and from which all expenditures for convention expenses must be made. Such account(s) shall contain only public funds except as provided in 11 CFR 9008.6(a)(3).
(iv) The convention committee shall agree to keep and furnish to the Commission all documentation of convention disbursements made by the committee as required under 11 CFR 9008.10. The convention committee has the burden of proving that disbursements by the convention committee were for purposes of defraying convention expenses as set forth at 11 CFR 9008.7(a)(4).
(v) The convention committee shall agree to furnish to the Commission any books, records (including bank records for all accounts), a copy of any contract which the national committee enters into with a host committee or convention city or vendor, a copy of documentation provided by commercial vendors in accordance with 11 CFR 9008.9(b), and any other information that the Commission may request. If the convention committee maintains or uses computerized information containing any of the categories of data listed in 11 CFR 9008.10(h)(1) (i) through (iv), the convention committee will provide computerized magnetic media, such as magnetic tapes or magnetic diskettes, containing the computerized information at the times specified in 11 CFR 9008.10(h)(2) that meet the requirements of 11 CFR 102.9 and 9008.10 (a) and (b). Upon request, documentation explaining the computer system's software capabilities shall be provided, and such personnel as are necessary to explain the operation of the computer system's software and the computerized information prepared or maintained by the convention committee shall also be made available.
(vi) The convention committee shall agree to permit an audit and examination pursuant to 26 U.S.C. 9008(g) and 11 CFR 9008.11 of all convention expenses; to facilitate such audit by making available office space, records, and such personnel as is necessary to the conduct of the audit and examination; and to pay any amounts required to be paid under 26 U.S.C. 9008(h) and 11 CFR 9008.12.
(vii) The convention committee shall agree to comply with the applicable requirements of 2 U.S.C. 431
(viii) The convention committee shall pay any civil penalties included in a conciliation agreement or imposed under 2 U.S.C. 437g.
(5) The application statement and agreement may be filed at any time after June 1 of the calendar year preceding the year in which a Presidential nominating convention of the political party is held, but no later than the first day of the convention.
(b)
(1)
(ii) A State party committee or a subordinate committee of a State party committee which only assists delegates and alternates to the convention from that State with travel expenses and arrangements, or which sponsors caucuses, receptions, and similar activities at the convention site, need not register or report under this section.
(2)
(i) The first quarterly report shall be filed on FEC Form 4 no later than 15 days following the end of the calendar quarter in which the committee either receives payment under 11 CFR 9008.6, or for parties which do not accept public funds, no later than 15 days after the calendar quarter in which the committee receives contributions or makes expenditures to defray convention expenses. The committee shall continue to file reports on a quarterly basis no later than the 15th day following the close of each calendar quarter, except that the report for the final calendar quarter of the year shall be filed on January 31 of the following calendar year. Quarterly reports shall be completed as of the close of the quarter and shall continue to be filed until the committee ceases activity in connection with that party's presidential nominating convention.
(ii) Any quarterly report due within 20 days before or after the convention shall be suspended and the committee shall in lieu of such quarterly report file a post convention report. The post convention report shall be filed on the earlier of: 60 days following the last day the convention is officially in session; or 20 days prior to the presidential general election. The post convention report shall be complete as of 15 days prior to the date on which the report must be filed.
(c)
(a)
(b)
(c)
(a) The entitlements established by 11 CFR 9008.4 shall be adjusted on the basis of the Consumer Price Index pursuant to the provisions of 2 U.S.C. 441a(c).
(b) The entitlements established by 11 CFR 9008.4 shall be adjusted so as not to exceed the difference between the expenditure limitations of 11 CFR 9008.8(a) and the amount of private contributions received under 11 CFR 9008.6(a) by the national committee of a political party. Except as provided in 11 CFR 9008.12(b)(7), in calculating
(a)
(2) If a national committee of a major or minor party elects to receive part of the amounts to which it is entitled under 11 CFR 9008.4 and 9008.5, or if the Secretary determines there is a deficiency in the Fund under 26 U.S.C. 9008(b)(4), the national committee may receive and use private contributions, so long as the sum of the contributions which are used to defray convention expenses and the amount of entitlements elected to be received does not exceed the total expenditure limitation under 11 CFR 9008.8.
(3) All private contributions received by the national committee to defray convention expenses shall be subject to all reporting requirements, limitations and prohibitions of Title 2, United States Code. The convention committee may establish a separate account for private contributions or may deposit such contributions with payments received from the Fund pursuant to paragraph (d) of this section. The account(s) shall be maintained at a State bank, federally chartered depository institution or other depository institution, the deposits or accounts of which are insured by the Federal Deposit Insurance Corporation.
(b)
(c)
(d)
(a)
(1) Such payment may be used to defray convention expenses (including the payment of deposits) incurred by or on behalf of the national committee receiving such payments; or
(2) Such payment may be used to repay the principal and interest, at a commercially reasonable rate, on loans the proceeds of which were used to defray convention expenses; or
(3) Such payment may be used to restore funds (including advances from the national committee to the convention committee), other than contributions to the committee for the purpose of defraying convention expenses, where such funds were used to defray convention expenses.
(4) “Convention expenses” include all expenses incurred by or on behalf of a political party's national committee or convention committee with respect to and for the purpose of conducting a presidential nominating convention or convention-related activities. Such expenses include, but are not limited to:
(i) Expenses for preparing, maintaining, and dismantling the physical site of the convention, including rental of the hall, platforms and seating, decorations, telephones, security, convention hall utilities, and other related costs;
(ii) Salaries and expenses of convention committee employees, volunteers and similar personnel, whose responsibilities involve planning, management or otherwise conducting the convention;
(iii) Salary or portion of the salary of any national committee employee for any period of time during which, as a major responsibility, that employee performs services related to the convention;
(iv) Expenses of national committee employees, volunteers or other similar personnel if those expenses were incurred in the performance of services for the convention in addition to the services normally rendered to the national committee by such personnel;
(v) Expenses for conducting meetings of or related to committees dealing with the conduct and operation of the convention, such as rules, credentials, platform, site, contests, call, arrangements and permanent organization committees, including printing materials and rental costs for meeting space.
(vi) Expenses incurred in securing a convention city and facility;
(vii) Expenses incurred in providing a transportation system in the convention city for use by delegates and other persons attending or otherwise connected with the convention;
(viii) Expenses for entertainment activities which are part of the official convention activity sponsored by the national committee, including but not limited to dinners, concerts, and receptions; except that expenses for the following activities are excluded:
(A) Entertainment activities sponsored by or on behalf of candidates for nomination to the office of President or Vice President, or State delegations;
(B) Entertainment activities sponsored by the national committee if the purpose of the activity is primarily for national committee business, such as fund-raising events, or selection of new national committee officers;
(C) Entertainment activities sponsored by persons other than the national committee; and
(D) Entertainment activities prohibited by law;
(ix) Expenses for printing convention programs, a journal of proceedings, agendas, tickets, badges, passes, and other similar publications;
(x) Administrative and office expenses for conducting the convention, including stationery, office supplies, office machines, and telephone charges; but excluded from these expenses are the cost of any services supplied by the national committee at its headquarters or principal office if such services are incidental to the convention and not utilized primarily for the convention;
(xi) Payment of the principal and interest, at a commercially reasonable rate, on loans the proceeds of which were used to defray convention expenses;
(xii) Expenses for gifts or monetary bonuses for national committee or convention committee employees, volunteers and convention officials in recognition for convention-related activities or services, provided that the gifts and bonuses do not exceed $150 total per individual, and the total for all gifts and bonuses does not exceed $20,000; and
(xiii) Expenses for producing biographical films, or similar materials, for use at the convention, about candidates for nomination or election to the office of President or Vice President, but any other political committee(s) that use part or all of the biographical films or materials shall pay the convention committee for the reasonably allocated cost of the biographical films or materials used.
(5) Any investment of public funds or any other use of public funds to generate income is permissible only if the income so generated is used to defray convention expenses. Such income, less any tax paid on it, shall be repaid to the United States Treasury as provided under 11 CFR 9008.12(b)(6).
(b)
(2) Public funds shall not be used to defray any expense the incurring or payment of which violates any law of the United States or any law of the State in which such expense is incurred or paid, or any regulation prescribed under federal or State laws.
(3) Public funds shall not be used to pay civil or criminal penalties required or agreed to be paid pursuant to 2 U.S.C. 437g. Any amounts received or expended by the national committee or convention committee of a political party to pay such penalties shall not be considered contributions or expenditures, except that such amounts shall be reported in accordance with 11 CFR Part 104 and shall be subject to the prohibitions of 11 CFR 110.4 and Parts 114 and 115.
(a)
(2)
(3)
(b)
(2)
(3)
(4)
(ii) The payment by the national committee of compensation to any individual for legal and accounting services rendered to or on behalf of the national committee in connection with the presidential nominating convention or convention-related activities shall not be considered an expenditure and shall not count against the expenditure limitations of this section provided that:
(A) The legal and accounting services relate solely to compliance with the Federal Election Campaign Act (2 U.S.C. 431, et seq.) and the Presidential Election Campaign Fund Act (26 U.S.C. Chapter 95); and
(B) The contributions raised to pay for the legal and accounting services comply with the limitations and prohibitions of 11 CFR Parts 110, 114 and 115. These contributions, when aggregated with other contributions from the same contributor to the political committees established and maintained by the national political party, shall not exceed $20,000 per person, and $15,000 per multicandidate political committee in any calendar year.
(iii) The convention committee shall report contributions received to pay for legal and accounting services on a separate Schedule A, and shall report payments for legal and accounting services on a separate Schedule B, attached to its reports.
(5)
Commercial vendors may sell, lease, rent or provide their goods or services to the national committee with respect to a presidential nominating convention at reduced or discounted rates, or at no charge, provided that the requirements of either paragraph (a), paragraph (b), or paragraph (c) of this section are met. For purposes of this section,
(a)
(b)
(1) A commercial vendor may provide goods or services in exchange for promotional consideration provided that doing so is in the ordinary course of business.
(2) The provision of goods or services shall be considered in the ordinary course of business under this paragraph:
(i) If the commercial vendor has an established practice of providing goods or services on a similar scale and on similar terms to non-political clients, or
(ii) If the terms and conditions under which the goods or services are provided are consistent with established practice in the commercial vendor's trade or industry in similar circumstances.
(3) In all cases, the value of the goods or services provided shall not exceed
(4) The convention committee shall maintain documentation showing: the goods or services provided; the date(s) on which the goods or services were provided, the terms and conditions of the arrangement; and what promotional consideration was provided. In addition, the convention committee shall disclose in its report covering the period the goods or services are received, in a memo entry, a description of the goods or services provided for promotional consideration, the name and address of the commercial vendor, and the dates on which the goods or services were provided (e.g., “Generic Motor Co., Detroit, Michigan—ten automobiles for use 7/15-7/20, received on 7/14”, or “Workers Inc., New York, New York—five temporary secretarial assistants for use 8/1-8/30, received on 8/1”).
(c)
(d)
The convention committee must include as part of the evidence of convention expenses the following documentation:
(a) For disbursements in excess of $200 to a payee, either:
(1) A receipted bill from the payee that states the purpose of the disbursement; or
(2) If such a receipted bill is not available, the following documents;
(i) A canceled check negotiated by the payee; plus
(ii) One of the following documents generated by the payee—a bill, invoice, voucher or contemporaneous memorandum that states the purpose of the disbursement;
(iii) Where the documents specified at paragraph (a)(2)(ii) of this section are not available, a voucher or contemporaneous memorandum from the committee that states the purpose of the disbursement;
(3) If neither a receipted bill nor the supporting documentation specified in paragraph (a)(2) (ii) or (iii) of this section is available, a canceled check negotiated by the payee that states the purpose of the disbursement.
(4) Where the supporting documentation required above is not available, the committee may present a canceled check and collateral evidence to document the convention expense. Such collateral evidence may include but is not limited to:
(i) Evidence demonstrating that the disbursement is part of an identifiable program or project which is otherwise sufficiently documented, such as a disbursement which is one of a number of documented disbursements relating to the operation of a committee office;
(ii) Evidence that the disbursement is covered by a preestablished written committee policy, such as a daily travel expense policy.
(b) For all other disbursements:
(1) If from the petty cash fund, a record that states the full name and mailing address of the payee and the amount, date and purpose of the disbursement; or
(2) A canceled check which has been negotiated by the payee and states the identification of the payee, and the amount and date of the disbursement.
(c) For purposes of this section,
(d) For purposes of this section, the term
(e) Upon the request of the Commission the convention committee shall supply an explanation of the connection between the disbursement and the convention.
(f) The committee shall retain records with respect to each disbursement and receipt, including bank records, vouchers, worksheets, receipts, bills and accounts, journals, ledgers, fundraising solicitation material, accounting systems documentation, and any related material documenting campaign receipts and disbursements, for a period of three years pursuant to 11 CFR 102.9(c), and shall present these records to the Commission on request.
(g)
(1) The total of:
(i) All outstanding obligations for convention expenses as of 45 days after the last day of the convention; plus
(ii) An estimate of the amount of convention expenses that will be incurred after the 45th day and before the end of the ninth month following the last day of the convention; plus
(iii) An estimate of necessary winding down costs; less
(2) The total of:
(i) Cash on hand as of 45 days after the last day of the convention, including: all receipts dated on or before that date; currency; balances on deposit in banks, savings and loan institutions, and other depository institutions; traveler's checks; certificates of deposit; treasury bills; and any other committee investments valued at fair market value;
(ii) The fair market value of capital assets and other assets on hand; and
(iii) Amounts owed to the committee in the form of credits, refunds of deposits, returns, receivables, or rebates of convention expenses; or a commercially reasonable amount based on the collectibility of those credits, returns, receivables or rebates.
(3) The amount submitted as the total of outstanding convention obligations under paragraph (g)(1) of this section shall not include any accounts payable for non-convention expenses nor any amounts determined or anticipated to be required as a repayment under 11 CFR 9008.12 or any amounts paid to secure a surety bond under 11 CFR 9008.14(c).
(4)
(5)
(6)
(7)
(i) Costs associated with the termination of the convention such as complying with the post-convention requirements of the Act and other necessary administrative costs associated with winding down the convention, including office space rental, staff salaries and office supplies; and
(ii) Costs incurred by the convention committee prior to 45 days after the last day of the convention for which written arrangements or commitment was made on or before that date.
(8)
(h)
(i) Information required by law to be maintained regarding the committee's receipts or disbursements;
(ii) Records used to reconcile bank statements;
(iii) Records relating to the acquisition, use and disposition of capital assets; and
(iv) Any other information that may be used during the Commission's audit to review the committee's receipts, disbursements, loans, debts, obligations, or bank reconciliations.
(2)
(3)
(4)
The Commission shall conduct an examination and audit of the convention committee no later than December 31 of the calendar year of the convention and may at any time conduct other examinations and audits as it deems necessary. The Commission will follow the same procedures during the audit, and will afford the committee the same right to respond, as are provided for audits of publicly funded candidates under 11 CFR 9007.1 and 9038.1.
(a)
(2) The Commission will notify the committee of any repayment determinations made under this section as soon as possible, but not later than 3 years after the last day of the Presidential nominating convention. The Commission's issuance of an audit report to the committee will constitute notification for purposes of the three year period.
(3) Once the committee receives notice of the Commission's final repayment determination under this section, the committee should give preference to the repayment over all other outstanding obligations of the committee, except for any federal taxes owed by the committee.
(b)
(1)
(2)
(3)
(4)
(5)
(ii) The national committee or convention committee shall make an interim repayment of unspent funds based on the financial position of the committee as of the end of the ninth month following the last day of the convention, allowing for a reasonable amount as determined by the Commission to be withheld for unanticipated contingencies. The interim repayment shall be made no later than 30 calendar days after the end of the ninth month following the last day of the convention. If, after written request by the national committee or convention committee, the Commission determines, upon review of evidence presented by either committee, that amounts previously refunded are needed to defray convention expenses, the Commission shall certify such amount for payment.
(iii) All unspent funds shall be repaid to the U.S. Treasury no later than 24 months after the last day of the convention, unless the national committee has been granted an extension of time. The Commission may grant any extension of time it deems appropriate upon request of the national committee.
(6)
(7) The Commission may seek repayment, or may initiate an enforcement action, if the convention committee knowingly helps, assists or participates in the making of a convention expenditure by the host committee, government agency or municipal corporation which is not in accordance with 11 CFR 9008.52 or 9008.53, or the acceptance of a contribution by the host committee or government agency or municipal corporation from an impermissible source, such as a nonlocal business.
(c)
In accordance with 11 CFR 104.16(c), the Commission, pursuant to 11 CFR 111.10, may upon affirmative vote of four members conduct an audit and field investigation of any committee in any case in which the Commission finds reason to believe that a violation of a statute or regulation over which the Commission has jurisdiction has occurred or is about to occur.
Petitions for rehearing following the Commission's final repayment determination and requests for stays of repayment determinations will be governed by the procedures set forth at 11 CFR 9007.5 and 9038.5. The Commission will afford convention committees the same rights as are provided to publicly funded candidates under 11 CFR 9007.5 and 9038.5.
(a) It is the policy of the Commission that extensions of time under 11 CFR Part 9008 will not be routinely granted.
(b) Whenever a committee has a right or is required to take action within a period of time prescribed by 11 CFR Part 9008 or by notice given thereunder, the committee may apply in writing to the Commission for an extension of time in which to exercise such right or take such action. The committee shall demonstrate in the application for extension that good cause exists for its request.
(c) An application for extension of time shall be made at least 7 calendar days prior to the expiration of the time period for which the extension is sought. The Commission may, upon a showing of good cause, grant an extension of time to a committee that has applied for such extension in a timely manner. The length of time of any extension granted hereunder shall be decided by the Commission and may be less than the amount of time sought by the committee in its application.
(d) If a committee fails to seek an extension of time, exercise a right or take a required action prior to the expiration of a time period prescribed by 11 CFR Part 9008, the Commission may, on the committee's showing of excusable neglect:
(1) Permit such committee to exercise its right(s), or take such required action(s) after the expiration of the prescribed time period; and
(2) Take into consideration any information obtained in connection with the exercise of any such right or taking of any such action before making decisions or determinations under 11 CFR Part 9008.
If the committee has checks outstanding that have not been cashed, the committee shall notify the Commission. The committee shall inform the Commission of its efforts to locate the payees, if such efforts have been necessary, and its efforts to encourage the payees to cash the outstanding checks. The committee shall also submit a check for the total amount of such outstanding checks, payable to the United States Treasury.
Subpart B governs registration and reporting by host committees representing convention cities and by government agencies and municipalities. Unsuccessful efforts to attract a convention need not be reported by any city, committee or other organization. Subpart B also describes permissible sources of funds and other permissible donations to host committees, government agencies and municipal corporations. In addition, Subpart B describes permissible expenditures by government agencies, municipal corporations and host committees to defray convention expenses and to promote the convention city and its commerce.
(a)
(2) Any such committee, organization or group which is unsuccessful in its efforts to attract the convention to a city need not register under this section.
(b)
(2) If such committee, organization or group has receipts or makes disbursements after the completion date of the post convention report, it shall begin to file quarterly reports no later than 15 days after the end of the following calendar quarter. This report shall disclose all transactions completed as of the close of that calendar quarter. Quarterly reports shall be filed thereafter until the committee, organization or group ceases all activity which must be reported under this section.
(3) Such committee, organization or group shall file a final report with the Commission not later than 10 days after it ceases activity which must be reported under this section, unless such status is reflected in either the post convention report or a quarterly report.
(c)
(a)
(b)
(c)
(i) To defray those expenses incurred for the purpose of promoting the suitability of the city as a convention site;
(ii) To defray those expenses incurred for welcoming the convention attendees to the city, such as expenses for information booths, receptions, and tours;
(iii) To defray those expenses incurred in facilitating commerce, such as providing the convention and attendees with shopping and entertainment guides and distributing the samples and promotional material specified in 11 CFR 9008.9(c);
(iv) To defray the administrative expenses incurred by the host committee, such as salaries, rent, travel, and liability insurance;
(v) To provide the national committee use of an auditorium or convention center and to provide construction and
(vi) To defray the costs of various local transportation services, including the provision of buses and automobiles;
(vii) To defray the costs of law enforcement services necessary to assure orderly conventions;
(viii) To defray the cost of using convention bureau personnel to provide central housing and reservation services;
(ix) To provide hotel rooms at no charge or a reduced rate on the basis of the number of rooms actually booked for the convention;
(x) To provide accommodations and hospitality for committees of the parties responsible for choosing the sites of the conventions; and
(xi) To provide other similar convention-related facilities and services.
(2) For purposes of this section, any business (including a branch of a national or regional chain, a franchise, or a licensed dealer) or labor organization or other organization with offices or facilities located within the Metropolitan Area (MA) of the convention city shall be considered local. There shall be a rebuttable presumption that any such entity located outside the MA is not local. This presumption may be rebutted by a showing that the volume of business or activity in an area lying outside the MA would be directly affected by the presence of the convention.
(a)
(b)
(i) The fund or account is not restricted to use in connection with any particular convention; and
(ii) Donations to the fund or account are unrestricted and are not solicited or designated for use in connection with any particular convention, event or activity.
(2) For purposes of this section, any business (including a branch of a national or regional chain, a franchise, or a licensed dealer) or labor organization or other organization with offices or facilities located within the Metropolitan Area (MA) of the convention city shall be considered local. There shall be a rebuttable presumption that any such entity located outside the MA is not local. This presumption may be rebutted by a showing that the volume of business of activity in an area lying outside the MA would be directly affected by the presence of the convention.
The Commission shall conduct an examination and audit of each host committee registered under 11 CFR 9008.51. The Commission will follow the same procedures during the audit, and will afford the committee the same right to respond, as are provided for audits of publicly funded candidates under 11 CFR 9007.1 and 9038.1, except that the Commission will not make any repayment calculations under this section.
26 U.S.C. 9012.
(a) It shall be unlawful for an eligible candidate of a political party for President and Vice President in a Presidential election or the candidate's authorized committee(s) knowingly and willfully to incur qualified campaign expenses in excess of the aggregate payments to which the eligible candidates of a major party are entitled under 11 CFR part 9004 with respect to such election.
(b) It shall be unlawful for the national committee of a major 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 11 CFR part 9008, unless the incurring of such expenses is authorized by the Commission under 11 CFR 9008.7(a)(3).
(a) It shall be unlawful for an eligible candidate of a major party in a Presidential election or any of his or her 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 from the Fund due to the application of 11 CFR 9005.2(b), or to defray expenses which would be qualified campaign expenses but for 11 CFR 9002.11(a)(3).
(b) 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 or her 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 in that election by that eligible candidate or his or her authorized committee(s).
(a) It shall be unlawful for any person who receives any payment under 11 CFR part 9005, or to whom any portion of any payment so received is transferred, knowingly and willfully to use, or authorize the use of, such payment or any portion thereof for any purpose other than—
(1) To defray the qualified campaign expenses with respect to which such payment was made; or
(2) 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.
(b) It shall be unlawful for the national committee of a major or minor party which receives any payment under 11 CFR part 9008 to use, or authorize the use of, such payment for any purpose other than a purpose authorized by 11 CFR 9008.6.
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 11 CFR parts 9001-9008, 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 any examination and audit by the Commission under 11 CFR parts 9001
(b) To fail to furnish to the Commission any records, books or information requested by the Commission for purposes of 11 CFR parts 9001
(a) 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
(b) It shall be unlawful for the national committee of a major 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.
26 U.S.C. 9031 and 9039(b).
This subchapter governs entitlement to and use of funds certified from the Presidential Primary Matching Payment Account under 26 U.S.C. 9031
26 U.S.C. 9032 and 9039(b).
(a) Notwithstanding the definition at 11 CFR 100.5,
(b) Any withdrawal of an authorization shall be in writing and shall be addressed and filed in the same manner provided for at 11 CFR 102.12 or 102.13.
(c) For the purposes of this subchapter, references to the “candidate” and his or her responsibilities under this subchapter shall also be deemed to refer to the candidate's authorized committee(s).
(d) An expenditure by an authorized committee on behalf of the candidate who authorized the committee cannot qualify as an independent expenditure.
(e) A delegate committee, as defined in 11 CFR 100.5(e)(5), is not an authorized committee of a candidate unless it also meets the requirements of 11 CFR 9032.1(a). Expenditures by delegate committees on behalf of a candidate may count against that candidate's expenditure limitation under the circumstances set forth in 11 CFR 110.14.
(a) Takes the action necessary under the law of a State to qualify for a caucus, convention, primary election or run-off election;
(b) Receives contributions or incurs qualified campaign expenses;
(c) Gives consent to any other person to receive contributions or to incur qualified campaign expenses on his or her behalf; or
(d) Receives written notification from the Commission that any other person is receiving contributions or
For purposes of this subchapter,
(a) For a candidate seeking the nomination of a party which nominates its Presidential candidate at a national convention, the date on which the party nominates its candidate.
(b) For a candidate seeking the nomination of a party which does not make its nomination at a national convention, the earlier of—
(1) The date the party nominates its Presidential candidate, or
(2) The last day of the last national convention held by a major party in the calendar year.
(a)
(1) For the selection of delegates to a national nominating convention of a political party;
(2) For the expression of a preference for the nomination of Presidential candidates;
(3) For the purposes stated in both paragraphs (a) (1) and (2) of this section; or
(4) To nominate a Presidential candidate.
(b) If separate primary elections are held in a State by the State and a political party, the primary election for the purposes of this subchapter will be the election held by the political party.
(a)
(1) Incurred by or on behalf of a candidate or his or her authorized committees from the date the individual becomes a candidate through the last day of the candidate's eligibility as determined under 11 CFR 9033.5;
(2) Made in connection with his or her campaign for nomination; and
(3) Neither the incurrence nor payment of which constitutes a violation of any law of the United States or of any law of any State in which the expense is incurred or paid, or of any regulation prescribed under such law of the United States or of any State, except that any State law which has been preempted by the Federal Election Campaign Act of 1971, as amended, will not be considered a State law for purposes of this subchapter.
(b) An expenditure is made on behalf of a candidate, including a Vice Presidential candidate, if it is made by—
(1) An authorized committee or any other agent of the candidate for purposes of making an expenditure;
(2) Any person authorized or requested by the candidate, an authorized committee of the candidate, or an agent of the candidate to make the expenditure; or
(3) A committee which has been requested by the candidate, by an authorized committee of the candidate, or by an agent of the candidate to make the expenditure, even though such committee is not authorized in writing.
(c) Except as provided in 11 CFR 9034.4(e), expenditures incurred either before the beginning of the expenditure report period or after the last day of a candidate's eligibility will be considered qualified campaign expenses if they meet the provisions of 11 CFR 9034.4(a). Expenditures described under 11 CFR 9034.4(b) will not be considered qualified campaign expenses.
For purposes of this subchapter,
26 U.S.C. 9003(e), 9033 and 9039(b).
(a)
(2) The Commission will not consider a candidate's threshold submission until the candidate has submitted a candidate agreement that meets the requirements of this section.
(b)
(1) The candidate has the burden of proving that disbursements by the candidate or any authorized committee(s) or agents thereof are qualified campaign expenses as defined at 11 CFR 9032.9.
(2) The candidate and the candidate's authorized committee(s) will comply with the documentation requirements set forth in 11 CFR 9033.11.
(3) The candidate and the candidate's authorized committee(s) will provide an explanation, in addition to complying with the documentation requirements, of the connection between any disbursements made by the candidate or authorized committee(s) of the candidate and the campaign if requested by the Commission.
(4) The candidate and the candidate's authorized committee(s) will keep and furnish to the Commission all documentation for matching fund submissions, any books, records (including bank records for all accounts), and supporting documentation and other information that the Commission may request.
(5) The candidate and the candidate's authorized committee(s) will keep and furnish to the Commission all documentation relating to disbursements and receipts including any books, records (including bank records for all accounts), all documentation required by this section (including those required to be maintained under 11 CFR
(6) The candidate and the candidate's authorized committee(s) will obtain and furnish to the Commission upon request all documentation relating to funds received and disbursements made on the candidate's behalf by other political committees and organizations associated with the candidate.
(7) The candidate and the candidate's authorized committee(s) will permit an audit and examination pursuant to 11 CFR part 9038 of all receipts and disbursements including those made by the candidate, all authorized committee(s) and any agent or person authorized to make expenditures on behalf of the candidate or committee(s). The candidate and the candidate's authorized committee(s) shall also provide any material required in connection with an audit, investigation, or examination conducted pursuant to 11 CFR part 9039. The candidate and authorized committee(s) shall facilitate the audit by making available in one central location, office space, records and such personnel as are necessary to conduct the audit and examination, and shall pay any amounts required to be repaid under 11 CFR parts 9038 and 9039.
(8) The candidate and the candidate's authorized committee(s) will submit the name and mailing address of the person who is entitled to receive matching fund payments on behalf of the candidate and the name and address of the campaign depository designated by the candidate as required by 11 CFR part 103 and 11 CFR 9037.3. Changes in the information required by this paragraph shall not be effective until submitted to the Commission in a letter signed by the candidate or the Committee treasurer.
(9) The candidate and the candidate's authorized committee(s) will prepare matching fund submissions in accordance with the Federal Election Commission's Guideline for Presentation in Good Order.
(10) The candidate and the candidate's authorized committee(s) will comply with the applicable requirements of 2 U.S.C. 431
(11) The candidate and the candidate's authorized committee(s) will pay an civil penalties included in a conciliation agreement or otherwise imposed under 2 U.S.C. 437g against the candidate, any authorized committees of the candidate or any agent thereof.
(12) Any television commercial prepared or distributed by the candidate or the candidate's authorized committee(s) 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.
(a)
(2) The Commission will not consider a candidate's threshold submission
(b)
(2) The candidate and the candidate's authorized committee(s) shall certify that they have not incurred and will not incur expenditures in connection with the candidate's campaign for nomination, which expenditures are in excess of the limitations under 11 CFR part 9035.
(3) The candidate and the candidate's authorized committee(s) shall certify:
(i) That they have received matchable contributions totaling more than $5,000 in each of at least 20 States; and
(ii) That the matchable contributions are from individuals who are residents of the State for which their contributions are submitted.
(iii) A maximum of $250 of each individual's aggregate contributions will be considered as matchable contributions for the purpose of meeting the thresholds of this section.
(iv) For purposes of this section, contributions of an individual who maintains residences in more than one State may only be counted toward the $5,000 threshold for the State from which the earliest contribution was made by that contributor.
(c)
(a) If the Commission makes an initial determination that a candidate or the candidate's authorized committee(s) have knowingly and substantially exceeded the expenditure limitations at 11 CFR part 9035 prior to that candidate's application for certification, the Commission may make an initial determination that the candidate is ineligible to receive matching funds.
(b) The Commission will notify the candidate of its initial determination, in accordance with the procedures outlined in 11 CFR 9033.10(b). The candidate may submit, within 20 calendar days after service of the Commission's notice, written legal or factual materials, in accordance with 11 CFR 9033.10(b), demonstrating that he or she has not knowingly and substantially exceeded the expenditure limitations at 11 CFR part 9035.
(c) A final determination of the candidate's ineligibility will be made by the Commission in accordance with the procedures outlined in 11 CFR 9033.10(c).
(d) A candidate who receives a final determination of ineligibility under 11 CFR 9033.3(c) shall be ineligible to receive matching fund payments under 11 CFR 9034.1.
(a) The Commission will examine the submission made under 11 CFR 9033.1 and 9033.2 and either—
(1) Make a determination that the candidate has satisfied the minimum contribution threshold requirements under 11 CFR 9033.2(c); or
(2) Make an initial determination that the candidate has failed to satisfy the matching payment threshold requirements. The Commission will notify the candidate of its initial determination in accordance with the procedures outlined in 11 CFR 9033.10(b). The candidate may, within 30 calendar days
(b) The Commission will make its examination and determination under this section as soon as practicable. During the Presidential election year, the Commission will generally complete its review and make its determination within 15 business days.
The candidate's date of ineligibility shall be whichever date by operation of 11 CFR 9033.5 (a), (b), or (c) occurs first. After the candidate's date of ineligibility, he or she may only receive matching payments to the extent that he or she has net outstanding campaign obligations as defined in 11 CFR 9034.5.
(a)
(1) The date the candidate publicly announces that he or she will not be actively conducting campaigns in more than one State; or
(2) The date the candidate notifies the Commission by letter that he or she is not actively conducting campaigns in more than one State; or
(3) The date which the Commission determines under 11 CFR 9033.6 to be the date that the candidate is not actively seeking election in more than one State.
(b)
(1) The Commission may refuse to accept the candidate's certification if it determines under 11 CFR 9033.7 that the candidate is an active candidate in the primary involved.
(2) For purposes of this paragraph, if the candidate is running in two primary elections in different States on the same date, the highest percentage of votes the candidate receives in any one State will govern. Separate primary elections held in more than one State on the same date are not deemed to be consecutive primaries. If two primary elections are held on the same date in the same State (e.g., a primary to select delegates to a national nominating convention and a primary for the expression of preference for the nomination of candidates for election to the office of President), the highest percentage of votes a candidate receives in either election will govern. If two or more primaries are held in the same State on different dates, the earliest primary will govern.
(3) If the candidate certifies that he or she will not be an active candidate in a particular primary, and the Commission accepts the candidate's certification, the primary involved shall not be counted in determining the candidate's date of ineligibility under paragraph (b) of this section, regardless of the percentage of popular votes cast for the candidate in that primary.
(c)
(d)
(a)
(b)
(1) The frequency and type of public appearances, speeches, and advertisements;
(2) Campaign activity with respect to soliciting contributions or making expenditures for campaign purposes;
(3) Continued employment of campaign personnel or the use of volunteers;
(4) The release of committed delegates;
(5) The candidate urges his or her delegates to support another candidate while not actually releasing committed delegates;
(6) The candidate urges supporters to support another candidate.
(c)
(d)
(a) Where a candidate certifies to the Commission under 11 CFR 9033.5(b) that he or she will not be an active candidate in an upcoming primary, the Commission may, nevertheless, on the basis of factors listed in 11 CFR 9033.6(b), make an initial determination that the candidate is an active candidate in the primary involved.
(b) The Commission will notify the candidate of its initial determination within 10 business days of receiving the candidate's certification under 11 CFR 9033.5(b) or, if the timing of the activity does not permit notice during the 10 day period, as soon as practicable following campaign activity by the candidate in the primary state. The Commission's initial determination will be made in accordance with the procedures outlined in 11 CFR 9033.10(b). Within 10 business days after service of the Commission's notice the candidate may submit, in accordance with 11 CFR 9033.10(b), written legal or factual materials to demonstrate that he or she is not an active candidate in the primary involved.
(c) A final determination by the Commission that the candidate is active will be made in accordance with the procedures outlined in 11 CFR 9033.10(c).
(a)
(b)
(c) The Commission will make its determination under 11 CFR 9033.8 (a) or (b) without requiring the individual to reestablish eligibility under 11 CFR 9033.1 and 2. A candidate whose eligibility is reestablished under this section may submit, for matching payment, contributions received during ineligibility. Any expenses incurred during the period of ineligibility that would have been considered qualified campaign expenses if the candidate had been eligible during that time may be defrayed with matching payments.
(a) If the Commission receives information indicating that a candidate or his or her authorized committee(s) has knowingly and substantially failed to comply with the disclosure requirements of 2 U.S.C. 434 and 11 CFR part 104, or that a candidate has knowingly and substantially exceeded the expenditure limitations at 11 CFR part 9035, the Commission may make an initial determination to suspend payments to that candidate.
(b) The Commission will notify the candidate of its initial determination in accordance with the procedures outlined in 11 CFR 9033.10(b). The candidate will be given an opportunity, within 20 calendar days after service of the Commission's notice, to comply with the above cited provisions or to submit in accordance with 11 CFR 9033.10(b) written legal or factual materials to demonstrate that he or she is not in violation of those provisions.
(c) Suspension of payments to a candidate will occur upon a final determination by the Commission to suspend payments. Such final determination will be made in accordance with the procedures outlined in 11 CFR 9033.10(c).
(d) (1) A candidate whose payments have been suspended for failure to comply with reporting requirements may become entitled to receive payments if he or she subsequently files the required reports and pays or agrees to pay any civil or criminal penalties resulting from failure to comply.
(2) A candidate whose payments are suspended for exceeding the expenditure limitations shall not be entitled to receive further matching payments under 11 CFR 9034.1.
(a)
(1) The candidate has knowingly and substantially exceeded the expenditure limitations of 11 CFR part 9035 prior to the candidate's application for certification, as provided in 11 CFR 9033.3;
(2) The candidate has failed to satisfy the matching payment threshold requirements, as provided in 11 CFR 9033.4;
(3) The candidate is no longer actively seeking nomination in more than one state, as provided in 11 CFR 9033.6;
(4) The candidate is an active candidate in an upcoming primary despite the candidate's assertion to the contrary, as provided in 11 CFR 9033.7;
(5) The Commission receives information indicating that the candidate has knowingly and substantially failed to comply with the disclosure requirements or exceeded the expenditure limits, as provided in 11 CFR 9033.9; or
(6) The Commission receives information indicating that substantial assets of the candidate's authorized committee have been undervalued or not included in the candidate's statement of net outstanding campaign obligations or that the amount of outstanding campaign obligations has been otherwise overstated in relation to committee assets, as provided in 11 CFR 9034.5(g).
(b)
(c)
(d)
(e)
(a)
(b)
(i) A receipted bill from the payee that states the purpose of the disbursement; or
(ii) If such a receipt is not available,
(A) One of the following documents generated by the payee: a bill, invoice, or voucher that states the purpose of the disbursement; or
(B) Where the documents specified in paragraph (b)(1)(ii)(A) of this section are not available, a voucher or contemporaneous memorandum from the candidate or the committee that states the purpose of the disbursement; or
(iii) Where the supporting documentation required in paragraphs (b)(1) (i) or (ii) of this section is not available, the candidate or committee may present collateral evidence to document the qualified campaign expense. Such collateral evidence may include, but is not limited to:
(A) Evidence demonstrating that the expenditure is part of an identifiable program or project which is otherwise sufficiently documented such as a disbursement which is one of a number of documented disbursements relating to a campaign mailing or to the operation of a campaign office; or
(B) Evidence that the disbursement is covered by a pre-established written campaign committee policy, such as a daily travel expense policy.
(iv) If the purpose of the disbursement is not stated in the accompanying documentation, it must be indicated on the canceled check.
(2) For all other disbursements, the candidate shall present:
(i) A record disclosing the full name and mailing address of the payee, the amount, date and purpose of the disbursement, if made from a petty cash fund; or
(ii) A canceled check negotiated by the payee that states the full name and mailing address of the payee, and the amount, date and purpose of the disbursement.
(3) For purposes of this section:
(i)
(ii)
(c)
(d)
(1)
(2)
(a)
(1) Information required by law to be maintained regarding the committee's receipts or disbursements;
(2) Records of allocations of expenditures to particular state expenditure limits and to the overall expenditure limit;
(3) Disbursements for exempt fundraising and exempt compliance costs, including the allocation of salaries and overhead expenditures;
(4) Records of allocations of expenditures for the purchase of broadcast media;
(5) Records used to prepare statements of net outstanding campaign obligations;
(6) Records used to reconcile bank statements;
(7) Disbursements made and reimbursements received for the cost of transportation, ground services and facilities made available to media personnel, including records relating to how costs charged to media personnel were determined;
(8) Records relating to the acquisition, use and disposition of capital assets or other assets; and
(9) Any other information that may be used during the Commission's audit to review the committee's receipts, disbursements, loans, debts, obligations, bank reconciliations or statements of net outstanding campaign obligations.
(b)
(c)
26 U.S.C. 9034 and 9039(b).
(a) A candidate who has been notified by the Commission under 11 CFR 9036.1 that he or she has successfully satisfied eligibility and certification requirements is entitled to receive payments under 26 U.S.C. 9037 and 11 CFR part 9037 in an amount equal to the amount of each matchable campaign contribution received by the candidate, except that a candidate who has become ineligible under 11 CFR 9033.5 may not receive further matching payments regardless of the date of deposit of the underlying contributions if he or she has no net outstanding campaign obligations as defined in 11 CFR 9034.5. See also 26 CFR parts 701 and 702 regarding payments by the Department of the Treasury.
(b) If on the date of ineligibility a candidate has net outstanding campaign obligations as defined under 11 CFR 9034.5, that candidate may continue to receive matching payments for matchable contributions received and deposited on or before December 31 of the Presidential election year provided that on the date of payment there are remaining net outstanding campaign obligations, i.e., the sum of the contributions received on or after the date of ineligibility plus matching funds received on or after the date of ineligibility is less than the candidate's net outstanding campaign obligations. This entitlement will be equal to the lesser of:
(1) The amount of contributions submitted for matching; or
(2) The remaining net outstanding campaign obligations.
(c) A candidate whose eligibility has been reestablished under 11 CFR 9033.8 or who after suspension of payments has met the conditions set forth at 11 CFR 9033.9(d) is entitled to receive payments for matchable contributions for which payments were not received during the ineligibility or suspension period.
(d) The total amount of payments to a candidate under this section shall not exceed 50% of the total expenditure limitation applicable under 11 CFR part 9035.
(a) Contributions meeting the following requirements will be considered matchable campaign contributions.
(1) The contribution shall be a gift of money made: By an individual; by a written instrument and for the purpose of influencing the result of a primary election.
(2) Only a maximum of $250 of the aggregate amount contributed by an individual may be matched.
(3) Before a contribution may be submitted for matching, it must actually be received by the candidate or any of the candidate's authorized committees and deposited in a designated campaign depository maintained by the candidate's authorized committee.
(4) The written instrument used in making the contribution must be dated, physically received and deposited by the candidate or authorized committee on or after January l of the year immediately preceding the calendar year of the Presidential election, but no later than December 31 following the matching payment period as defined under 11 CFR 9032.6. Donations received by an individual who is testing the waters pursuant to 11 CFR 100.7(b)(1) and 100.8(b)(1) may be matched when the individual becomes a candidate if such donations meet the requirements of this section.
(b) For purposes of this section, the term
(c) The written instrument shall be: Payable on demand; and to the order of, or specifically endorsed without qualification to, the Presidential candidate, or his or her authorized committee. The written instrument shall contain: The full name and signature of the contributor(s); the amount and date of the contribution; and the mailing address of the contributor(s).
(1) In cases of a check drawn on a joint checking account, the contributor is considered to be the owner whose signature appears on the check.
(i) To be attributed equally to other joint tenants of the account, the check or other accompanying written document shall contain the signature(s) of the joint tenant(s). If a contribution on a joint account is to be attributed other than equally to the joint tenants, the check or other written documentation shall also indicate the amount to be attributed to each joint tenant.
(ii) In the case of a check for a contribution attributed to more than one person, where it is not apparent from the face of the check that each contributor is a joint tenant of the account, a written statement shall accompany the check stating that the contribution was made from each individual's personal funds in the amount so attributed and shall be signed by each contributor.
(iii) In the case of a contribution reattributed to a joint tenant of the account, the reattribution shall comply with the requirements of 11 CFR 110.1(k) and the documentation described in 11 CFR 110.1 (1), (3), (5) and (6) shall accompany the reattributed contribution.
(2) Contributions in the form of checks drawn on an escrow or trust account are matchable contributions, provided that:
(i) The contributor has equitable ownership of the account; and
(ii) The check is accompanied by a statement, signed by each contributor to whom all or a portion of the contribution is being attributed, together with the check number, amount and date of contribution. This statement shall specify that the contributor has equitable ownership of the account and the account represents the personal funds of the contributor.
(3) Contributions in the form of checks written on partnership accounts or accounts of unincorporated associations or businesses are matchable contributions, so long as:
(i) The check is accompanied by a statement, signed by each contributor to whom all or a portion of the contribution is being attributed, together with the check number, amount and date of contribution. This statement shall specify that the contribution is made with the contributor's personal funds and that the account on which the contribution is drawn is not maintained or controlled by an incorporated entity; and
(ii) The aggregate amount of the contributions drawn on a partnership or unincorporated association or business does not exceed $1,000 to any one Presidential candidate seeking nomination.
(4) Contributions in the form of money orders, cashier's checks, or other similar negotiable instruments are matchable contributions, provided that:
(i) At the time it is initially submitted for matching, such instrument is
(ii) Such statement identifies the date and amount of the contribution made by money order, cashier's check, traveler's check, or other similar negotiable instrument, the check or serial number, and the name of the issuer of the negotiable instrument; and
(iii) Such statement is signed by each contributor.
(5) Contributions in the form of the purchase price paid for the admission to any activity that primarily confers private benefits in the form of entertainment to the contributor (i.e., concerts, motion pictures) are matchable. The promotional material and tickets for the event shall clearly indicate that the ticket purchase price represents a contribution to the Presidential candidate.
(6) Contributions in the form of a purchase price paid for admission to an activity that is essentially political are matchable. An “essentially political” activity is one the principal purpose of which is political speech or discussion, such as the traditional political dinner or reception.
(7) Contributions received from a joint fundraising activity conducted in accordance with 11 CFR 9034.8 are matchable, provided that such contributions are accompanied by a copy of the joint fundraising agreement when they are submitted for matching.
A contribution to a candidate other than one which meets the requirements of 11 CFR 9034.2 is not matchable. Contributions which are not matchable include, for example:
(a) In-kind contributions of real or personal property;
(b) A subscription, loan, advance, or deposit of money, or anything of value;
(c) A contract, promise, or agreement, whether or not legally enforceable, such as a pledge card or credit card transaction, to make a contribution for any such purposes (but a gift of money by written instrument is not rendered unmatchable solely because the contribution was preceded by a promise or pledge);
(d) Funds from a corporation, labor organization, government contractor, political committee as defined in 11 CFR 100.5 or any group of persons other than those under 11 CFR 9034.2(c)(3);
(e) Contributions which are made or accepted in violation of 2 U.S.C. 441a, 441b, 441c, 441e, 441f, or 441g;
(f) Contributions in the form of a check drawn on the account of a committee, corporation, union or government contractor even though the funds represent personal funds earmarked by a contributing individual to a Presidential candidate;
(g) Contributions in the form of the purchase price paid for an item with significant intrinsic and enduring value, such as a watch;
(h) Contributions in the form of the purchase price paid for or other otherwise induced by a chance to participate in a raffle, lottery, or a similar drawing for valuable prizes;
(i) Contributions which are made by persons without the necessary donative intent to make a gift or made for any purpose other than to influence the result of a primary election;
(j) Contributions of currency of the United States or currency of any foreign country; and
(k) Contributions redesignated for a different election or redesignated for a legal and accounting compliance fund pursuant to 11 CFR 9003.3.
(a)
(2)
(3)
(ii) If the candidate continues to campaign after becoming ineligible due to the operation of 11 CFR 9033.5(b), the candidate may only receive matching funds based on net outstanding campaign obligations as of the candidate's date of ineligibility. The statement of net outstanding campaign obligations shall only include costs incurred before the candidate's date of ineligibility for goods and services to be received before the date of ineligibility and for which written arrangement or commitment was made on or before the candidate's date of ineligibility, and shall not include winding down costs until the date on which the candidate qualifies to receive winding down costs under paragraph (a)(3)(i) of this section.
(iii) For purposes of the expenditure limitations set forth in 11 CFR 9035.1, 100% of salary, overhead and computer expenses incurred after a candidate's date of ineligibility may be treated as exempt legal and accounting compliance expenses beginning with the first full reporting period after the candidate's date of ineligibility. For candidates who continue to campaign or re-establish eligibility, this paragraph shall not apply to expenses incurred during the period between the date of ineligibility and the date on which the candidate either re-establishes eligibility or ceases to continue to campaign.
(4)
(5)
(i) Gifts for committee employees, consultants and volunteers in recognition for campaign-related activities or services do not exceed $150 total per individual and the total of all gifts does not exceed $20,000; and
(ii) All monetary bonuses for committee employees and consultants in recognition for campaign-related activities or services:
(A) Are provided for pursuant to a written contract made prior to the date of ineligibility; and
(B) Are paid no later than thirty days after the date of ineligibility.
(b)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(c) [Reserved]
(d)
(2)
(e)
(1)
(2)
(3)
(4)
(5)
(6)
(ii)
(7)
(a) Within 15 calendar days after the candidate's date of ineligibility, as determined under 11 CFR 9033.5, the candidate shall submit a statement of net outstanding campaign obligations. The candidate's net outstanding campaign obligations under this section equal the difference between paragraphs (a) (1) and (2) of this section:
(1) The total of all outstanding obligations for qualified campaign expenses as of the candidate's date of ineligibility as determined under 11 CFR 9033.5, plus estimated necessary winding down costs as defined under 11 CFR 9034.4(a)(3), less
(2) The total of:
(i) Cash on hand as of the close of business on the last day of eligibility (including all contributions dated on or before that date whether or not submitted for matching; currency; balances on deposit in banks; savings and loan institutions; and other depository institutions; traveler's checks; certificates of deposit; treasury bills; and any
(ii) The fair market value of capital assets and other assets on hand; and
(iii) Amounts owed to the committee in the form of credits, refunds of deposits, returns, receivables, or rebates of qualified campaign expenses; or a commercially reasonable amount based on the collectibility of those credits, returns, receivables or rebates.
(b)
(2) The amount submitted as estimated necessary winding down costs under paragraph (a)(1) of this section shall be broken down by expense category and quarterly or monthly time period. This breakdown shall include estimated costs for office space rental, staff salaries, legal expenses, accounting expenses, office supplies, equipment rental, telephone expenses, postage and other mailing costs, printing and storage. The breakdown shall estimate the costs that will be incurred in each category from the time the statement is submitted until the expected termination of the committee's political activity.
(c)(1)
(2)
(d)
(e) Contributions received from joint fundraising activities conducted under 11 CFR 9034.8 may be used to pay a candidate's outstanding campaign obligations.
(1) Such contributions shall be deemed monies available to pay outstanding campaign obligations as of the date these funds are received by the fundraising representative committee and shall be included in the candidate's statement of net outstanding campaign obligations.
(2) The amount of money deemed available to pay a candidate's net outstanding campaign obligations will equal either—
(i) An amount calculated on the basis of the predetermined allocation formula, as adjusted for 2 U.S.C. 441a limitations; or
(ii) If a candidate receives an amount greater than that calculated under 11
(f)(1) With each submission for matching fund payments filed after the candidate's date of ineligibility, the candidate shall certify that, as of the close of business on the last business day preceding the date of submission for matching funds, his or her remaining net outstanding campaign obligations equal or exceed the amount submitted for matching.
(2) A candidate who makes a submission for matching fund payments after his or her date of ineligibility shall also submit a revised statement of net outstanding campaign obligations. This revised statement shall be due before the next regularly scheduled payment date, on a date to be determined and published by the Commission. This statement shall reflect the financial status of the campaign as of the close of business three business days before the due date of the statement. The revised statement shall also contain a brief explanation of each change in the committee's assets and obligations from the previous statement.
(3) After a candidate's date of ineligibility, if the candidate does not receive the entire amount of matching funds on a regularly scheduled payment date due to a shortfall in the matching payment account, the candidate shall also submit a revised statement of net outstanding campaign obligations. The revised statement shall be filed on a date to be determined and published by the commission, which will be before the next regularly scheduled payment date.
(g) (1) If the Commission receives information indicating that substantial assets of the candidate's authorized committee(s) have been undervalued or not included in the statement or that the amount of outstanding campaign obligations has been otherwise overstated in relation to committee assets, the Commission may decide to temporarily suspend further matching payments pending a final determination whether the candidate is entitled to receive all or a portion of the matching funds requested.
(2) In making a determination under 11 CFR 9034.5(g)(1), the Commission will follow the procedures for initial and final determinations under 11 CFR 9033.10 (b) and (c). The Commission will notify the candidate of its initial determination within 15 business days after receipt of the candidate's statement of net outstanding campaign obligations. Within 15 business days after service of the Commission's notice, the candidate may submit written legal or factual materials to demonstrate that he or she has net outstanding campaign obligations that entitle the campaign to further matching payments.
(3) If the candidate demonstrates that the amount of outstanding campaign obligations still exceeds committee assets, he or she may continue to receive matching payments.
(4) Following a final determination under this section, the candidate may file a petition for rehearing in accordance with 11 CFR 9038.5(a).
(a)
(2) Subject to the limitations in paragraphs (b) and (c) of this section, committees may seek reimbursement for these expenses, and may deduct reimbursements received from media representatives from the amount of expenditures subject to the overall expenditure limitation of 11 CFR 9035.1(a). Expenses for which the committee receives no reimbursement will be considered qualified campaign expenses, and, with the exception of those expenses relating to Secret Service personnel and national security
(b)
(2) For the purposes of this section, a media representative's pro rata share shall be calculated by dividing the total actual cost of the transportation and services provided by the total number of individuals to whom such transportation and services are made available. For purposes of this calculation, the total number of individuals shall include committee staff, media personnel, Secret Service personnel, national security staff and any other individuals to whom such transportation and services are made available, except that, when seeking reimbursement for transportation costs paid by the committee under 11 CFR 9034.7(b)(5)(i)(C), the total number of individuals shall not include national security staff.
(c)
(i) The amount of reimbursements received from media representatives in payment for the transportation and services described in paragraph (a) of this section, up to the actual cost of the transportation and services provided to media representatives; and
(ii) An additional amount of the reimbursements received from media representatives, representing the administrative costs incurred by the committee in providing these services to the media representatives and seeking reimbursement for them, equal to:
(A) Three percent of the actual cost of transportation and services provided to the media representatives under this section; or
(B) An amount in excess of 3% representing the administrative costs actually incurred by the committee in providing services to the media representatives, provided that the committee is able to document the total amount of administrative costs actually incurred.
(2) For the purposes of this paragraph, “administrative costs” includes all costs incurred by the committee in making travel arrangements and seeking reimbursement, whether these services are performed by committee staff or by independent contractors.
(d)
(1) Any reimbursement received in excess of 110% of the actual pro rata cost of the transportation and services made available to a media representative shall be returned to the media representative.
(2) Any amount in excess of the amount deductible under paragraph (c) of this section that is not required to be returned to the media representative under paragraph (d)(1) of this section shall be paid to the Treasury.
(e)
(a) Notwithstanding the provisions of 11 CFR 106.3, expenditures for travel relating to the campaign of a candidate seeking nomination for election to the office of President by any individual, including a candidate, shall, pursuant to the provisions of paragraph (b) of
(b)(1) For a trip which is entirely campaign-related, the total cost of the trip shall be a qualified campaign expense and a reportable expenditure.
(2) For a trip which includes campaign-related and non-campaign related stops, that portion of the cost of the trip allocable to campaign activity shall be a qualified campaign expense and a reportable expenditure. Such portion shall be determined by calculating what the trip would have cost from the point of origin of the trip to the first campaign-related stop and from that stop through each subsequent campaign-related stop, back to the point of origin. If any campaign activity, other than incidental contacts, is conducted at a stop, that stop shall be considered campaign-related. Campaign activity includes soliciting, making, or accepting contributions, and expressly advocating the election or defeat of the candidate. Other factors, including the setting, timing and statements or expressions of the purpose of an event and the substance of the remarks or speech made, will also be considered in determining whether a stop is campaign-related.
(3) For each trip, an itinerary shall be prepared and such itinerary shall be made available by the committee for Commission inspection. The itinerary shall show the time of arrival and departure and the type of event held.
(4) For trips by government conveyance or by charter, a list of all passengers on such trip, along with a designation of which passengers are and which are not campaign-related, shall be made available for Commission inspection. When required to be created, a copy of the government's or the charter company's official manifest shall also be maintained and made available by the committee.
(5)(i) If any individual, including a candidate, uses a government airplane for campaign-related travel, the candidate's authorized committee shall pay the appropriate government entity an amount equal to:
(A) The lowest unrestricted and non-discounted first class commercial air fare available for the time traveled, in the case of travel to a city served by a regularly scheduled commercial airline service; or
(B) The lowest unrestricted and non-discounted coach commercial air fare available for the time traveled, in the case of travel to a city served by regularly scheduled coach airline service, but not regularly scheduled first class airline service; or
(C) In the case of travel to a city not served by a regularly scheduled commercial airline service, the commercial charter rate for an airplane sufficient in size to accommodate the campaign-related travelers, including the candidate, plus the news media and the Secret Service.
(ii) If a government airplane is flown to a campaign-related stop where it will pick up passengers, or from a campaign-related stop where it left off passengers, the candidate's authorized committee shall pay the appropriate government entity an amount equal to the greater of the amount billed or the amount required under paragraph (b)(5)(i) of this section for one passenger.
(iii) If any individual, including a candidate, uses a government conveyance, other than an airplane, for campaign-related travel, the candidate's authorized committee shall pay the appropriate government entity an amount equal to the commercial rental rate for a conveyance sufficient in size to accommodate the campaign-related travelers, including the candidate, plus the news media and the Secret Service.
(iv) If any individual, including a candidate, uses accommodations, including lodging and meeting rooms, during campaign-related travel, and the accommodations are paid for by a government entity, the candidate's authorized committee shall pay the appropriate government entity an amount equal to the usual and normal charge for the accommodations, and shall maintain documentation supporting the amount paid.
(v) For travel by airplane, the committee shall maintain documentation of the lowest unrestricted nondiscounted air fare available for the time traveled, including the airline, the
(6) Travel expenses of a candidate's spouse and family when accompanying the candidate on campaign-related travel may be treated as qualified campaign expenses and reportable expenditures. If the spouse or family members conduct campaign-related activities, their travel expenses will be treated as qualified campaign expenses and reportable expenditures.
(7) If any individual, including a candidate, incurs expenses for campaign-related travel, other than by use of government conveyance or accommodations, an amount equal to that portion of the actual cost of the conveyance or accommodations which is allocable to all passengers, including the candidate, who are traveling for campaign purposes will be a qualified campaign expense and shall be reported by the committee as an expenditure.
(i) If the trip is by charter, the actual cost for each passenger shall be determined by dividing the total operating cost for the charter by the total number of passengers transported. The amount which is a qualified campaign expense and a reportable expenditure shall be calculated in accordance with the formula set forth at 11 CFR 9034.7(b)(2) on the basis of the actual cost per passenger multiplied by the number of passengers traveling for campaign purposes.
(ii) If the trips is by non-charter commercial transportation, the actual cost shall be calculated in accordance with the formula set forth at 11 CFR 9034.7(b)(2) on the basis of the commercial fare. Such actual cost shall be a qualified campaign expense and a reportable expenditure.
(8) Travel on corporate airplanes and other corporate conveyances is governed by 11 CFR 114.9(e).
(a)
(2)
(i) Submitted for matching purposes in accordance with the requirements of 11 CFR 9034.2 and the Federal Election Commission's Guideline for Presentation in Good Order;
(ii) Used to pay a candidate's net outstanding campaign obligations as provided in 11 CFR 9034.5;
(iii) Used to defray qualified campaign expenses;
(iv) Used to defray exempt legal and accounting costs; or
(v) If in excess of a candidate's net outstanding campaign obligations or expenditure limit, used in any manner consistent with 11 CFR 113.2, including repayment of funds under 11 CFR part 9038.
(b)
(2)
(i) Be established as a reporting political committee under 11 CFR 100.5;
(ii) Collect contributions;
(iii) Pay fundraising costs from gross proceeds and funds advanced by participants; and
(iv) Disburse net proceeds to each participant.
(3)
(i) Be a political committee as defined in 11 CFR 100.5;
(ii) Collect contributions; however, other participants may also collect contributions and then forward them to the fundraising representative as required by 11 CFR 102.8;
(iii) Pay fundraising costs from gross proceeds and funds advanced by participants; and
(iv) Disburse net proceeds to each participant.
(4)
(c)
(1)
(2)
(ii) A participant may advance more than its proportionate share of the fundraising costs; however, the amount advanced which is in excess of the participant's proportionate share shall not exceed the amount that participant could legally contribute to the remaining participants. See 11 CFR 102.12(c)(2), part 110, and 9034.4(b)(6).
(3)
(i) This notice shall include the following information:
(A) The names of all committees participating in the joint fundraising activity whether or not such committees are political committees under 11 CFR 100.5;
(B) The allocation formula to be used for distributing joint fundraising proceeds;
(C) A statement informing contributors that, notwithstanding the stated allocation formula, they may designate their contributions for a particular participant or participants; and
(D) A statement informing contributors that the allocation formula may change if a contributor makes a contribution which would exceed the amount that contributor may give to any participant.
(ii) If one or more participants engage in the joint fundraising activity solely to satisfy outstanding debts, the notice shall also contain a statement informing contributors that the allocation formula may change if a participant receives sufficient funds to pay its outstanding debts.
(4)
(ii) The fundraising representative shall deposit all joint fundraising proceeds in the separate depository account within ten days of receipt as required by 11 CFR 103.3. The fundraising representative may delay distribution of the fundraising proceeds to the participants until all contributions are received and all expenses are paid.
(iii) For contribution reporting and limitation purposes, the date of receipt of a contribution by a participating political committee is the date that the contribution is received by the fundraising representative. The fundraising representative shall report contributions in the reporting period in which they are received. Participating political committees shall report joint fundraising proceeds in accordance with 11 CFR 9034.8(c)(9) when such funds are received from the fundraising representative.
(5)
(ii) The fundraising representative shall collect and retain contributor information with regard to gross proceeds as required under 11 CFR 102.8 and shall also forward such information to participating political committees.
(iii) The fundraising representative shall retain the records required under 11 CFR 9033.11 regarding fundraising disbursements for a period of three years. Commercial fundraising firms or agents shall forward such information to the fundraising representative.
(6)
(7)
(ii) If distribution according to the allocation formula extinguishes the debts of one or more participants or if distribution under the formula results in a violation of the contribution limits of 11 CFR 110.1(b), the fundraising representative may reallocate the surplus funds. The fundraising representative shall not reallocate funds so as to allow candidates seeking to extinguish outstanding debts to rely on the receipt of matching funds to pay the remainder of their debts; rather, all funds to which a participant is entitled under the allocation formula shall be deemed funds available to pay the candidate's outstanding campaign obligations as provided in 11 CFR 9034.5(c).
(iii) Reallocation shall be based upon the remaining participant's proportionate shares under the allocation formula. If reallocation results in a violation of a contributor's limit under 11 CFR 110.1, the fundraising representative shall return to the contributor the amount of the contribution that exceeds the limit.
(iv) Earmarked contributions which exceed the contributor's limit to the designated participant under 11 CFR part 110 may not be reallocated by the fundraising representative without the prior written permission of the contributor. A written instrument made payable to one of the participants shall be considered an earmarked contribution unless a written statement by the contributor indicates that it is intended for inclusion in the general proceeds of the fundraising activity.
(8)
(A) After gross contributions are allocated among the participants under 11 CFR 9034.8(c)(7), the fundraising representative shall calculate each participant's share of expenses based on the percentage of the total receipts each participant had been allocated. To calculate each participant's net proceeds, the fundraising representative shall subtract the participant's share of expenses from the amount that participant has been allocated from gross proceeds.
(B) A participant may only pay expenses on behalf of another participant subject to the contribution limits of 11 CFR part 110. See also 11 CFR 9034.4(b)(6).
(C) The expenses from a series of fundraising events or activities shall be allocated among the participants on a per-event basis regardless of whether the participants change or remain the same throughout the series.
(ii) If participating committees are affiliated as defined in 11 CFR 110.3 prior to the joint fundraising activity or if participants are party committees of the same political party, expenses need not be allocated among those participants. Payment of such expenses by an unregistered committee or organization on behalf of an affiliated political committee may cause the unregistered organization to become a political committee.
(iii) Payment of expenses may be made from gross proceeds by the fundraising representative.
(9)
(B) After distribution of net proceeds, each participating political committee shall report its share of net proceeds received as a transfer-in from the fundraising representative. Each participating political committee shall also file a memo Schedule A itemizing its share of gross receipts as contributions from original contributors to the extent required under 11 CFR 104.3(a).
(ii)
(a)
(b)
26 U.S.C. 9035 and 9039(b).
(a)(1) No candidate or his or her authorized committee(s) shall knowingly incur expenditures in connection with
(2) The Commission will calculate the amount of expenditures attributable to the overall expenditure limit or to a particular state using the full amounts originally charged for goods and services rendered to the committee and not the amounts for which such obligations were settled and paid, unless the committee can demonstrate that the lower amount paid reflects a reasonable settlement of a bona fide dispute with the creditor.
(b) Each candidate receiving or expecting to receive matching funds under this subchapter shall also allocate his or her expenditures in accordance with the provisions of 11 CFR 106.2.
(c)(1) A candidate may exclude from the overall expenditure limitation of 11 CFR 9035.1 an amount equal to 10% of all salaries and overhead expenditures as an exempt legal and accounting compliance cost under 11 CFR 100.8(b)(15). For purposes of this section overhead expenditures include, but are not limited to rent, utilities, office equipment, furniture, supplies, and telephone base service charges as set forth at 11 CFR 106.2(b)(2)(iii)(A).
(i) If the candidate wishes to claim a larger compliance exemption for any person, the candidate shall establish allocation percentages for each individual who spends all or a portion of his or her time to perform duties which are considered compliance. The candidate shall keep detailed records to support the derivation of each percentage. Such records shall indicate which duties are considered compliance and the percentage of time each person spends on such activity. Alternatively, the Commission's Financial Control and Compliance Manual for Presidential Primary Candidates contains some other accepted allocation methods for calculating a compliance exemption.
(ii) Exempt compliance costs are those legal and accounting costs incurred solely to ensure compliance with 26 U.S.C. 9031
(2) A candidate may exclude from the overall expenditure limitation of 11 CFR 9035.1 the amount of exempt fundraising costs specified in 11 CFR 100.8(b)(21)(iii).
(d) The expenditure limitations of 11 CFR 9035.1 shall not apply to a candidate who does not receive matching funds at any time during the matching payment period.
(a)(1) No candidate who has accepted matching funds shall knowingly make expenditures from his or her personal funds, or funds of his or her immediate family, in connection with his or her campaign for nomination for election to the office of President which exceed $50,000, in the aggregate. This section shall not operate to prohibit any member of the candidate's immediate family from contributing his or her personal funds to the candidate, subject to
(2) Expenditures made using a credit card for which the candidate is jointly or solely liable will count against the limits of this section to the extent that the full amount due, including any finance charge, is not paid by the committee within 60 days after the closing date of the billing statement on which the charges first appear. For purposes of this section, the
(b) For purposes of this section, the term
(c) For purposes of this section,
26 U.S.C. 9036 and 9039(b).
(a)
(b)
(i) Each contributor's full name and residential address;
(ii) The occupation and name of employer for individuals whose aggregate contributions exceed $200 in the calendar year;
(iii) The date of deposit of each contribution into the designated campaign depository;
(iv) The full dollar amount of each contribution submitted for matching purposes;
(v) The matchable portion of each contribution submitted for matching purposes;
(vi) The aggregate amount of all matchable contributions from that contributor submitted for matching purposes;
(vii) A notation indicating which contributions were received as a result of joint fundraising activities.
(2) For each list of contributors generated directly or indirectly from computerized files or computerized records, the candidate shall submit computerized magnetic media, such as magnetic tapes or magnetic diskettes, containing the information required by 11 CFR 9036.1(b)(1) in accordance with 11 CFR 9033.12.
(3) The candidate shall submit a full-size photocopy of each check or written instrument and of supporting documentation in accordance with 11 CFR 9034.2 for each contribution that the candidate submits to establish eligibility for matching funds. For purposes of the threshold submission, the photocopies shall be segregated alphabetically by contributor within each State,
(4) The candidate shall submit bank documentation, such as bank-validated deposit slips or unvalidated deposit slips accompanied by the relevant bank statements, which indicate that the contributions submitted were deposited into a designated campaign depository.
(5) For each State in which the candidate certifies that he or she has met the requirements to establish eligibility, the candidate shall submit a listing, alphabetically by contributor, of all checks returned by the bank to date as unpaid (e.g., stop payments, non-sufficient funds) regardless of whether the contribution was submitted for matching. This listing shall be accompanied by a full-size photocopy of each unpaid check, and copies of the associated debit memo and bank statement.
(6) For each State in which the candidate certifies that he or she has met the requirements to establish eligibility, the candidate shall submit a listing, in alphabetical order by contributor, of all contributions that were refunded to the contributor, regardless of whether the contributions were submitted for matching. For each refunded contribution, the listing shall state the contributor's full name and address, the deposit date and batch number, an indication of which matching fund submission the contribution was included in, if any, and the amount and date of the refund. The listing shall be accompanied by a full-sized photocopy of each refunded contributor check.
(7) The candidate shall submit all contributions in accordance with the Federal Election Commission's Guideline for Presentation in Good Order.
(8) Contributions that are not submitted in compliance with this section shall not count toward the threshold amount.
(c)
(2) If the Commission makes a determination of a candidate's eligibility under 11 CFR 9036.1(a) in a Presidential election year, the Commission shall certify to the Secretary, within 10 calendar days after the Commission has made its determination, the amount to which the candidate is entitled.
(3) If the Commission makes a determination of a candidate's eligibility under 11 CFR 9036.1(a) in the year preceding the Presidential election year, the Commission will notify the candidate that he or she is eligible to receive matching fund payments; however, the Commission's determination will not result in a payment of funds to the candidate until after January 1 of the Presidential election year.
(a)
(b)
(1) The first submission for matching funds following the candidate's threshold submission shall contain all the matchable contributions included in the threshold submission and any additional contributions to be submitted for matching in that submission. This
(i) The candidate is not required to resubmit the candidate agreement and certifications of 11 CFR 9033.1 and 9033.2;
(ii) The candidate is required to submit an alphabetical list of contributors (either solely in magnetic media from or in both printed and magnetic media forms), but not segregated by State as required in the threshold submission;
(iii) The candidate is required to submit a listing, alphabetical by contributor, of all checks returned unpaid, but not segregated by State as required in the threshold submission;
(iv) The candidate is required to submit a listing, in alphabetical order by contributor, of all contributions refunded to the contributor but not segregated by State as required in the threshold submission.
(v) The occupation and employer's name need not be disclosed on the contributor list for individuals whose aggregate contributions exceed $200 in the calendar year, but such information is subject to the recordkeeping and reporting requirements of 2 U.S.C. 432(c)(3), 434(b)(3)(A) and 11 CFR 102.9(a)(2), 104.3(a)(4)(i); and
(vi) The photocopies of each check or written instrument and of supporting documentation shall either be alphabetized and referenced to copies of the relevant deposit slip, but not segregated by State as required in the threshold submission; or such photocopies may be batched in deposits of 50 contributions or less and cross-referenced by deposit number and sequence number within each deposit on the contributor list. In lieu of submitting photocopies, the candidate may submit digital images of checks, written instruments and deposit slips as specified in the Computerized Magnetic Media Requirements. The candidate shall provide the computer equipment and software needed to retrieve and read the digital images, if necessary, at no cost to the Commission, and shall include digital images of every contribution received and imaged on or after the date of the previous matching fund request. Contributions and other documentation not imaged shall be submitted in photocopy form.
(2) Following the first submission under 11 CFR 9036.2(b)(1), candidates may request additional matching funds on dates prescribed by the Commission by making a full submission as required under 11 CFR 9036.2(b)(1). The amount requested for matching may include contributions received up to the last business day preceding the date of the request.
(c)
(d)
(2) After a candidate's date of ineligibility, the Commission will review each additional submission and resubmission, and will certify to the Secretary, at least once a month on dates to be determined and published by the Commission, an amount to which the ineligible candidate is entitled in accordance with 11 CFR 9034.1(b), unless the projected dollar value of the nonmatchable contributions contained in
Contributions which are otherwise matchable may be rejected for matching purposes because of submission errors or insufficient supporting documentation. Contributions, other than those defined in 11 CFR 9034.3 or in the form of money orders, cashier's checks, or similar negotiable instruments, may become matchable if there is a proper resubmission in accordance with 11 CFR 9036.5 and 9036.6. Insufficient documentation or submission errors include but are not limited to:
(a) Discrepancies in the written instrument, such as:
(1) Instruments drawn on other than personal accounts of contributors and not signed by the contributing individual;
(2) Signature discrepancies; and
(3) Lack of the contributor's signature, the amount or date of the contribution, or the listing of the committee or candidate as payee.
(b) Discrepancies between listed contributions and the written instrument or supporting documentation, such as:
(1) The listed amount requested for matching exceeds the amount contained on the written instrument;
(2) A written instrument has not been submitted to support a listed contribution;
(3) The submitted written instrument cannot be associated either by accountholder identification or signature with the listed contributor; or
(4) A discrepancy between the listed contribution and the supporting bank documentation or the bank documentation is omitted.
(c) Discrepancies within or between contributor lists submitted, such as:
(1) The address of the contributor is omitted or incomplete or the contributor's name is alphabetized incorrectly, or more than one contributor is listed per item;
(2) A discrepancy in aggregation within or between submissions which results in a request that more than $250 be matched for that contributor, or a listing of a contributor more than once within the same submission; or
(3) A written instrument has been previously submitted and matched in full or is listed twice in the same submission.
(d) The omission of information, supporting statements, or documentation required by 11 CFR 9034.2.
(a)
(2) For submissions made in the year before the Presidential election year (other than submissions made on the last submission date in that year), and submissions made after the candidate's date of ineligibility, the Commission will stop reviewing the submission once the projected dollar value of nonmatchable contributions exceeds 15% of the amount requested, as provided in 11 CFR 9036.2 (c) or (d), as applicable.
(3) Under either paragraphs (a)(1) or (a)(2) of this section, the Commission will return the submission to the candidate and request that it be corrected
(b)
(1) The amount of the difference between the amount requested and the amount to be certified by the Commission;
(2) The amount of each contribution and the corresponding contributor's name for each contribution that the Commission has rejected as nonmatchable and the reason that it is not matchable; or if statistical sampling is used, the estimated amount of contributions by type and the reason for rejection;
(3) The amount of contributions that have been determined to be matchable and that the Commission will certify to the Secretary for payment; and
(4) A statement that the candidate may supply the Commission with additional documentation or other information in the resubmission of any rejected contribution under 11 CFR 9036.5 in order to show that a rejected contribution is matchable under 11 CFR 9034.2.
(c)
(2) After the candidate's date of ineligibility, if the candidate does not receive the entire amount of matching funds on a regularly scheduled payment date due to a shortfall in the matching payment account, prior to each subsequent payment date on which the candidate receives payments from any previous certification, the Commission may revise the amount previously certified for payment pursuant to 11 CFR 9034.5(f). The Commission will promptly notify the Secretary and the candidate of any revision to the amount certified.
(d)
(a)
(1) Resubmit the entire submission; or
(2) Make a written request for the identification of the specific contributions that were rejected for matching, and resubmit those specific contributions.
(b)
(c)
(1) The candidate need not provide photocopies of written instruments, supporting documentation and bank documentation unless it is necessary to supplement the original documentation.
(2) Each resubmitted contribution shall be referenced to the submission in which it was first presented.
(3) Each list of resubmitted contributions shall reflect the aggregate amount of contributions submitted for matching from each contributor as of the date of the original submission.
(4) Each list of resubmitted contributions shall reflect the aggregate amount of contributions submitted for matching from each contributor as of the date of the resubmission.
(5) Each list of resubmitted contributions shall only contain contributions previously submitted for matching and no new or additional contributions.
(6) Each resubmission shall be accompanied by a statement that the candidate has corrected his or her contributor records (including the data base for those candidates maintaining their contributor list on computer).
(d)
(e)
(f)
Candidates who have received matching funds and who are eligible to continue to receive such funds may continue to submit additional submissions for payment to the Commission on dates specified in the Federal Election Commission's Guideline for Presentation in Good Order. The last date for first-time submissions will be the first Monday in March of the year following the election. No contribution will be matched if it is submitted after the last submission date, regardless of the date the contribution was deposited.
26 U.S.C. 9037 and 9039(b).
Upon receipt of a written certification from the Commission, but not before the beginning of the matching payment period, the Secretary will promptly transfer the amount certified from the matching payment account to the candidate. A matching fund certification may not result in full payment by the Secretary in the case of a shortfall in the matching payment account. See 26 CFR 702.9037-1 and 702.9037-2.
In making such transfers to candidates of the same political party, the Secretary will seek to achieve an equitable distribution of funds available in the matching payment account, and the Secretary will take into account, in seeking to achieve an equitable distribution of funds available in the matching payment account, the sequence in which such certifications are received. See 26 CFR 702.9037-2(c) regarding partial payments to candidates in the case of a shortfall in the matching payment account.
Upon receipt of any matching funds, the candidate shall deposit the full amount received into a checking account maintained by the candidate's principal campaign committee in the depository designated by the candidate. The account(s) shall be maintained at a State bank, federally chartered depository institution or other depository institution, the deposits of which are insured by the Federal Deposit Insurance Corporation.
If the authorized committee(s) of a candidate file a schedule of itemized receipts, disbursements, or debts and obligations pursuant to 11 CFR 104.3 that was generated directly or indirectly from computerized files or records, the schedule shall list in alphabetical order the sources of the receipts, the payees or the creditors, as appropriate. In the case of individuals, such schedule shall list all contributors, payees, and creditors in alphabetical order by surname.
26 U.S.C. 9038 and 9039(b).
(a)
(2) In addition, the Commission may conduct other examinations and audits from time to time as it deems necessary to carry out the provisions of this subchapter.
(3) Information obtained pursuant to any audit and examination conducted under 11 CFR 9038.1(a) (1) and (2) may be used by the Commission as the basis, or partial basis, for its repayment determinations under 11 CFR 9038.2.
(b)
(i)
(ii)
(iii)
(iv) If, in the course of the audit process, a dispute arises over the documentation sought or other requirements of the candidate agreement, the candidate may seek review by the Commission of the issues raised. To
(v) If the candidate or his or her authorized committee fails to produce particular records, materials, evidence or other information requested by the Commission, the Commission may issue an order pursuant to 2 U.S.C. 437d(a)(1) or a subpoena or subpoena duces tecum pursuant to 2 U.S.C. 437(d)(a)(3). The procedures set forth in 11 CFR 111.11 through 111.15, as appropriate, shall apply to the production of such records, materials, evidence or other information as specified in the order, subpoena or subpoena duces tecum.
(2) Fieldwork will include the following steps designed to keep the candidate and committee informed as to the progress of the audit and to expedite the process:
(i)
(ii)
(iii)
(3) Commission staff may conduct additional fieldwork after the completion of the fieldwork conducted pursuant to 11 CFR 9038.1(b) (1) and (2). Factors that may necessitate such follow-up fieldwork include, but are not limited to, the following:
(i) Committee responses to audit findings;
(ii) Financial activity of the committee subsequent to the fieldwork conducted pursuant to 11 CFR 9038.1(b)(1);
(iii) Committee responses to Commission repayment determinations made under 11 CFR 9038.2.
(4) The Commission will notify the candidate and his or her authorized committee if follow-up fieldwork is necessary. The provisions of 11 CFR 9038.1(b) (1) and (2) shall apply to any additional fieldwork conducted.
(c)
(d)
(2) The audit report may contain issues that warrant referral to the Office of General Counsel for possible enforcement proceedings under 2 U.S.C. 437g and 11 CFR part 111.
(3) Addenda to the audit report may be approved and issued by the Commission from time to time as circumstances warrant and as additional information becomes available. Such addenda may be based on follow-up fieldwork conducted under paragraph (b)(3) of this section, and/or information ascertained by the Commission in the normal course of carrying out its supervisory responsibilities. The procedures set forth in paragraphs (c) and (d) (1) and (2) of this section will be followed in preparing such addenda. The addenda will be placed on the public record as set forth in paragraph (e) of this section. Such addenda may also include additional repayment determination(s).
(e)
(2) Following Commission approval of the audit report, the report will be forwarded to the committee and released to the public. The Commission will provide the candidate and committee with copies of the audit report approved by the Commission 24 hours before releasing the report to the public.
(f)(1)
(2) A committee in responding to a sample-based finding concerning excessive or prohibited contributions shall respond only to the specific sample items used to make the projection. If the committee demonstrates that any apparent errors found among the sample items were not errors, the Commission shall make a new projection based on the reduced number of errors in the sample.
(3) Within 30 days of service of the Final Audit Report, the committee shall submit a check to the United States Treasury for the total amount of any excessive or prohibited contributions not refunded, reattributed or redesignated in a timely manner in accordance with 11 CFR 103.3(b) (1), (2) or (3); or take any other action required by the Commission with respect to sample-based findings.
(a)
(2) The Commission will notify the candidate of any repayment determinations made under this section as soon as possible, but not later than 3 years after the close of the matching payment period. The Commission's issuance of the audit report to the candidate under 11 CFR 9038.1(d) will constitute notification for purposes of this section.
(3) Once the candidate receives notice of the Commission's repayment determination under this section, the candidate should give preference to the repayment over all other outstanding obligations of his or her committee, except for any federal taxes owned by the committee.
(4) Repayments may be made only from the following sources: personal funds of the candidate (without regard to the limitations of 11 CFR 9035.2), contributions and federal funds in the committee's account(s), and any additional funds raised subject to the limitations and prohibitions of the Federal Election Campaign Act of 1971, as amended.
(b)
(i) Payments made to the candidate after the candidate's date of ineligibility where it is later determined that the candidate had no net outstanding campaign obligations as defined in 11 CFR 9034.5;
(ii) Payments or portions of payments made to the candidate which are later determined to have been excessive due to the operation of the Commission's expedited payment procedures as set forth in the Federal Election Commission's Guideline for Presentation in Good Order;
(iii) Payments or portions of payments made on the basis of matched contributions later determined to have been non-matchable;
(iv) Payments or portions of payments made to the candidate which are later determined to have been excessive due to the candidate's failure to include funds received by a fundraising representative committee under 11 CFR 9034.8 on the candidate's statement of net outstanding campaign obligations under 11 CFR 9034.5; and
(v) Payments or portions of payments made to the candidate on the basis of the debts reflected in the candidate's statement of net outstanding campaign obligations, which debts are later settled for an amount less than that stated in the statement of net outstanding campaign obligations.
(2)
(A) Defrayal of qualified campaign expenses;
(B) Repayment of loans which were used to defray qualified campaign expenses; and
(C) Restoration of funds (other than contributions which were received and expended to defray qualified campaign expenses) which were used to defray qualified campaign expenses.
(ii) Examples of Commission repayment determinations under 11 CFR 9038.2(b)(2) include, but are not limited to, the following:
(A) Determinations that a candidate, a candidate's authorized committee(s) or agents have made expenditures in excess of the limitations set forth in 11 CFR part 9035;
(B) Determinations that funds described in 11 CFR 9038.2(b)(2)(i) were expended in violation of State or Federal law;
(C) Determinations that funds described in 11 CFR 9038.2(b)(2)(i) were expended for expenses resulting from a violation of State or Federal law, such as the payment of fines or penalties; and
(D) Determinations that funds described in 11 CFR 9038.2(b)(2)(i) were expended for costs associated with continuing to campaign after the candidate's date of ineligibility.
(iii) The amount of any repayment sought under this section shall bear
(A) Total deposits is defined in accordance with 11 CFR 9038.3(c)(2); and
(B) In seeking repayment for non-qualified campaign expenses from committees that have received matching fund payments after the candidate's date of ineligibility, the Commission will review committee expenditures to determine at what point committee accounts no longer contain matching funds. In doing this, the Commission will review committee expenditures from the date of the last matching fund payment to which the candidate was entitled, using the assumption that the last payment has been expended on a last-in, first-out basis.
(iv) Repayment determinations under 11 CFR 9038.2(b)(2) will include all non-qualified campaign expenses paid before the point when committee accounts no longer contain matching funds, including non-qualified campaign expenses listed on the candidate's statement of net outstanding campaign obligations that may result in a separate repayment determination under 11 CFR 9038.2(b)(1).
(v) If a candidate or a candidate's authorized committee(s) exceeds both the overall expenditure limitation and one or more State expenditure limitations, as set forth at 11 CFR 9035.1(a), the repayment determination under 11 CFR 9038.2(b)(2)(ii)(A) shall be based on only the larger of either the amount exceeding the State expenditure limitation(s) or the amount exceeding the overall expenditure limitation.
(3)
(4)
(c)
(1)
(2)
(i)
(ii)
(3)
(d)
(2) If the candidate requests an administrative review of the Commission's repayment determination(s) under paragraph (c)(2) of this section, the time for repayment will be suspended until the Commission has concluded its administrative review of the repayment determination(s). Within 30 calendar days after service of the notice of the Commission's post-administrative review repayment determination(s), the candidate shall repay to the United States Treasury the amounts which the Commission has determined to be repayable. Upon application by the candidate, the Commission may grant an extension of up to 90 calendar days in which to make repayment.
(3) Interest shall be assessed on all repayments made after the initial 90-day repayment period established at paragraph (d)(1) of this section or the 30-day repayment period established at paragraph (d)(2) of this section. The amount of interest due shall be the greater of:
(i) An amount calculated in accordance with 28 U.S.C. 1961 (a) and (b); or
(ii) The amount actually earned on the funds set aside under this section.
(e)
(f)
(g)
(h)
(a) The candidate may retain amounts received from the matching payment account for a period not exceeding 6 months after the matching payment period to pay qualified campaign expenses incurred by the candidate.
(b) After all obligations have been liquidated, the candidate shall so inform the Commission in writing.
(c)(1) If on the last day of candidate eligibility the candidate's net outstanding campaign obligations, as defined in 11 CFR 9034.5, reflect a surplus, the candidate shall within 30 calendar days of the ineligibility date repay to the Secretary an amount which represents the amount of matching funds contained in the candidate's surplus. The amount shall be an amount equal to that portion of the surplus which bears the same ratio to the total surplus that the total amount received by the candidate from the matching payment account bears to the total deposits made to the candidate's accounts.
(2) For purposes of this subsection, total deposits means all deposits to all candidate accounts minus transfers between accounts, refunds, rebates, reimbursements, checks returned for insufficient funds, proceeds of loans and other similar amounts.
(3) Notwithstanding the payment of any amounts to the United States Treasury under this section, the Commission may make surplus repayment determination(s) which require repayment in accordance with 11 CFR 9038.2.
(a) It is the policy of the Commission that extensions of time under 11 CFR part 9038 shall not be routinely granted.
(b) Whenever a candidate has a right or is required to take action within a period of time prescribed by 11 CFR part 9038 or by notice given thereunder, the candidate may apply in writing to the Commission for an extension of time in which to exercise such right or take such action. The candidate shall demonstrate in the application for extension that good cause exists for his or her request.
(c) An application for extension of time shall be made at least 7 calendar days prior to the expiration of the time period for which the extension is sought. The Commission may, upon a showing of good cause, grant an extension of time to a candidate who has applied for such extension in a timely manner. The length of time of any extension granted hereunder will be decided by the Commission and may be less than the amount of time sought by the candidate in his or her application. If a candidate seeks an extension of any 60-day response period under 11 CFR part 9038, the Commission may grant no more than one extension to that candidate, which extension shall not exceed 15 days.
(d) If a candidate fails to seek an extension of time, exercise a right or take a required action prior to the expiration of a time period prescribed by 11 CFR part 9038 the Commission may, on the candidate's showing of excusable neglect:
(1) Permit such candidate to exercise his or her right(s), or take such required action(s) after the expiration of the prescribed time period; and
(2) Take into consideration any information obtained in connection with the exercise of any such right or taking
(a)
(i) Be filed within 20 calendar days after service of the Commission's final determination or repayment determination;
(ii) Raise new questions of law or fact that would materially alter the Commission's final determination or repayment determination; and
(iii) Set forth clear and convincing grounds why such questions were not and could not have been presented during the original determination process.
(2) If a candidate files a timely petition under this section challenging a Commission repayment determination, the time for repayment of the amount at issue will be suspended until the Commission serves notice on the candidate of its determination on the petition. The time periods for making repayment under 11 CFR 9038.2(d) shall apply to any amounts determined to be repayable following the Commission's consideration of a petition for rehearing under this section.
(b)
(c)
(ii) A request for a stay shall be made in writing and shall be filed within 30 calendar days after service of the Commission's decision on a petition for rehearing under paragraph (a) of this section, or, if no petition for rehearing is filed, within 30 calendar days after service of the Commission's repayment determination under 11 CFR 9038.2(c).
(2) The Commission's approval of a stay request will be conditioned upon the candidate's presentation of evidence in the stay request that he or she:
(i) Has placed the entire amount at issue in a separate interest-bearing account pending the outcome of the appeal and that withdrawals from the account may only be made with the joint signatures of the candidate or his or her agent and a Commission representative; or
(ii) Has posted a surety bond guaranteeing payment of the entire amount at issue plus interest; or
(iii) Has met the following criteria:
(A) He or she will suffer irreparable injury in the absence of a stay; and, if so, that
(B) He or she has made a strong showing of the likelihood of success on the merits of the judicial action.
(C) Such relief is consistent with the public interest; and
(D) No other party interested in the proceedings would be substantially harmed by the stay.
(3) In determining whether the candidate has made a strong showing of the likelihood of success on the merits under paragraph (c)(2)(iii)(B) of this section, the Commission may consider whether the issue on appeal presents a novel or admittedly difficult legal question and whether the equities of the case suggest that the status quo should be maintained.
(4) All stays shall require the payment of interest on the amount at issue. The amount of interest due shall
(i) An amount calculated in accordance with 28 U.S.C. 1961 (a) and (b); or
(ii) The amount actually earned on the funds set aside under this section.
If the committee has checks outstanding to creditors or contributors that have not been cashed, the committee shall notify the Commission. The committee shall inform the Commission of its efforts to locate the payees, if such efforts have been necessary, and its efforts to encourage the payees to cash the outstanding checks. The committee shall also submit a check for the total amount of such outstanding checks, payable to the United States Treasury.
(a) The Commission's administrative record for final determinations under 11 CFR part 9033, sections 9034.5, 9036.5 and part 9039, and for repayment determinations under 11 CFR 9038.2, consists of all documents or materials submitted to the Commission for its consideration in making those determinations. The administrative record will include the certification of the Commission's vote(s), the audit report that is sent to the committee (for repayment determinations), the statement(s) of reasons, and the candidate agreement. The committee may include documents or materials in the administrative record by submitting them within the time periods set forth at 11 CFR 9033.3(b), 9033.4(a)(2), 9033.6(c), 9033.7(b), 9033.9(b), 9034.5(g)(2), 9036.5(e), 9038.1(c) and 9038.2(c)(2), as appropriate.
(b) The Commission's administrative record for determinations under 11 CFR part 9033, sections 9034.5, 9036.5 and 9038.2 and part 9039 does not include:
(1) Documents and materials in the files of individual Commissioners or employees of the Commission that do not constitute a basis for the Commission's decisions because they were not circulated to the Commission and were not referenced in documents that were circulated to the Commission;
(2) Transcripts or audio tapes of Commission discussions other than transcripts or audio tapes of oral hearings pursuant to 11 CFR 9038.2(c)(2), although such transcripts or tapes may be made available under 11 CFR parts 4 or 5; or
(3) Documents properly subject to privileges such as an attorney-client privilege, or items constituting attorney work product.
(c) The administrative record identified in paragraph (a) of this section is the exclusive record for the Commission's determinations under 11 CFR part 9033, §§ 9034.5, 9036.5 and 9038.2 and part 9039.
26 U.S.C. 9039.
The candidate and his or her authorized committee(s) shall keep all books, records and other information required under 11 CFR 9033.11, 9034.2 and part 9036 for a period of three years pursuant to 11 CFR 102.9(c) and shall furnish such books, records and information to the Commission on request.
(a) In reviewing candidate submissions made under 11 CFR part 9036 and in otherwise carrying out its responsibilities under this subchapter, the Commission may routinely consider information from the following sources:
(1) Any and all materials and communications which the candidate and his or her authorized committee(s) submit or provide under 11 CFR part 9036 and in response to inquiries or requests of the Commission and its staff;
(2) Disclosure reports on file with the Commission; and
(3) Other publicly available documents.
(b) In carrying out the Commission's responsibilities under this subchapter, Commission staff may contact representatives of the candidate and his or her authorized committee(s) to discuss questions and to request documentation concerning committee activities and any submission made under 11 CFR part 9036.
(a)
(2) An inquiry conducted under this section may be used to obtain information relevant to candidate eligibility, matchability of contributions and repayments to the United States Treasury. Information obtained during such an inquiry may be used as the basis, or partial basis, for Commission certifications, determinations and findings under 11 CFR parts 9033, 9034, 9036 and 9038. Information thus obtained may also be the basis of, or be considered in connection with, an investigation under 2 U.S.C. 437g and 11 CFR part 111.
(3) Before conducting an inquiry under this section, the Commission will attempt to obtain relevant information under the continuing review provisions of 11 CFR 9039.2. Matching payments will not be withheld pending the results of an inquiry under this section unless the Commission finds patent irregularities suggesting the possibility of fraud in materials submitted by, or in the activities of, the candidate or his or her authorized committee(s).
(b)
(2) The Commission's inquiry may include, but is not limited to, the following:
(i) A field audit of the candidate's books and records;
(ii) Field interviews of agents and representatives of the candidate and his or her authorized committee(s);
(iii) Verification of reported contributions by contacting reported contributors;
(iv) Verification of disbursement information by contacting reported vendors;
(v) Written questions under order;
(vi) Production of documents under subpoena;
(vii) Depositions.
(3) The provisions of 2 U.S.C. 437g and 11 CFR part 111 will not apply to inquiries conducted under this section except that the provisions of 11 CFR 111.12 through 111.15 shall apply to any orders or subpoenas issued by the Commission.
(4) If, at the close of the inquiry, the Commission determines that no action or no further action is warranted, the Commission shall so notify the candidate. If the inquiry results in an adjustment to the amount of certified matching funds, the procedures set forth at 11 CFR 9036.5 or 9038.1 shall be followed, as appropriate. If the inquiry coincides with an audit undertaken pursuant to 11 CFR 9038.1, the information obtained in the inquiry will be utilized in making the repayment determination. If the inquiry results in an initial or additional repayment determination, the procedures set forth at 11 CFR 9038.2, 9038.4, and 9038.5 shall be followed.
Other regulations implementing section 401 of the Federal Election Campaign Act of 1971 appear in:
Office of the Secretary, Department of Transportation: 14 CFR part 374a
Federal Communications Commission: 47 CFR part 64 (subpart H), 47 CFR §§ 73.1910—73.1944
Interstate Commerce Commission: 49 CFR part 1325
A list of CFR titles, subtitles, chapters, subchapters and parts, and an alphabetical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published separately and revised annually.
Indexes to Regulations:
Administrative Regulations, Parts 1-8; 200-201
General, Parts 100-116
General Election Financing, Parts 9001-9007 and 9012
Federal Financing of Presidential Nominating Conventions, Part 9008
Presidential Primary Matching Fund, Parts 9031-9039
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
These listings are provided for information purposes only. They are compiled and kept up to date by the Federal Election Commission.
Act, § 4.1(e)
Active voters, § 8.2(c)
Auxiliary aids, § 6.103(a)
Chief state election official, § 8.2(b)
Closed primary state, § 8.2(g)
Commercial use, § 4.1(k)
Commission, § 2.2(a); § 6.103(b)
Commissioner, § 2.2(b); § 4.1(b); § 7.2(b); § 201.2(c)
Commissioner's staff, § 201.2(d)
Complete complaint, § 6.103(c)
Conduct of business, § 2.2(d)(1)
Conflict of interest, § 7.2(c)
Duplicate registration application, § 8.2(e)
Employee, § 7.2(e)
Ethics officers, § 7.2(d)
Ex parte communication, § 201.2(a)
Facility, § 6.103(d)
Form, § 8.2(a)
Former employee, § 7.2(f)
Freelance journalist, § 4.1(n)
Handicapped person, § 6.103(e)
Inactive voters, § 8.2(d)
Meeting, § 2.2(d)
Member, § 2.2(b)
Official responsibility, § 7.2(g)
Outside employment or activity, § 7.2(h)
Person, § 2.2(c); § 7.2(i)
Public Disclosure Division, § 4.1(f)
Qualified handicapped person, § 6.103
Rehabilitation Act Officer, § 6.170(c)
Representative of the news media, § 4.1(n)
Section 504, § 6.103(g)
Special Commission employee, § 7.2(j)
Standards of conduct, § 7.2
State, § 8.2(f)
Acceptance of gifts or favors, § 7.8
Conflict of interest, § 7.23(b)
Disciplinary action, § 7.6
Ex parte communications, § 7.15
Former employees,
Interpretation and advisory service, § 7.4
Making complaints public, § 7.14; § 111.24(b)
— to Commission employees, § 7.3(a)
— to new or special employees, § 7.3(b)
Opportunity to explain, § 7.5(b)
— education, § 7.9(d)
— employment, § 7.9
— financial interests, § 7.10
— incompatible employment, § 7.9(b)
— membership in associations, § 7.12
— political activity, § 7.11
— prohibitions on, § 7.7
— use of Government property for, § 7.13
Attempt to prevent, § 7.15(d); 201.3(c)
— advisory opinions, § 201.4
— audits, prohibited, § 201.3
— compliance matters, prohibited, § 7.15(a)
— litigation, prohibited, § 201.3
— public funding matters, prohibited, § 201.3
— rulemaking proceedings, § 201.4
Defined, § 201.2(a)
Receipt of, § 7.15(d); § 201.3(c); § 201.4(a)
Sanctions, § 201.5
Written summary of, § 7.15(d); 201.3(c)(1) and (2); § 201.4(a)
Appeal of denial, § 4.5(a)(4)(iv); § 4.8
Access of public to materials, § 4.4(b); Part 5
Availability of records, § 4.4
— matters required to be closed, § 2.4(a)
— meetings, § 2.4
— release of exempt records, § 4.6
Fees charged under, § 4.9
Nondisclosable information, § 4.4(e)
— for confidential treatment, § 4.5(a)(4)(i)
— review of, § 4.1(i)
— to FOIA officer, § 4.7(b); § 5.5(c)
— to inspect records, § 4.7
— of facilities, § 6.150
— of programs, § 6.151
Communications, § 6.160
— filed with Rehabilitation Act Officer, § 6.170(d)(3)
— investigation of, § 6.170(f)(1)
— processing of, § 6.170(b)
— provision of findings, § 6.170(g)
Compliance, § 6.170
Denial of access to, prohibited, § 6.130(b)(3)
Employment, § 6.140
Evaluation, § 6.110
Granting of certification, § 6.130(b)(6)
Limitation of services or rights, prohibited, § 6.130(b)(1)
Procurement contractors, § 6.130(b)(5)
— discrimination, prohibited, § 6.149
— existing facilities, § 6.150
— new construction and alterations, § 6.151
Prohibition against discrimination, § 6.130
Provisions of information and services to, § 6.160
Section 504, § 6.103(g); § 6.110(a)
Selection of work sites, § 6.130(b)(4)
Announcement of, § 2.4
Annual report, § 2.8
Changes in, announcement of, § 2.7
— as required by statute, § 2.4(a)
— by Commission determination, § 2.4(b)
— concerning civil proceedings, § 2.4(b)(7)
— concerning internal matters, § 2.4(b)(1)
— confidential financial or commercial information, § 2.4(b)(2)
— dealing with personnel, § 2.4(b)(1)
— enforcement proceedings, ongoing, § 2.4(b)(5)
— formal proceedings against individual, § 2.4(b)(3)
— internal matters, § 2.4(b)(2)
— public request for, § 2.5(e)
— to avoid adverse disclosure of information, § 2.4(b)(6)
— transcript of, § 2.6(b)
— where invasion of privacy would occur, § 2.4(b)(4)
Electronic recording equipment, use of, § 2.3(d)
Open, § 2.3(b)
Procedures for closing, § 2.5
Rules, § 2.3
Statements made during, § 2.3(c)
— closed meetings, § 2.6(a)
— length of time kept, § 2.6(c)
— release of, § 2.6(b)
Voting procedures, § 2.5(c)
Definitions, § 8.2
— contents, § 8.4
— format, § 8.5
— general information, § 8.3
— production of, § 8.5(a)
Purpose and scope, § 8.1
— certification of voter eligibility requirements, § 8.6
— report on state voter data, § 8.7
— executive session review, § 7.25(a)
— initiation of, § 7.25(b)
— administrative sanctions, § 7.33
— appeal, § 7.32
— date of, § 7.28
— decision by examiner, § 7.31
— designation of examiner, § 7.27
— procedures for, § 7.30
— rights of employee, § 7.29
— filing of complaint, § 7.23(a)(1)
— review, § 7.23(b)(1)
— of complaint to former employee, § 7.23(b)
— of disciplinary proceeding, § 7.26
Preliminary investigation, § 7.24
Availability of records through Public Disclosure Division, § 5.4
— advisory opinions, § 4.4(a)(11); § 5.4(a)(2)
— agenda documents, § 4.4(a)(15)
— announcement of Commission meeting, § 2.7(a)
— audit reports, § 1.14; § 4.4(a)(14)
— Clearinghouse studies, § 4.4(a)(13)
— conciliation agreements, § 4.4(a)(3) and (12); § 5.4(a)(3) and (4)
— disclosure documents, § 4.4(a)(10); § 5.4(a)(1)
— ex parte communications, § 201.4(a)
— nondiscrimination policies, § 6.110(b)
— tapes of Commission meetings, § 2.6(b)(2); § 4.4(a)(5)
Fees, § 5.6
Policy on disclosure of records, § 4.2; § 5.2
— availability of records from, § 5.4
— definition, § 5.1(f)
— fees charged by, § 5.6
Requests for public records, § 5.5
Confidentiality of records, § 1.14
Correction to record, § 1.7; § 1.8; § 1.9
Disclosure of requested information, § 1.5
Exemptions, § 1.14
Procedures for requests, § 1.3
Records pertaining to individuals, § 1.3(b); § 1.4(a)
Availability to public, § 4.4; 5.4
Indexes and supplements, § 4.4(c)
Maintenance of FOIA, § 4.4(f)
Meetings, § 2.6
Privacy Act,
Request for, § 1.3; § 2.6(b) and (c); § 4.7; § 5.5
Administrative record, § 200.6
Agency considerations, § 200.5
Decision not to initiate a rulemaking, § 200.4(b)
Denial of, § 200.4
Disposition of, § 200.4
Ex parte communications concerning, § 201.4
Filing with Commission, § 200.2
Processing by Commission of, § 200.3
— of changes in meeting, § 2.7
— of closed meeting, § 2.5(d)
Annual report, § 2.8
Assessment of public interest, § 2.4(c)
Certification of meetings, § 2.5(b)
Closing of meetings, § 2.4; § 2.5
Rules for meetings, § 2.3
Transcripts and recordings, § 2.6
Allocation between federal and nonfederal,
Credit union, disbursements from, § 102.9(b)(2)(iii)
Established by collecting agent, § 102.6(c)(4)
Federal, separate from non-Federal, § 102.5(a)(1)(i) and (b)(1)(i)
Office,
Transmittal, for joint fundraising, § 102.17(c)(4)
Definition, § 100.18
— by nonconnected committee, § 106.6(b)(2)(i) and (c)
— by party committee, § 106.5(a)(2)(i), (b), (c)(1) and (2), and (d)
— by publicly funded Presidential candidate, § 106.2(b)(2)(iii)
— by separate segregated fund, § 106.6(b)(1)(i) and (c)
— not attributable to specific candidate, § 106.1(c)
— reporting, § 104.10(b)(1)
Corporate/labor expenses for separate segregated fund, § 114.1(b); § 114.5(b)
Delegate selection, § 110.14(c)(1)(ii)
Polling results purchased by unauthorized committee, § 106.4(d)
Rent, salary, other recurring expenses not reported as debts, § 104.11(b)
Issuance of, § 112.4
Reconsideration of, § 112.6
Reliance on, § 112.5
— made public, § 112.2
— public comments on, § 112.3
Standing to receive, § 112.1(a)
Assignment of debts to, § 116.2(c)(3)
Circumstantial factors determining affiliation, § 100.5(g)(4)(ii); § 110.3(a)(3)(ii)
Committees automatically considered as, § 110.3(a)(2)
Conduit, exempted, § 110.6(b)(2)(i)(C)
— cooperative, § 114.7(k)(1)
— definition, § 100.6
— disclosure of, § 102.2(b)
Contribution limits for, § 110.3(a)(1)
Definition, § 100.5(g); § 110.3(a)(1) and (3)(ii)
— with each other, § 110.14(k)
— with Presidential candidate's authorized committee, § 110.14(j)
Disclosure of, on Statement of Organization, § 102.2(b)
Participant in joint fundraising, § 102.17(b)(3)(iii)
Transfers between, § 102.6(a); § 110.3(c)
Candidate as, § 101.2; § 102.7(d)
Collecting,
Commercial fundraising firm as, § 102.6(b)(3); § 110.6(b)(2)(i)(D)
Definition, § 109.1(b)(5)
Not a conduit or intermediary, § 110.6(b)(2)(i)(A) and (E)
— administrative costs, § 106.2(b)(2)(iii)
— disputed by Commission, § 106.2(a)(1)
— documentation, § 106.2(a)(1)
— mass mailings, § 106.2(b)(2)(ii)
— media, § 106.2(b)(2)(i)
— methods for, § 106.2(b)
— overhead expenditures of state offices, § 106.2(b)(2)(iii)(A) and (B)
— polling, § 106.2(b)(2)(v)
— recordkeeping, § 106.2(d)
— reporting, § 106.2(c)
— telephone programs targeted to State, § 106.2(b)(2)(iv)
— testing-the-waters, § 106.2(a)(2)
— administrative costs of national office, § 106.2(b)(2)(iii)(C)
— advertising, national, § 106.2(b)(2)(i)(E)
— campaign headquarters, national, § 106.2(b)(2)(iii)(C)
— commissions, § 106.2(b)(2)(i)(G)
— compliance, § 106.2(b)(2)(iii)(A)
— media production costs, § 106.2(b)(2)(i)(F)
— national consulting fees, § 106.2(b)(3)
— recordkeeping, § 106.2(d)
Overhead expenditures, definition, § 106.2(b)(2)(iii)(D)
Reporting, § 106.2(c)
Administrative expenses,
— calculation of ratio, § 106.5(d)(1)
— exception for states holding nonfederal elections in off year, § 106.5(d)(2)
— extra nonfederal point, § 106.5(d)(1)(ii)
— partisan local candidates, § 106.5(d)(1)(ii)
— “benefit reasonably expected to be derived” allocation method, § 106.1(a)
— exceptions, § 106.1(c)
— federal and nonfederal, § 106.1(a)
— personnel and facilities, shared, § 110.8(d)(3)
— of nonconnected committee, § 106.6
— of party committee, § 106.5
— of separate segregated fund, § 106.6
Between federal and nonfederal elections, § 106.1(e)
By Presidential campaign,
Costs to be allocated, § 104.10(a) and (b); § 106.1(a) and (e); § 106.5(a)(2); § 106.6(b)
Exempt activity expenses, § 106.5(e)
Fixed percentage allocation method, § 106.5(b)(1) and (2)
For travel between campaign/noncampaign-related activity, § 106.3
— adjustment of ratio, § 106.5(f)(2); § 106.6(d)(2)
— allocation by nonconnected committee, § 106.6(d)
— allocation by separate segregated fund, § 106.6(d)
— estimate of allocation ratio, § 106.5(f)(1); § 106.6(d)(1)
— last day of, § 106.5(f)(2); § 106.6(d)(2)
“Funds expended” allocation method, § 106.5(c); § 106.6(c)
“Funds received” allocation method, § 106.5(f); § 106.6(d)
— party committee, § 106.5(b), (c) and (d)
— nonconnected committee, § 106.6(c)
— separate segregated fund, § 106.6(c)
Joint fundraising proceeds, § 102.17(c)(1), (2), (6) and (7)
Minimum percentage allocation method, § 106.5(c)(2)
— by allocation account, § 106.5(g)(1)(ii); § 106.6(e)(1)(ii)
— by federal account, § 106.5(g)(1)(i); § 106.6(e)(1)(i)
— timing of transfers between accounts, § 106.5(g)(2); § 106.6(e)(2)
Polling results, § 106.4
Presidential campaign, State allocation by,
— allocated disbursements from allocation or federal account, § 104.10(a)(3) and (b)(4)
— allocation of administrative costs, § 104.10(b)(1)
— allocation of exempt activity costs, § 104.10(b)(2)
— allocation of fundraising costs, § 104.10(b)(2)
— allocation of generic voter drive costs, § 104.10(b)(1)
— expenses allocated between activities, § 104.10(b)
— expenses allocated between candidates, § 104.10(a)
— transfers between accounts for payment of allocable expenses, § 104.10(a)(2) and (b)(3); § 106.5(f) and (g)(3); § 106.6(d) and (e)(3)
“Time or space” allocation method, § 106.1(a)(1); § 106.5(e)
Transfers to pay for, § 106.5(g); § 106.6(e)
Applicable only to individuals, § 110.5(a)
Contributions made in calendar year, § 110.5(b)
— in nonelection year, § 110.5(c)
— to candidates, in nonelection year, § 110.5(c)(2)
— to delegates, § 110.5(e)
— to persons making independent expenditures, § 110.5(d)
Of cash, § 110.4(c)(3)
By Commission, § 104.16
Affiliated, § 100.5(g)(1); § 110.14(j)
Agent of, definition, § 109.1(b)(5)
Candidate as agent of, § 101.2; § 102.7(d)
Communications paid for/authorized by, § 110.11(a)(1)(i) and (ii)
Contribution limit shared, § 110.3(a)(1)(i)
Contributions to,
Definition, § 100.5(d) and (f)(1)
Designation of, § 101.1(b); § 102.13
Forwarding contributions to, § 102.8(a)
Funds of,
— coordination with corporation/labor organization may preclude, § 114.2(c)
— precluded from making, § 109.1(e)
Joint fundraising, § 102.17(a)(1)(i)
Name of, restrictions, § 102.14(a)
Registration of, § 102.1(b); § 102.2(b)(1)(i)
Reports filed by, § 101.1(b); § 102.1(b); § 104.3(f)
Support of one candidate only, § 102.13(c)
Transfers by, § 110.3(c)(4) and (5)
By individual, to become delegate, § 110.14(c)(1)(i)
Exemption, § 100.7(b)(18); § 100.8(b)(19)
Campaign depository,
— beyond restricted class, § 114.4
— containing express advocacy, to restricted class, § 114.3
— to general public, § 114.4(a) and (c)
Line of credit, § 100.7(b)(11)(i); § 100.8(b)(12)(i); § 104.3(d)
Loans from,
National, contribution/expenditure by, prohibited, § 114.2
Overdraft, § 100.7(b)(11); § 100.8(b)(12)
Separate segregated fund established by, § 114.2(a)
Amending previously filed reports, § 104.7(b)(4)
Contributions lacking required information, § 104.7(b)
Information in committee's possession, reporting of, § 104.7(b)(3)
— request for information, § 104.7(b)(1)
— statement required on all solicitations, § 104.7(b)(1)
To obtain, maintain and submit contributor information, § 104.7
Treasurer responsible for showing, § 104.7; § 104.14(d)
Disbursements for, exempt, § 100.8(b)(13); § 114.1(a)(2)(ix)
Donations to, exempt, § 100.7(b)(12); § 114.1(a)(2)(ix)
Reporting of, § 104.8(f); § 104.9(d)
By separate segregated fund, § 110.6; § 114.2(f)(2)(iii) and (4)(iii)
Corporate/labor resources and facilities used for, § 114.2(f); § 114.3(c)(1); § 114.9
Direction or control exercised, § 110.6(d)(1)
— by corporation/labor organization, prohibited, § 114.2(f)(1)
— examples of, § 114.2(f)(2); § 114.3(b)(2)(iii)
— separate segregated fund activity, exempt, § 114.2(f)(3) and (4)
Acceptable institutions, § 103.2
Commingling of funds, § 102.15
Deposits to, § 103.3
Designation of, § 103.1; § 103.2
Disbursements from, § 102.10; § 103.3(a)
Established by collecting agent, § 102.6(c)(4)(ii)(A)
Federal accounts, separate from non-Federal, § 102.5(a)(1)(i) and (b)(1)(i)
Illegal funds, § 103.3(b)(3), (4) and (5)
Investment of deposited funds, § 103.3(a); § 104.3(a)(4)(vi)
Joint fundraising account, § 102.17(c)(3)
Overdraft, § 100.7(b)(11); § 100.8(b)(12)
Separate account for pledged funds, § 100.7(b)(11)(i)(B); § 100.8(b)(12)(i)(B)
Vice Presidential candidate, § 103.4
Charitable donations, § 113.1(g)(2); § 113.2(b)
—
Expenses viewed on case by case basis, § 113.1(g)(1)(ii)
Gifts, § 113.1(g)(4)
Legal expenses, § 113.1(g)(1)(ii)(A)
Meal expenses, § 113.1(g)(1)(ii)(B)
Official duties, expenses incurred in connection with, § 113.1(g)(5); § 113.2(a) and (d)
— definition, § 113.1(g)
— expenses automatically considered as, § 113.1(g)(1)(i)
— prohibited, § 113.2(d)
— third party payment of, § 113.1(g)(6)
— of campaign assets, § 113.1(g)(3)
— to party, § 113.2(c)
Travel expenses, § 113.1(g)(1)(ii)(C) and (D); § 113.2(a)(1)
Winding down office, § 113.2(a)(2)
Candidate-prepared, dissemination of, § 109.1(d); § 110.14(f)(3); § 114.3(c)(1)
— exception for small items, § 110.11(a)(6)
— when expressly advocating or soliciting funds, § 110.11(a)(1) and (4)
— for candidate, § 100.7(b)(16); § 100.8(b)(17); § 110.11(a)(4)
— for delegate, § 110.14(f)(1)
— for party, § 100.7(b)(15); § 100.8(b)(16); § 110.11(a)(4)
Advocacy of election/defeat of,
Agent of authorized committee, § 101.2; § 102.7(d)
— at educational institution, § 110.12; § 114.4(c)(7)
— corporate/labor, § 114.3(c)(2); § 114.4(b)(1) and (2)
— election year, § 110.8(e)(2)(ii)
— party-building, § 110.8(e)
Campaign funds, use of,
Campaign materials prepared by/distributed for,
Candidacy indicated, examples, § 100.8(b)(1)(ii)
Cessation of candidacy, date of, § 110.3(c)(4)(iv)
Clearly identified,
Committee,
— accounting for primary/general election contributions, § 102.9(e)
— committees supporting same candidate, § 110.1(h); § 110.2(h)
— criterion for candidate status, § 100.3(a)
— criterion for candidate support, § 102.12(c)(2); § 102.13(c)(2)
— dual candidate, § 110.1(f); § 110.2(f)
— limitations, general, § 110.1(b) and (h); § 110.2(b), (h) and (i)
— prior to becoming candidate, § 100.7(b)(1); § 101.2(b); § 101.3
— prohibited, acceptance of, § 103.3(b); § 110.9(a); § 114.2(d)
— Senate candidate, § 110.2(e); § 110.3(b)(4)
— unopposed candidate, § 110.1(j)(2) and (3); § 110.2(d)(2) and (3)
Corporate/labor facilities and resources, used by, § 114.2(f); § 114.9(e); § 114.13
Debates,
Definition, § 100.3(a)
Delegate/delegate committee communications referring to, § 110.14(f) and (i)
— authorized committee, § 101.1(b); § 102.13
— joint fundraising committee, § 102.13(c)(1); § 102.17(a)(1)
— principal campaign committee, § 101.1(a); § 102.12
Disavowal of campaign activity, § 100.3(a)(3); § 102.13(a)(2)
Dual,
— allocation among candidates, § 104.10; § 106.1
— allocation among States for Presidential candidate, § 106.2
— criterion for candidate status, § 100.3(a)
— limitations, for publicly funded Presidential candidates, § 110.8
— made on behalf of, § 110.8(g)
— personal funds used for,
— polling expenses, § 106.4
— prior to becoming candidate, § 100.8(b)(1); § 101.2(b); § 101.3
Family of, definition, § 113.1(g)(7)
Fraudulent misrepresentation by, § 110.9(b)
Living expenses, § 100.8(b)(22)
Loan obtained by, § 101.2; § 102.7(d); § 104.3(d)
— authorized committee's name, § 102.14(a)
— communication or special project opposing, § 102.14(b)(3)
— unauthorized committee's name, § 102.14(a) and (b)
— facilities and personnel, shared with federal campaign, § 110.8(d)(3)
— separate organization from candidate's federal campaign required, § 110.8(d)(1)
— solicitation of donors to, § 110.3(d)
— transfers to federal campaign, prohibited, § 110.3(d); § 110.8(d)(2)
Personal funds,
Personal use of campaign funds, § 113.1(g); § 113.2(d) and (e)
Pre-1975, § 110.2(g)
Presidential,
Referred to in party solicitation, § 102.5(a)(3)
Support of, definition, § 102.12(c)(2); § 102.13(c)(2)
Testing-the-waters activity, § 100.7(b)(1); § 100.8(b)(1); § 101.3; § 106.4(a)
— federal/nonfederal campaigns, prohibited, § 110.3(d); § 110.8(d)(2)
— previous and current federal campaigns, § 110.3(c)(4)
— two federal campaigns of same candidate, § 110.3(c)(5); § 110.8(d)(2)
Travel expenses, § 106.2; § 106.3; § 114.9(e)
Unopposed, § 100.2(c)(5); § 110.1(j)(2) and (3); § 110.2(d)(2) and (3)
Vice Presidential candidate,
Voter guide, responses included in, § 114.4(b)(5)
Voting record distributed by others, § 114.4(b)(4)
— at corporation/labor organization, § 114.3(c)(2); § 114.4(b)(1) and (2)
— at educational institution, § 110.12; § 114.4(c)(7)
— election year, § 110.8(e)(2)(ii)
— party-building, § 110.8(e)
Clearly identified,
Contributions to,
Debates,
Delegate communications referring to, § 110.14(f) and (i)
— allocation among States, § 106.2
— limits for publicly funded candidate, § 110.8
— overall limitation, § 100.8(b)(21)
— state limitation, § 110.8(c)(2)
Legal and accounting services, contribution/expenditure exemption, § 100.7(b)(14); § 100.8(b)(15); § 106.2(b)(2)(iii)
Name of, used by committee, § 102.14(a) and (b)
— as Presidential principal campaign committee, § 102.12(c)(1)
— expenditure limits for Presidential nominee, § 110.7(a)
Nominating convention,
Reports by Presidential committee, § 104.5(b); § 105.3; § 108.2
Transfers between campaigns, § 110.3(c); § 110.8(d)(2)
— campaign depository, § 103.4
— committee reports, § 104.5(d); § 108.2
— expenditures by and on behalf of, § 110.8(f) and (g)
— principal campaign committee, § 102.12(a)
Voter drive by party committee on behalf of nominee, § 100.7(b)(17); § 100.8(b)(18); § 106.1(c)(3); § 110.11(a)(4)
Collateral for loan, § 100.7(b)(11)(i); § 100.8(b)(12)(i)
Contributions, § 110.4(c)
Disbursements from petty cash, § 102.11; § 103.3(a)
On-hand, reporting, § 104.3(a)(1); § 104.12
Campaign funds donated to, § 113.1(g)(2); § 113.2(b)
Definition, § 110.12(b)(6)
Use of, § 100.7(b)(5); § 100.8(b)(6)
Attribution of expenditures to, § 106.1(c)
— as independent expenditure, § 100.22; § 109.1
— by corporation/labor organization, § 100.8(b)(4); § 100.22; § 104.6; § 105.4; § 114.3; § 114.5(e)(2)(i)
— by delegate/delegate committee on behalf of Presidential candidate, § 110.14(f) and (i)
— notice required, § 109.3; § 110.11(a)
Definition, § 100.17; § 106.1(d); § 109.1(b)(3)
Definition, § 102.6(b)(1) and (3)
Fundraising for separate segregated fund, § 102.6(b) and (c)
Recordkeeping, § 102.6(c)(5) and (6)
Registration of, for Federal election activity, § 102.6(b)(2)
Reporting of funds received through, § 102.6(c)(7)
Transfers to separate segregated fund, § 110.3(c)(1)
Transmittal of contribution by, § 102.6(c)(3), (4) and (5)
Defined, § 116.1(c)
Extension of credit by,
Food, beverage discounts by, § 100.7(b)(7); § 100.8(b)(8)
Individual not acting as, § 116.5(a)
Remedies taken to collect on debts, § 100.7(a)(4); § 116.4(d)(3)
Settlement/forgiveness of debts owed to, § 100.7(a)(4); § 116.4; § 116.8
Segregation of political/personal funds, § 102.15
Advertising, § 110.11
Campaign materials,
— at debate,
— at private educational institution, § 114.4(c)(7)
— at public educational institution, § 110.12
— before all employees, paid for by corporation/union, § 114.4(b) and (e)
— before restricted class of corporation/union, § 114.3(c)(2)
— contributions solicited/collected at, § 114.3(c)(2); § 114.4(b)(1)(iii), (iv) and (2)(i)
— for party building, § 110.8(e)
— definition of, § 100.22
— guidelines for, when made by corporation/union, § 114.3(c)
— independent expenditures,
— restricted class for, § 114.1(j)
Debates,
Expressly advocating,
Endorsements by corporations/labor organizations, § 114.3(a); § 114.4(c)(6)
Independent expenditures,
— bank/corporation established by authority of Congress, § 114.2(a)
— cooperatives, § 114.3(a)(2); § 114.4(a); § 114.7(h) and (k)(2)
— corporation without capital stock, § 114.3(a)(2); § 114.4(a); § 114.7(h)
— delegate committees, § 110.14(i)
— delegates, § 110.14(f)(2)
— incorporated membership organizations, § 114.3(a)(2); § 114.4(a); § 114.7(h)
— party, § 100.7(b)(15); § 100.8(b)(16); § 110.11(a)
— Presidential campaign, § 106.2(b)(2)(i) and (ii)
— separate segregated funds, § 110.11(a)(7); § 114.5(i)
— trade associations, § 100.8(b)(4); § 114.3(a)(2); § 114.4(a); § 114.8(h)
— unauthorized committee, § 102.14(a); § 109.1; § 110.11(a)(1)(ii), (iii) and (iv); § 114.5(i)
— allocation of expenditures for, on behalf of Presidential candidate, § 106.2(b)(2)(i)
— ad space, charges for, § 110.11(b)
— broadcasters, definition, § 100.7(b)(2); § 100.8(b)(2); § 110.13(a)(2); § 114.4(f)(2)
— disclaimer for television ads, § 110.11(a)(5)(iii)
— news story/editorial/commentary, § 100.7(b)(2); § 100.8(b)(2)
— presence at corporate/labor candidate appearance, § 114.3(c)(2)(iv); § 114.4(b)(1)(viii) and (2)
— production costs, for Presidential candidates, § 106.2(b)(2)(i)(F)
— staging of candidate debates, § 110.13(a)(2); § 114.4(f)(2)
— use of information from filed reports, § 104.15(c)
— name of authorized committee, § 102.14(a)
— opposing candidate, use of name in title, § 102.14(b)(3)
Notice required,
Slate card/sample ballot, § 100.7(b)(9); § 100.8(b)(10); § 106.1(c)(3)
Soliciting contributions,
— endorsements, § 114.4(c)(6)
— registration and get-out-the-vote drives, § 114.4(d)
— registration and voting communications, § 114.4(c)(2) and (3)
— voter guides, § 114.4(c)(5)
— voting records, § 114.4(c)(4)
— candidate and party appearances, § 114.3(c)(2)
— coordinated with candidate, § 114.2(c)
— publications § 114.3(c)(1)
— registration and get-out-the-vote drives, § 114.3(c)(4)
— reporting of, § 100.8(b)(4); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i)
— restricted class for communications, definition, § 114.1(j)
Best efforts to obtain, maintain and submit contributor information, § 104.7
Civil actions, § 111.19
Civil penalties, § 111.24
Complaints, § 111.4; § 111.5; § 111.6; § 111.7
Computation of time, § 111.2
Conciliation agreements, § 111.18; § 111.19(c)
Confidentiality, § 1.14; § 111.21; § 111.24(b)
Cost exemption, disputed, § 106.2(a)(1)
Costs, exempted from allocation, § 106.2(c)(5)
Ex parte communications, § 111.22
Exempt costs, defined, § 106.2(c)(5)(i)
Failure to file reports, § 111.8(c)
Initiation of, § 111.3
Internal/agency referrals, § 111.3(a); § 111.8
Investigations, § 111.10
No reason to believe, § 111.7(b); § 111.9(b)
Probable cause to believe, § 111.16; § 111.17; § 111.18
Public disclosure, § 111.20; § 111.24(b)
Reason to believe, § 111.7(a); § 111.9; § 111.10
Representation by counsel, § 111.23
— issuance of, § 111.11; § 111.12
— motions to quash, § 111.15
— service of, § 111.13
— witness fees/mileage, § 111.14
Definition, § 110.6(b)(2)
Persons not considered as, § 110.6(b)(2)(i)
Persons prohibited from acting as, § 110.6(b)(2)(ii); § 114.2(f)(1)
Reporting by, § 110.6(c)(1)
Separate segregated fund acting as, § 110.6; § 114.2(f)(2)(iii) and (4)(iii)
— use for political or officially connected expense, § 113.1(g)(5)
— use of by qualified members, § 113.2(e)
Travel expenses, official, § 106.3(d); § 113.2(a)(1)
As collecting agent for separate segregated fund, § 102.6(b)(1)(ii)
Communications by,
Definition, § 100.6
Disclosure of, on Statement of Organization, § 102.2(b)
Name of, included in separate segregated fund's name, § 102.14(c)
Political committee of,
Relationship with another organization, § 100.5(g)(4); § 110.3(a)(3)
Definition, § 110.9(c)(2)
Expenditure limits adjusted by, § 110.9(c)(1)
— anonymous, § 110.4(c)(3)
— by Federal committee/account, § 102.5(a)(2)
— by separate segregated fund, § 114.5(j)
— illegal-appearing, § 103.3(b)
— prohibited, § 110.9(a); § 114.2(c)
— treasurer required, § 102.7(b)
Accounting for, § 102.9(a) and (e); § 104.7
Advances of goods or services paid from individual's funds, § 100.7(a)(1); § 116.5(b)
Allocated in joint fundraising, § 102.17(c)(1), (2), (6) and (7)
Anonymous, § 110.4(c)(3)
By affiliated committees, § 110.3(a)(1)
By checks and other written instruments, § 104.8(c) and (d)
By children, § 110.1(i)(2)
By committees, general, § 110.1; § 110.2
By corporations/labor organizations/national banks, § 103.3(b); § 114.2
By delegate committees, § 110.14(g)
By Federal contractors, § 103.3(b); § 115.2
By foreign nationals, § 103.3(b); § 110.4(a)
By minors, § 110.1(i)(2)
— limitations, § 110.2
— notice to recipients, § 110.2(a)(2)
By partnerships, § 110.1(e)
— general, § 110.3(b)(1) and (3)
— national House and Senate committees, § 110.3(b)(2)
— to Senate candidates, § 110.2(e)
By payroll deduction plan, § 104.8(b); § 114.5(k)(1); § 114.6(e)(1)
By person in name of another, § 110.4(b)
By persons, § 110.1; § 110.5
By separate segregated fund, § 114.5(f)
By spouse, § 100.7(c); § 110.1(i)(1)
Cash, § 110.4(c)
Charitable, § 113.1(g)(2); § 113.2(b)
Combined with other payments, § 102.6(c)(3)
Conduit for,
Contributor identification, § 100.12; § 104.7(b); § 104.8(a) and (b)
Credit, extension of,
Debts, contributions to retire,
Definition, § 100.7(a); § 114.1(a)(1)
Deposit of, § 103.3(a) and (b)
Designated/not designated for election, § 102.9(e); § 110.1(b) and (l); § 110.2(b); § 110.5(c)(2)
Earmarked,
Election, contribution limit for, § 110.1(a)(1) and (j); § 110.2(a)(1) and (d); § 110.5(c)
Excess,
Excessive, § 103.3(b)(3); § 110.1(k)
— by corporation/labor organization, prohibited, § 114.2(f)(1)
— examples of, § 114.2(f)(2)
— separate segregated fund activity, exempt, § 114.2(f)(3) and (4)
For delegate selection, § 110.14(c)(1)
Forwarding, § 102.8
Illegal, § 103.3(b); § 110.1(b)(3)(i); § 110.4; § 110.9(a); § 110.14(c)(2); § 114.2; § 115.2
Illegal-appearing, § 103.3(b)
In-kind,
In name of another, § 110.4(b)
Investment of, § 103.3(a)
Joint, § 104.8(c) and (d); § 110.1(k)
Lacking required information, § 104.7(b)
Limitations, § 102.17(c)(5); § 110.1; § 110.2; § 110.3(a)(1) and (b); § 110.5; § 110.9(a)
Loans,
Made, § 110.1(b)(6) and (l)(4); § 110.2(b)(6)
Nonelection year, § 110.5(c)
Personal use expense paid by third party, § 113.1(g)(6)
Polling expenses, § 106.4
Post-primary, § 110.1(a)(2)(i) and (ii)(B)
Pre-primary, § 102.9(e)
Processing, costs of, § 106.2(c)(5)
Prohibited, § 110.4; § 110.9(a); § 110.14(c)(2); § 114.2; § 115.2
Prohibited, accepted in joint fundraising, § 102.17(c)(2)(ii)(B) and (3)(i)
Reattributed, § 100.7(c); § 100.8(c); § 102.9(e); § 103.3(b)(3); § 104.8(d)(3); § 110.1(b)(3)(i), (k)(3) and (l)
Receipt of, § 102.8
Recordkeeping requirements,
Redesignated, § 102.9(e); § 103.3(b)(3); § 104.8(d)(2); § 110.1(b) and (l); § 110.2(b)(3)(i) and (5)
— of designated contributions, § 110.1(b)(3)(i); § 110.2(b)(3)(i)
— of general election contributions, § 102.9(e); § 110.1(b)(3)(i); § 110.2(b)(3)(i)
— of illegal contributions, § 103.3(b)(1)
— reporting of, § 104.8(d)(4)
Reporting requirements,
Returned, § 103.3(a) and (b); § 110.1(b)(3)(i); § 110.2(b)(3)(i); § 110.4(c)(2)
Segregated from personal funds, § 102.15
— by collecting agent, § 102.6(c)(2)
— by party committee, § 102.5(a)(3)
— exempted expenditure, § 100.8(b)(21)
— facilitating the making of contributions, § 114.2(f)
— information on reports used for, § 104.15
— notices required on, § 102.16; § 104.7(b); § 110.11(a)(1)
Stocks, bonds, art objects, § 104.13(b)
Testing-the-waters activity, for, § 100.7(b)(1); § 100.8(b)(1); § 101.3; § 106.2(a)(2); § 106.4(a)
To authorized committee, § 110.1(a) and (h); § 110.2(a)(1)
To candidate,
— criterion for political committee status, § 100.5(a) and (c)
— making independent expenditures, § 110.1(d)(2); § 110.2(d)(2); § 110.5(d)
To committees supporting same candidate, § 110.1(h); § 110.2(h)
To delegate, § 110.1(m)(1); § 110.2(j)(1); § 110.5(e); § 110.14(d)
To delegate committee, § 110.1(m)(2); § 110.2(j)(2); § 110.5(e); § 110.14(g)
To Federal committee/account, § 102.5(a)(2)
To office account, § 113.4
To political party committees, § 110.1(c); § 110.2(c)
To persons making independent expenditures, § 110.1(d)(2); § 110.2(d)(2); § 110.5(d)
To retire debts,
To single candidate committee, § 110.1(h)(1); § 110.2(b); § 110.5(c)(3)(i)
To unauthorized committees, § 110.1(d) and (h); § 110.2(d)
Transfers,
Transmittal of, by collecting agent, § 102.6(c)(4), (5) and (6); § 110.3(c)(1)
Violations, § 110.4; § 110.9(a)
Ballot access payments, § 100.7(b)(18); § 100.8(b)(19)
— paid for by candidate, § 100.7(b)(16); § 100.8(b)(17); § 110.11(a)(4)
— paid for by delegate, § 110.14(f)(1)
— paid for by delegate committee, § 110.14(i)(1)
— paid for by party committee, § 100.7(b)(15); § 100.8(b)(16); § 110.11(a)(4)
Candidate's payments from personal funds, § 100.8(b)(22)
Church or community rooms, § 100.7(b)(5); § 100.8(b)(6)
— to all employees/general public, § 114.4
— to restricted class, § 100.8(b)(4); § 114.1(a)(2)(i); § 114.3
Corporate/labor exemptions, § 100.7(b)(10); § 100.8(b)(4) and (11); § 114.1(a)(2) § 114.3; § 114.4; § 114.5
Debate expenses, § 100.7(b)(21); § 100.8(b)(23); § 114.4(f)
Election recount expenses, § 100.7(b)(20); § 100.8(b)(20)
Endorsements by corporation/labor organization, § 114.4(c)(6)
Food, beverage, invitations, § 100.7(b)(6) and (7); § 100.8(b)(7) and (8); § 114.1(a)(2)(v)
— for nonparty committees, § 100.7(b)(14); § 100.8(b)(15); § 114.1(a)(2)(vii)
— for party committees, § 100.7(b)(13); § 100.8(b)(14); § 114.1(a)(2)(vi)
Living expenses, § 100.7(b)(8); § 100.8(b)(9) and (22)
Loans from banks, § 100.7(b)(11); § 100.8(b)(12)
News story/editorial/commentary, § 100.7(b)(2); § 100.8(b)(2)
Party office building fund, donations to, § 100.7(b)(12); § 100.8(b)(13); § 114.1(a)(2)(ix)
Real or personal property, § 100.7(b)(4); § 100.8(b)(5)
Residential premises, § 100.7(b)(4); § 100.8(b)(5)
Slate card/sample ballot, § 100.7(b)(9); § 100.8(b)(10); § 110.11(a)(4)
Solicitation expenses, for publicly funded candidate,§ 100.8(b)(21)
Testing-the-waters activity, § 100.7(b)(1); § 100.8(b)(1); § 101.3
Travel expenses, § 100.7(b)(8); § 100.8(b)(9); § 116.5(b)
Unpaid salary, § 116.6(a)
Vendor discount of food/beverage, § 100.7(b)(7); § 100.8(b)(8); § 114.1(a)(2)(v)
Volunteer services, § 100.7(b)(3); § 116.6(a)
— corporate/labor, § 100.8(b)(3); § 114.1(a)(2)(ii); § 114.4(c)(2) and (3)
— paid by party committee for Presidential nominee, § 100.7(b)(17); § 100.8(b)(18); § 106.1(c)(3); § 110.11(a)(4)
Convention committee, registration and reporting for, § 107.1
Corporate/labor organization activity, exemption, § 114.1(a)(2)(viii)
Delegates to,
Host committee, registration and reporting for, § 107.2
Registration and reporting, § 107.1; § 107.2
— beyond restricted class, § 114.4
— containing express advocacy to restricted class, § 114.1(j); § 114.3
— restricted class for, definition, § 114.1(j)
— to general public, § 114.4(a) and (c)
Federated, solicitation of affiliates' members, § 114.7(k)(1)
Member of, defined, § 100.8(b)(4)(iv)(B); § 114.1(e)(2)
Membership association, defined as, § 100.8(b)(4)(iv)(A); § 114.1(e)(1)
— established by, § 114.1(a)(1)(iii); § 114.5(b); § 114.7(a)
— solicitation of members, § 114.7(a) and (k)(1)
— beyond restricted class, § 114.4
— containing express advocacy to restricted class, § 114.1(j); § 114.3
— restricted class for, definition, § 114.1(j)
— to general public, § 114.4(a) and (c)
Contribution/expenditure by, prohibited, § 114.2(a)
Earmarked contribution received by, § 110.6(b)(2)(iii)(B)
Separate segregated fund established by, § 114.2(a)(1)
— beyond restricted class, § 114.4
— containing express advocacy to restricted class, § 114.1(j); § 114.3
— restricted class for, definition, § 114.1(j)
— to general public, § 114.4(a) and (c)
Member, defined, § 100.8(b)(4)(iv)(B); § 114.1(e)(2)
Membership association, defined as, § 100.8(b)(4)(iv)(A); § 114.1(e)(1)
Separate segregated fund established by, § 114.1(a)(1)(iii); § 114.5(b); § 114.7(a)
Acting as conduit, prohibited, § 110.6(b)(2)(ii); § 114.2(f)
Aircraft, use of, § 114.9(e)
Business activities, definition, § 114.10(b)(3)
Candidate/party representative appearances, § 114.3(c)(2); § 114.4(a)(2) and (3)
— facilities, § 114.2(f); § 114.9(d)
— meeting room, § 114.13
— resources, § 114.2(f)
— transport, § 114.9(e)
Collecting agent, § 102.6(b) and (c)
— to general public, § 114.4
— to restricted class, § 114.3
Computer use to solicit contributions, § 114.5(k)(2)
— definitions and exemptions, § 100.7(b)(10); § 100.8(b)(4) and (11); § 114.1(a); § 114.2(b); § 114.10
— prohibited, § 114.2
Convention activity, national nominating, § 114.1(a)(2)(viii)
— definition, § 100.8(b)(4)(vi)
— restricted class of, § 100.8(b)(4)(ii) and (iii); § 114.1(c) and (h)
Earmarked contribution received by, § 110.6(b)(2)(iii)(B)
— acting as agents of corporation/union in fundraising, § 102.6; § 110.6(b)(2)(ii); § 114.2(f); § 114.3(b)(2)(iii)
— advance payment for fundraising services, § 114.2(f)(2)(i)(A)
— coercion of, to make contribution or participate in fundraising, prohibited, § 114.2(f)(2)(iv)
— consenting to illegal contribution/expenditure, prohibited, § 114.2(e)
— leave for political purposes, § 100.7(a)(3); § 114.12(c)
— participation (trustee) plan, § 114.2(f)(4)(i); § 114.11
— use of corporate/labor facilities for personal volunteer activity, § 114.2(f); § 114.9(a) and (b)
— use of corporate/labor resources, § 114.2(f)
Executive/administrative personnel, definition, § 100.8(b)(4)(iii); § 114.1(c)
Express purpose of, definition, § 114.10(b)(2)
Facilities and resources of, used for political purposes, § 114.2(f)(2); § 114.9; § 114.13
Food/beverage sold to candidate/party committee, § 114.1(a)(2)(v)
Fundraising by, other than for separate segregated fund, § 114.2(f); § 114.3(c)(2); § 114.4(b)(1)(iii), (iv) and (2)(i)
Incorporation by political committee, § 114.12(a)
— definition, § 100.8(b)(4)(i); § 114.1(d)
— local, members of, § 100.8(b)(4)(iv)(D); § 114.1(e)(4)
— member of, defined, § 100.8(b)(4)(iv)(B); § 114.1(e)(2)
— membership association, defined as, § 100.8(b)(4)(iv)(A); § 114.1(e)(1)
Legal and accounting services, § 114.1(a)(2)(vi) and (vii)
Loans by bank,
Office account donations, § 113.4(b)
Ownership of, factor of affiliation, § 100.5(g)(4)(ii)(A); § 110.3(a)(3)(ii)(A)
Partnership, member of, § 110.1(e)(2)
Party office building fund, donations to, § 114.1(a)(2)(ix)
Political committee sponsored by,
Professional organization, corporate status of, § 114.7(d)
Qualified nonprofit corporation, § 114.10
Restricted class,
— accidental solicitation of persons outside restricted class, § 114.5(h)
— by collecting agent, § 102.6(b) and (c)
— corporate methods available to labor organizations, § 114.5(k) and (l); § 114.6(e)(3)
— member of trade association, § 114.8(c), (d), (e) and (f)
— notice not required, § 110.11(a)(7)
— payroll deduction/check-off plan, § 104.8(b); § 114.5(k)(l); § 114.6(e)(l)
— restrictions on who may be solicited, § 114.5(g); § 114.7(a)
— twice yearly solicitations, § 114.6
— voluntary contribution only, § 114.1(i); § 114.5(a)
Stockholder, definition, § 100.8(b)(4)(ii); § 114.1(h)
Treasury funds, use of, § 114.5(b)
Recordkeeping requirements, § 102.9(b)(2)(ii)
Use of individual's, § 116.5(b)
— any person, § 100.7(a)(4)
— commercial vendor, § 116.3
— federally regulated industry, § 116.3(d)
— incorporated vendor, § 116.3(b)
— lending institution, § 100.7(b)(11)(i); § 100.8(b)(12)(i)
— unincorporated vendor, § 116.3(a)
Defined, § 116.1(e)
In ordinary course of business, § 100.7(a)(4); § 116.3(c)
Commercial vendor,
Defined, § 116.1(f)
Extension of credit,
Lending institution,
Out-of-business or with no known address, § 116.9
Remedies taken to collect on debts, § 100.7(a)(4); § 116.4(d)(3)
Settlement/forgiveness of debts, § 100.7(a)(4); § 116.4; § 116.8
Candidate selection, criteria for, § 110.13(c); § 114.4(c)
— donated by corporation/labor organization, § 114.4(f)
— exemption, § 100.7(b)(21); § 100.8(b)(23)
Staging organizations, § 110.13(a); § 114.4(f)(1) and (2)
Structure of, § 110.13(b)
Advances of goods/services from individuals, treatment as, § 116.5(c)
Assignment of, to another authorized committee, § 116.2(c)(3)
Bankruptcy, debts discharged in, § 116.7(g)
Collection of, by vendor, § 100.7(a)(4); § 116.4(d)(3)
— calculation of net debts outstanding by campaign, § 110.1(b)(3)(ii) and (iii); § 110.2(b)(3)(ii)
— designated/redesignated for debt retirement, § 110.1(b)(3)(i), (b)(5)(i)(B) and (D), (b)(5)(iii); § 110.2(b)(3)(i), (b)(5)(i)(B) and (D), (b)(5)(iii)
— pre-1975 debts, § 110.2(g)
— primary debts, § 110.1(b)(3)(iv)
— raised through joint fundraising, § 102.17(c)(2)(ii)(A)
Creditors, defunct, debts owed to, § 116.9
Debt settlement plans, § 104.11(a); § 116.7; § 116.9(b); § 116.10(b)
— defined, § 116.1(d)
— not subject to settlement, § 116.7(c)(2)
— owed by terminating committee, § 116.10(b)
Efforts to satisfy, “reasonable” standard, § 116.4(c)(2) and(d)(2)
Extensions of credit,
Loans,
Payment of, criterion for committee termination, § 102.3; § 116.7(a)(1)
— continuous reporting of debts, including those undergoing settlement, § 104.11; § 116.4(f); § 116.5(e); § 116.6(c); § 116.7(d)
— debts owed to individuals/employees for goods/services or salaries, § 116.5(e); § 116.6(c)
— disputed debts, § 116.10(a)
— rent, salary, other recurring expenses not reported as debts, § 104.11(b)
— separate reporting of debts assigned from another committee, § 116.2(c)(3)(ii)
— when debts not payable because of defunct creditor, § 116.9(d)
Salary payments owed to employees, treatment as, § 116.6(a)
— commercially reasonable, § 116.4(d)
— conditions for, to avoid contribution, § 116.4(a) and (b)
— criterion for committee termination, § 116.7(a)(2) and (3)
— debts owed by authorized committee, § 116.2(c)
— debts owed by ongoing committee, § 116.2(b); § 116.8
— debts owed by publicly funded committee, § 116.7(c)(1)
— debts owed by terminating committee, § 116.2(a); § 116.7
— debts owed to commercial vendor, § 116.4; § 116.8
— debts owed to committee employee/other individual, § 116.5(d); § 116.6(b); § 116.7(b)(2) and (3)
— debt settlement plans required,
— debts subject/not subject to, § 116.7(b) and (c)
— not required of creditor, § 116.4(e); § 116.5(d); § 116.6(b)
— results in contribution, § 100.7(a)(4)
Act, § 100.18
Administrative personnel, § 100.8(b)(4)(iii); § 114.1(c)
Affiliated committee, § 100.5(g); § 110.3(a)(3)(ii)
Agent, § 109.1(b)(5)
Anything of value, § 100.7(a)(1)(iii); § 100.8(a)(1)(iv)
Authorized committee, § 100.5(d) and (f)(1)
Best efforts, § 104.7
Business activities of corporation, § 114.10(b)(3)
Candidate, § 100.3(a)
Cash on hand, § 110.1(b)(3)(ii); § 110.2(b)(3)(ii)
Caucus, § 100.2(e)
Clearly identified candidate, § 100.17; § 106.1(d); § 109.1(b)(3)
Collecting agent, § 102.6(b)(1)
Commercial vendor, § 116.1(c)
Commission, § 100.9
Conduit, § 110.6(b)(2)
Connected organization, § 100.6
Consumer price index, § 110.9(c)(2)
Contribution, § 100.7(a); § 114.1(a)(1)
Contribution exemptions, § 100.7(b); § 114.1(a)(2)
Contribution made, § 110.1(b)(6); § 110.1(b)(4); § 110.2(b)(6)
Convention, § 100.2(e)
Corporation, § 100.8(b)(4)(vi)
Creditor, § 116.1(f)
Current federal campaign committee, § 110.3(c)(4)(ii)
Delegate, § 110.14(b)(1)
Delegate committee, § 100.5(e)(5); § 110.14(b)(2)
Designated contribution, § 110.1(b)(3) and (4); § 110.1(j); § 110.2(b)(3) and (4)
Direct mailing, § 100.7(b)(7)(i) and (15)(i); § 100.8(b)(16)(i) and (18)(i); § 110.11(a)(3); § 110.14(f)(4)
Disclaimer notice, § 110.11(a)
Disputed debt, § 116.1(d)
Dual candidacy, § 110.3(c)(5)
Earmarked contribution, § 110.6(b)
Election, § 100.2(a); § 100.8(b)(4)(v); § 104.6(a)(1) and (2)
Election cycle, § 100.3(b)
Employee participation plan, § 114.11(a)
Employer, § 100.21
Excess campaign funds, § 113.1(e)
Executive or administrative personnel, § 100.8(b)(4)(iii); § 114.1(c)
Expenditure, § 100.8(a); § 114.1(a)(1)
Expenditure exemptions, § 100.8(b); § 114.1(a)(2)
Express purpose of corporation, § 114.10(b)(2)
Expressly advocating, § 100.22; § 109.1(b)(2)
Extension of credit, § 116.1(e)
Facilitating the making of contributions, § 114.2(f)
Family of candidate, § 113.1(g)(7)
Federal contractor, § 115.1(a)
Federal Election Commission, § 100.9
Federal office, § 100.4
Federal officeholder, § 113.1(c)
File, filed or filing, § 100.19
Foreign national, § 110.4(a)(3)
Fundraising representative (joint fundraising), § 102.17(a)(3) and (b)
Funds donated, § 113.1(a)
General election, § 100.2(b)
Identification, § 100.12
Independent expenditure, § 100.16; § 109.1(a)
Intermediary, § 110.6(b)(2)
Labor organization, § 100.8(b)(4)(i); § 114.1(d)
Member, § 100.8(b)(4)(iv)(B); § 114.1(e)(2)
Membership association, § 100.8(b)(4)(iv)(A); § 114.1(e)(1)
Multicandidate committee, § 100.5(e)(3)
Name, § 102.14(a)
National party committee, § 100.13
Net debts outstanding, § 110.1(b)(3)(ii); § 110.2(b)(3)(ii)
Nonconnected committee, § 106.6(a)
Notice of disclaimer, § 110.11(a)
Occupation, § 100.20
Office account, § 113.1(b)
Ongoing committee, § 116.1(b)
Overhead expenditures, § 106.2(b)(2)(iii)(D)
Party committee, § 100.5(e)(4)
Person, § 100.10; § 109.1(b)(1); § 110.1(a)
Personal funds, § 110.10(b)
Personal use of campaign funds, § 113.1(g)
Political committee, § 100.5
Political party, § 100.15
Previous federal campaign committee, § 110.3(c)(4)(i)
Price index, § 110.9(c)(2)
Primary election, § 100.2(c)
Principal campaign committee, § 100.5(d) and (e)(1)
Promotion of political ideas, § 114.10(b)(1)
Qualified Member, § 113.1(f)
Qualified nonprofit corporation, § 114.10(c)
Redesignated contribution, § 110.1(b)(5)(ii)
— for communications, § 114.1(j); § 114.7(h); § 114.8(h)
— for solicitations, § 114.5(g); § 114.7(a); § 114.8(c)
Runoff election, § 100.2(d)
Shareholder, § 114.10(b)(4)
Single candidate committee, § 100.5(e)(2)
Solicitation, § 104.15(b)
Special election, § 100.2(f)
State, § 100.11
State committee, § 100.14(a)
State officeholder, § 113.1(d)
Stockholder, § 100.8(b)(4)(ii); § 114.1(h)
Subordinate committee, § 100.14(b)
Subsistence, § 116.5(b)(2)
Support of candidate, § 102.12(c)(2); § 102.13(c)(2)
Telephone services base charges, § 106.2(b)(2)(iii)(D)
Terminating committee, § 116.1(a)
Trade association, § 114.8(a)
Twice yearly solicitations, § 114.6
Unauthorized committee, § 100.5(f)(2)
Voluntary contributions, § 114.1(i)
Voting age population, § 110.9(d)
— advocacy of delegate selection, § 110.14(h)
— affiliation between, § 110.14(k)
— affiliation with authorized committee of Presidential candidate, § 110.14(j)
— contributions, § 110.5(e); § 110.14(g)
— definition, § 100.5(e)(5); § 110.14(b)(2)
— expenditures by, § 110.14(h) and (i)
— name of, restrictions, § 102.14(b)(1)
Communications by, § 110.14(e) and (f)
Contributions to, § 110.5(e); § 110.14(d)
Convention/caucus, definition, § 100.2(e)
Definitions, § 110.14(b)(1)
Election of, to national convention, § 100.2(c)(3)
— dual purpose, § 110.14(f)(2)
— referring to candidate for public office, § 110.14(f)
— to advocate selection, § 110.14(e)
Funds received and expended, § 110.14(c)
Party committee expenditures, § 110.14(c)(1)(ii)
Payments to qualify as, § 110.14(c)(1)(i)
Scope, § 110.14(a)
Definitions, § 100.7(b)(7)(i) and (15)(i); § 100.8(b)(16)(i) and (18)(i); § 110.11(a)(3); § 110.14(f)(4)
Disclaimer notice required, § 110.11(a)(3)
Last date of program defined, § 106.5(f)(2); § 106.6(d)(2)
Use of, by delegates/delegate committees to disseminate Presidential campaign materials, § 110.14(f)(4)
— permissible, § 100.7(b)(9); § 100.8(b)(10)
— prohibited, § 100.7(b)(15)(i) and (17)(i); § 100.8(b)(16)(i) and (18)(i)
Accounting for, § 102.9(b)
From campaign depository, § 102.10; § 103.3(a)
From petty cash fund, § 102.11; § 103.3(a)
Recordkeeping,
Reporting,
Content of, § 110.11(a)(1)
— administrative items, § 110.11(a)(6)(iii)
— communications by corporations/labor organizations, § 110.11(a)(7)
— impractical items, § 110.11(a)(6)(ii)
— mailing of 100 or less pieces, § 110.11(a)(3)
— separate segregated fund solicitations, § 110.11(a)(7)
— small items, § 110.11(a)(6)(i)
Placement of, § 110.11(a)(5)
— advertisement, § 110.11(a)(1)
— communication to public containing express advocacy, § 110.11(a)(1)
— coordinated expenditure, § 110.11(a)(2)
— direct mailing, § 110.11(a)(3)
— exempt activities, § 110.11(a)(4)
— independent expenditure, § 109.3; § 110.11(a)(1)(iii); § 114.10(g)
— packaged materials, § 110.11(a)(5)(ii)
— solicitation, § 102.16; § 102.17(c)(2); § 110.11(a)(1)
— Freedom of Information Act, Part 4
— Privacy Act, Part 1
Best efforts to obtain and submit information,
By corporations and labor organizations, for express advocacy communications, § 100.8(b)(4); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i)
By independent spenders,
Change in filing frequency, § 104.5(c)
— joint, § 102.6(c)(7); § 102.17(c)(3)(iii) and (8)
— using collecting agents, § 102.6(c)(7)
— using payroll deduction plan,
Of nonfederal activity, by national party committee, § 104.8(e) and (f); § 104.9(c), (d) and (e)
Preemption of state laws governing, by Federal Election Campaign Act, § 108.7(b)(2)
Reporting deadlines,
Reporting forms,
Reporting liability,
Reporting requirements/procedures,
Filing exemption, § 108.8
Name of, restrictions, § 102.14(b)(2)
Contributions to, § 110.1(f); § 110.2(f)
Separate campaign organizations required, § 110.8(d)
— federal/nonfederal campaign committees, prohibited, § 110.3(d)
— federal principal campaign committees, § 110.3(c)(5); § 110.8(d)(2)
Collection of, § 110.6; § 114.2(f)
Contribution limits affected, § 110.6(a); § 114.2(f)(2)(iii) and (4)(iii)
Definition, § 110.6(b)(1)
Facilitating the making of contributions, § 114.2(f)
In joint fundraising, § 102.17(c)(2)(i)(C)
Procedures for forwarding, § 102.8(c); § 110.6(b)(2)(iii)
Reporting by recipient, § 110.6(c)(2)n required, § 110.6(b)(2)(iii)(B)
Ballot access payments, § 100.7(b)(18); § 100.8(b)(19)
— accounting for primary/general election contributions, § 102.9(e)
— designated/undesignated, § 110.1(b); § 110.2(b); § 110.5(c)
— for unopposed candidate, § 110.1(j)(2) and (3); § 110.2(d)(2) and (3)
— limits, § 110.1(b) and (j); § 110.2(b), (d), (e) and (i); § 110.5(b)
— made during nonelection year, § 110.5(b)
— presidential primary, § 110.1(j)(1); § 110.2(i)
— primary, § 110.1(j)(3) and (4); § 110.2(i)
— caucus or convention, § 100.2(e)
— cycle, § 100.3(b)— general, § 100.2(b)
— primary, § 100.2(c)
— runoff, § 100.2(d)
— special, § 100.2(f)
Federal, referred to in party solicitation, § 102.5(a)(3)
Recount expenses, § 100.7(b)(20); § 100.8(b)(20)
Reporting, election-year, § 104.5(a)(1), (b)(1) and (c)(1)
Communications advocating election/defeat of candidate,
Contributions made for,
Corporate/labor activity, Part 114
Exempt activities for,
Expenditures made for,
Solicitation by party considered as, § 102.5(a)(3)
— expenses considered, § 113.1(g)
— limit, § 113.2(e)(4)
— methods for, § 113.1(e)(1)(i) and (ii)
Definition, § 113.2(e)
— definition, § 113.1(g)
— prohibition, § 113.2(d)
Qualified Member, § 113.1(f); § 113.2(e)
Transfer of, § 113.2(c)
Use of, § 113.1(g); § 113.2
Definition, § 100.8(b)(4)(iii); § 114.1(c)
Accounting for, § 102.9(b)
Administrative expenses,
Advances of goods or services paid from individual's funds, § 100.8(a)(1); § 116.5(b)
Allocation of,
By authorized committee,
By candidate,
By cash, § 102.11; § 103.3(a)
By check, § 102.10; § 103.3(a)
By corporation/labor organization/national bank, generally prohibited, § 114.1; § 114.2
By delegate, § 110.14(e) and (f)
By delegate committee, § 110.14(h) and (i)
By Federal contractor, § 115.2
By party committee, § 102.13(b); § 109.1(d)(2); § 110.7
By spouse, § 100.8(c)
By Vice Presidential candidate, § 110.8(f) and (g)
Contract or agreement to make, § 100.8(a)(2); § 104.11(b)
Coordinated party, § 102.13(b); § 109.1(d)(2); § 110.7
Definition, § 100.8(a); § 114.1(a)(1)
Expressly advocating, definition, § 100.22; § 109.1(b)(2)
For delegate selection, § 110.14(c)(1)
Illegal, § 110.9(a); § 110.14(c)(2); § 114.2(a) and (b); § 115.2
Independent,
In joint fundraising, § 102.17(b)(3)
— based on voting age population, § 110.7(a)(2) and (b)(2)(i); § 110.8(a)(1); § 110.9(d)
— increases, based on price index, § 110.9(c)
— party committees' coordinated expenditures, § 110.7
— Presidential candidates receiving public funding, § 110.8
Loans,
“Made on behalf of,” defined, § 110.8(g)
Overhead, of state offices, § 106.2(b)(2)(iv)
Payee, identification of, § 104.9
Personal funds, § 100.8(b)(22); § 106.3(b)(1); § 110.8(f)(2); § 110.10
Political committee status, criterion for, § 100.5(a), (c) and (f)
Polling, § 106.2(b)(2)(vi) and (c)(1)(iii); § 106.4
Prohibited, § 110.9(a); § 110.14(c)(2); § 114.2(a) and (b); § 115.2
Promise to make, § 100.8(a)(2)
Purpose of, definition, § 104.3(b)(3)(i)(A) and (B); § 104.9(a)
Recordkeeping,
Reporting,
Specific expenditures by campaign,
Testing-the-waters expenses, § 100.7(b)(1); § 100.8(b)(1); § 106.4(a); § 101.3
Transfers,
— allocation of, § 106.3
— campaign funds used for, § 113.1(g)(1)(ii)(C) and (D); § 113.2(a)(1)
— reimbursement for corporate/labor transportation, § 114.9(e)
— reimbursement to staff or volunteers, § 116.5(b)
— unreimbursed, § 100.7(b)(8); § 100.8(b)(9)
Treasurer's authorization, § 102.7(c)
Violations, § 110.9(a)
Allocation of expenditures for, § 106.1
— endorsement, public announcement of, § 114.4(c)(6)
— reporting costs of, § 100.8(b)(4); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i)
— to restricted class only, § 114.1(j); § 114.3(a)
Definition of, § 100.22; § 109.1(b)(2)
Disclaimer notice required, § 102.16; § 109.3; § 110.11(a)(1)
Independent expenditure,
Newspaper stories/editorials/commentaries, exempted as expenditures for, § 100.7(b)(2); § 100.8(b)(2)
Reporting requirements,
— corporations and labor organizations, § 100.8(b)(4); § 104.6; § 105.4; § 110.11(a)(1)
and (7); § 114.2; § 114.3; § 114.5(e)(2)(i)
— delegates, for Federal candidates, § 110.14(f)(2)(ii)
— party committees, § 100.7(b)(15); § 100.8(b)(16); § 110.11(a)(1)
— qualified nonprofit corporations, § 109.1; § 114.10
— campaign materials,
— independent expenditures, § 100.16; § 109.1; § 114.10
— political ads, § 110.11
— volunteer activity,
— voter drives,
Acting as conduit, prohibited, § 110.6(b)(2)(ii)
Contributions/expenditures by, prohibited, § 115.2
Definition, § 115.1(a)
Earmarked contribution received by, § 110.6(b)(2)(iii)(B)
Employee contributions/expenditures, § 115.6
Individuals and sole proprietors, § 115.5
Partnership, § 115.4
Advisory opinions,
Audits and investigations by,
Disclosure of information by,
Enforcement by,
— administrative complaints, § 111.5
— advisory opinion requests, § 112.1(d)
— creditor's letter of intent to forgive debt, § 116.8(c)
— debt settlement plans, § 116.7(f)
Definition, § 100.4
Definition, § 113.1(c)
Personal use of excess funds, § 113.1(g); § 113.2(d) and (e)
Acknowledgement of report's receipt, § 104.14(c)
Amendments to previous reports, § 104.7(b)(4); § 104.18(d)
Candidate designations, § 101.1
Communications reports, § 100.8(b)(4); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i)
Computer-produced reports, § 104.2(d); § 104.18
Contribution, 48 hour notification of, § 104.5(f)
— by committee, § 107.2
— by party, § 107.1
Copies of, located, § 105.5; § 108.1
— election year reports, § 104.5(a)(1), (b)(1) and (c)(1)
— nonelection year reports, § 104.5(a)(2), (b)(2) and (c)(2)
— Vice Presidential committee reports, § 104.5(d)
Debt settlement plans, § 116.7(a)
Definition of file, filed or filing, § 100.19
Electronic, § 104.18
Failure to file, § 111.8(c)
— by House candidate committees, § 105.1; § 105.4
— by other committees, § 105.4
— by Presidential committees, § 105.3
— by Senate candidate committees, § 105.2
— by authorized committees, § 104.5(a) and (b)
— by Presidential committees, § 104.5(b)
— by unauthorized committees, § 104.5(c)
Independent expenditure reports, § 104.4(c); § 104.5(g); § 105.4; § 109.2; § 114.10(e)
— by Presidential committees, § 104.5(b)(1)(i), (iii) and (2)(i)
— by unauthorized committees, § 104.5(c)(3)
— waivers, § 104.5(b)(1)(i)(C) and (c)(3)(iii)
Multicandidate status, notification of, § 102.2(a)(3)
— by Congressional committees, § 104.5(a)(1)(ii)
— by Presidential committees, § 104.5(b)(1)(i)(C) and (ii)
— by unauthorized committees, § 104.5(c)(1)(iii)
Postmark as date of filing, § 104.5(e)
— by Congressional committees, § 104.5(a)(1)(i)
— by Presidential committees, § 104.5(b)(1)(i)(C) and (ii)
— by unauthorized committees, § 104.5(c)(1)(ii)
— by Congressional committees, § 104.5(a)(1)(iii)
— by Presidential committees, § 104.5(b)(1)(ii) and (2)(ii)
— by unauthorized committees, § 104.5(c)(1)(i)
— waivers, § 104.5(a)(1)(iii)(C) and (c)(1)(i)(C)
— by Congressional committees, § 104.5(a)(2)
— by unauthorized committees, § 104.5(c)(2)(i)
Signature requirements, § 104.14(a); § 104.18(e)
Special election reports, § 104.5(h)
— by other committees, § 108.3
— by Presidential committees, § 108.2
— by unauthorized committees supporting Presidential candidate, § 108.4
— District of Columbia exemption, § 108.8
— duties of State officer, § 108.6
— effect on State law, § 108.7
— legible copies, § 108.5
— time and manner of filing, § 108.5
Statement of Candidacy, § 101.1
Statement of Organization, § 102.1; § 102.2(a)
Termination report, § 102.3(a)
Timely filing, § 100.19; § 104.14(d)
— by Congressional committees, § 104.5(a)(1)(iii)(A) and (2)(i)(B)
— by Presidential committees, § 104.5(b)(1)(i)(C)
— by unauthorized committees, § 104.5(c)(1)(i)(A) and (2)(i)(B)
— for vendor discount, § 100.7(b)(7); § 100.8(b)(8)
— for volunteer, § 100.7(b)(6); § 100.8(b)(7)
Acting as conduit, prohibited, § 110.6(b)(2)(ii)
Contributions by, prohibited, § 110.4(a)(1) and (2)
Definition, § 110.4(a)(3)
Earmarked contribution received by, § 110.6(b)(2)(iii)(B)
Solicitation of, § 110.4(a)(2)
Communications reports, § 104.6(a); § 105.4
Computer-produced, § 104.2(d); § 104.18
Consolidated reports, § 104.3(f)
Debts and obligations, § 104.3(d); § 104.18(f)
Electronically filed, § 104.18
Independent expenditure reports, § 104.4(a); § 104.18(f); § 109.2(a); § 114.10(e)
Legal and accounting services, § 104.3(h)
— from lending institutions, § 104.3(d)(1)
Notification of Multicandidate Status (Form 1M), § 102.2(a)(3)
Obtainable from the Commission, § 102.2(a); § 104.2(b)
Party office building fund donations, § 104.3(g)
— by Congressional committees, § 104.2(e)(2)
— by Presidential committees, § 104.2(e)(1); § 106.2(d) and (e)
— by unauthorized committees, § 104.2(e)(3)
Reproducing FEC forms, § 104.2(c)
Statement of Candidacy, § 101.1
Statement of Organization, § 102.1(a); § 102.2(a)(1)
Termination reports, § 102.3(a)
Allocation of expenses for,
By collecting agent, § 102.6(b) and (c)
By commercial firm, § 102.6(b)(3); § 110.6(b)(2)(i)(D)
— for candidates and political committees, § 114.2(f); § 114.3(c)(2)(iii)
— for separate segregated fund, § 114.5(b)
— before state primary, § 110.8(c)(2)
— exemption, § 100.8(b)(21); § 106.2(c)(5)
By qualified nonprofit corporation, § 114.10(f)
— use of candidate's name for, § 102.14(a)
— use of corporate/labor facilities and resources for, § 114.2(f); § 114.9; § 114.13
Combined dues/contributions, § 102.6(c)(3)
Coordinated with nonfederal campaign, § 110.3(d)
Corporate/labor facilities and resources used for, § 114.2(f); § 114.9; § 114.13
— national, § 100.8(b)(21)
— state, § 110.8(c)(2)
For separate segregated fund,
Joint,
Limitation, § 100.8(b)(21)
Name of candidate used in, § 102.14(a) and (b)(3)
— exemption for separate segregated funds, § 110.11(a)(7)
Notices required when,
Payment to attend event, § 100.7(a)(2)
Project using candidate's name, § 102.14(a) and (b)(3)
Representative, § 102.17(b)(1) and (2)
Sale of fundraising items, § 100.7(a)(2)
Solicitation by party referring to federal elections, § 102.5(a)(3)
Contributions for, separated from primary contributions, § 102.9(e)
Definition, § 100.2(b)
Campaign funds used to purchase, § 113.1(g)(4)
Made to influence election, § 100.7(a)(1); § 100.8(a)(1)
Registration and reporting, § 107.2
Contributions by, § 110.2(b)(1); § 110.3(b)(1) and (2)(i)
Contributions to, § 110.1(c)(2); § 110.2(c)(2); § 110.3(b)(1) and (2)(i)
Definition, § 100.12
Requesting, § 104.7(b)
Of political committee, § 114.12(a)
Federal officeholder defined, § 113.1(c)
Government transportation used by, for Presidential campaign,
Office account of,
Qualified Member, definition, § 113.1(f)
Attribution of, among candidates, § 106.1(a)
— campaign materials produced by candidate, precluded, § 109.1(d)(1)
— coordination with, precluded, § 109.1(a), (b)(4) and (d)(1); § 114.2(c)
Certification of independence, § 109.2(a)(1)(v)
Clearly identified candidate, definition, § 100.17; § 106.(1)(d); § 109.1(b)(3)
Contribution in-kind, if consultation, § 109.1(c)
Contribution limit, applies, § 110.1(d)(2); § 110.5(d)
Coordination of corporate/labor communication may preclude, § 114.2(c)
Defined as expenditure, § 100.8(a)(3)
Definition, § 100.16; § 109.1(a) and (b)
Delegate/delegate committee expenditures for federal candidate, § 110.14(f)(2) and (i)(2)
Express advocacy,
Notice of nonauthorization required, § 109.3; § 110.11(a)(1)(iii); § 114.10(g)
Opposing candidate, use of candidate's name in title, § 102.14(b)(3)
Qualified nonprofit corporation, may make, § 109.1(b)(1); § 114.10
— by persons other than political committees, § 105.4; § 109.2
— by political committees, § 104.3(b)(3)(vii)
— by qualified nonprofit corporation, § 109.2; § 114.10(e)
— 24 hour reports, § 104.4(b); § 104.5(g); § 109.2(b)
Advances of goods/services paid with personal funds, § 100.7(a)(1); § 100.8(a)(1); § 116.5(b)
Campaign travel paid by, § 100.7(b)(8); § 116.5(b)
Coercive solicitations of, prohibited, § 114.5(a)
— individual acting as,
— individual not acting as, § 116.5(a)
Contributions by, § 110.1
— in committee's possession, § 104.7(b)(3)
— prohibited for solicitations or commercial uses, § 104.15(a)
— requesting, § 104.7
Corporate and labor organization facilities and resources used by, § 114.2(f); § 114.9(a), (b) and (c)
Credit cards, use of, § 116.5(b)
— contributions to, § 110.14(d)
— definition, § 110.14(b)
— expenditures by, § 110.14(e) and (f)
— party expenses on behalf of, § 110.14(c)(1)(ii)
— payments for ballot access, § 110.14(c)(1)(i)
Earmarked contributions by,
Express advocacy communications by,
Foreign national,
Independent expenditures by,
Legal and accounting services provided by, to campaigns,
Liability of, for campaign activity,
— annual limit, § 110.5
— minors, § 110.1(i)(2)
— partners, § 110.1(e)
— spouses in single income family, § 110.1(i)
Loans and loan endorsements by, § 100.7(a)(1); § 100.8(a)(1)
Party activity conducted by,
Person, defined as, § 100.10; § 109.1(b)(1)
Reimbursed for travel/subsistence, § 116.5(b)
Salary owed to, § 116.6
Solicitations of, by corporations/labor organizations,
Testing-the-waters activities of,
Travel expenses of, § 100.7(b)(8); § 100.8(b)(9); § 116.5(b)
Advances for goods/services, § 100.7(a)(1); § 116.5(b)
“Anything of value,” defined, § 100.7(a)(1)(iii); § 100.8(a)(1)(iv)
Polling expenses, considered as, § 106.4(b)
Reported as expenditures, § 104.13(a)(2); § 106.1(b)
Stocks/bonds/art objects, liquidation of, § 104.13(b)
Valuation, § 100.7(a)(1)(iii)(B); § 100.8(a)(1)(iv)(B); § 104.13(a)(1)
When not an independent expenditure, § 109.1(c); § 110.14(f)(2)(i) and (i)(2)(i)
Agreement required, § 102.17(c)(1)
Allocation formula, § 102.17(c)(1) and (2)
Allocation of proceeds and expenses, § 102.17(c)(6) and (7)
Authorized committee designated for, § 102.13(c)(1); § 102.17(a)(1)
Commercial firm as participant in, § 102.17(a)(1)(ii)
Contribution limitation, per participant, § 102.17(c)(5)
Costs of, advanced, § 102.17(b)(3)
Depository for, § 102.17(c)(3)
Notice required, § 102.17(c)(2)
Participants in, § 102.17(a)(2) and (b)
Procedures for conducting, § 102.17
Reporting of, § 102.17(c)(3)(iii) and (8)
— appointment of, § 102.17(a)(1) and (3)
— definition, § 102.17(a)(3) and (b)
— not a conduit, § 110.6(b)(2)(i)(B)
— receipt of earmarked contribution by, § 110.6(b)(2)(iii)(A)
— recordkeeping duties of, § 102.17(c)(4)
— reporting, § 102.6(a)(2); § 102.17(a)(1)(ii) and (c)(8)
Separate segregated fund as participant in, § 102.6(b) and (c)
Transfer of funds, limited, § 102.6(a)(1)(iii) and (iv); § 110.3(c)(2)
— for nonparty political committees, § 100.7(b)(14); § 100.8(b)(15); § 114.1(a)(2)(vii)
— for party committees, § 100.7(b)(13); § 100.8(b)(14); § 114.1(a)(2)(vi)
Exemption from limitation for Presidential campaigns, § 106.2(b)(2)(iii)
— campaign, § 113.1(g)(1)(ii)(A)
— corporations and labor organizations, § 114.1(a)(2)(vi) and (vii)
Reporting, § 104.3(h); § 114.5(e)(2)(ii)
For disputed debt, disclosure not admission of, § 116.10(a)
For filing complaints with FEC, § 111.4(c)
For forwarding contributions to political committee treasurers, § 102.6(c)(1); § 102.8
For making independent expenditures, § 109.2(a)(1)(v)
Of political committee treasurers,
Of separate segregated funds, for collecting agent activity, § 102.6(c)(1)
Of Presidential candidates accepting public funds,
Assurance of repayment, § 100.7(b)(11)(i); § 100.8(b)(12)(i)
— future receipts, § 100.7(b)(11)(i)(B); § 100.8(b)(12)(i)(B)
— traditional, § 100.7(b)(11)(i)(A); § 100.8(b)(12)(i)(B)
— endorser or guarantor of loan, § 100.7(a)(1)(i)(C) and (D)
— lending institutions, § 100.7(b)(11)
— office facilities, § 100.7(b)(12)
— recount costs, § 100.7(b)(20)
Endorsements, § 100.7(a)(1)(i)
Expenditure, § 100.8(a)(1); § 114.1(a)(1)
— lending institutions, § 100.8(b)(12)
— office facilities, § 100.8(b)(13)
— recount costs, § 100.8(b)(20)
Guarantees, § 100.7(a)(1)(i)
Made by lending institution, § 100.7(b)(11); § 100.8(b)(12)
Obtained by candidate, § 100.7(a)(1)(i)(D); § 101.2; § 102.7(d)
Overdrafts, § 100.7(b)(11); § 100.8(b)(12)
Repayment of, § 100.7(a)(1)(i)(E)
Reporting, § 104.3(d); § 104.11; § 104.18(f)
— basis that assures repayment, § 100.7(b)(11)(i); § 100.8(b)(12)(i)
— ordinary course of business, § 100.7(b)(11); § 100.8(b)(12)
Defined as in-kind contribution, § 100.7(a)(1)(iii)(A)
Information from FEC reports used for, prohibited, § 104.15(a)
Requirements for buying/selling/trading by political committees, § 100.7(a)(1)(iii)
Definition, § 100.8(b)(4)(iv)(B); § 114.1(e)(2); § 114.7(i)
Financial obligations/voting rights, criteria for membership in membership association, § 100.8(b)(4)(iv)(B); § 114.1(e)(2)
Definition of, § 100.8(b)(4)(iv)(A); § 114.1(e)(1)
Member of, defined, § 100.8(b)(4)(iv)(B); § 114.1(e)(2)
Student members of, § 100.8(b)(4)(iv)(C); § 114.1(e)(3)
— beyond restricted class, § 114.4
— containing express advocacy, to restricted class, § 114.1(j); § 114.3
— disclaimer notice not required, § 110.11(a)(7)
— reporting, § 100.8(b)(4); § 104.6; § 114.5(e)(2)(i)
— restricted class for, § 114.1(j)
— to general public, § 114.4(a) and (c)
— combined dues/contribution payments, § 102.6(c)(3)
— disclaimer notice not required, § 110.11(a)(7)
— using affiliates as collecting agents, § 102.6(b) and (c)
Member, defined, § 100.8(b)(4)(iv)(B); § 114.1(e)(2); § 114.7(i)
Separate segregated fund established by, § 114.1(a)(2)(iii) and (b); § 114.7(a) and (e)
Contributions by, § 110.1(i)(2)
Contributions by, limitations, § 110.2
Definition, § 100.5(e)(3)
— to candidates receiving contributions, § 110.2(a)(2)
— to Commission, § 102.2(a)(3)
Acronym, use of, § 102.14(c)
— by party committee, § 102.5(a)(3)
— by unauthorized committee, § 102.14(a) and (b)(3)
— clearly identifying candidate, § 100.17; § 106.1(d); § 109.1(b)(3)
Contributor's, request for, § 104.7(b)
— authorized committee, § 102.14(a)
— delegate committee, § 102.14(b)(1)
— draft committee, § 102.14(b)(2)
— fundraising project, § 102.14(a)
— separate segregated fund, § 102.14(c)
Contribution, exempted, § 100.7(b)(2)
Expenditure, exempted, § 100.8(b)(2)
Candidate appearances, § 110.8(e)(2)(i)
Contributions, § 110.5(b)
Reporting, § 104.5(a)(2), (b)(2) and (c)(2)
Enforcement procedures, § 111.8(a) and (b)
Publication of names, § 111.8(c)
Definition, § 110.13(a)(1)
Distribution of voting information and guides, § 114.4(b)(5)(ii)
Independent expenditures by, when permitted, § 114.10
Qualified nonprofit corporation,
Sponsorship of candidate debates, § 110.13(a)(1); § 114.4(f)
On communications expressly advocating election/defeat of candidate,
On solicitations,
When multicandidate committee makes contribution to authorized committee, § 110.2(a)(2)
Contribution/expenditure limitations may apply, § 113.4(a)
Corporate/labor donations to, § 113.4(b)
Definition, § 113.1(b)
Federal officeholder, definition, § 113.1(c)
— definition, § 113.1(a)
— deposit of, § 113.3
— use of, § 113.2
State officeholder, definition, § 113.1(d)
— creditor's forgiveness of, § 116.8
— disputed debts, § 116.9(c)
Defined, § 116.1(b)
As Federal contractor, § 115.4
Contributions by, attributed to partners, § 110.1(e)
Corporate member of, § 110.1(e)(2)
Administrative expenses,
Affiliated, § 110.3(b)
Allocation of federal/nonfederal expenses,
Appearances by party representative, § 114.3(c)(2); § 114.4(a)(2) and (3)
Candidate appearances for party, § 110.8(e)
Communications by, § 100.7(b)(15); § 100.8(b)(16); § 110.11(a)
— ballot access payments, § 100.7(b)(18); § 100.8(b)(19); § 110.14(c)(1)(i)
— building fund,
— campaign materials for volunteer activities, § 100.7(b)(15); § 100.8(b)(16); § 110.11(a)(4)
— candidate appearances, payments for, § 110.8(e)(1)
— delegate payments, § 110.14(c)(1)(i)
— election recount costs, § 100.7(b)(20); § 100.8(b)(20)
— food, beverage and invitations, § 100.7(b)(6) and (7); § 100.8(b)(7) and (8); § 114.1(a)(2)(v)
— legal and accounting services, § 100.7(b)(13); § 100.8(b)(14); § 114.1(a)(2)(vi)
— personal property, § 100.7(b)(4); § 100.8(b)(5)
— residential premises, church or community room, § 100.7(b)(4) and (5); § 100.8(b)(5) and (6)
— slate card/sample ballot, § 100.7(b)(9); § 100.8(b)(10); § 110.11(a)(4)
— travel expenses, § 100.7(b)(8); § 100.8(b)(9)
— volunteer activity,
— voter drive for Presidential nominee, § 100.7(b)(17); § 100.8(b)(18); § 106.1(c)(3); § 110.11(a)(4)
— independent subordinate committee, § 110.3(b)(3)
— national/House committees, § 110.1(c); § 110.2(c); § 110.3(b)(2)(i)
— national/Senate committees, § 110.1(c); § 110.2(c); § 110.3(b)(2)(ii)
— State committees, § 110.3(b)
— subordinate committees, § 110.3(b)(3)
Contributions to national, House and Senate committees, § 110.1(c); § 110.2(c); § 110.3(b)(1)
Convention (national nominating) registration and reporting, § 107.1
Coordinated party expenditures, § 102.13(b); § 109.1(d)(2); § 110.7; § 110.11(a)(2)
Definition, § 100.5(e)(4)
Exempt activities, § 100.7(b)(9), (15) and (17); § 100.8(b)(10), (16) and (18); § 110.11(a)(4)
Federal/nonfederal election financing, § 102.5; § 104.10; § 106.1(e); § 106.5
Local committee, status as political committee, § 100.5(c)
Multicandidate status,
— as principal campaign committee of Presidential candidate, § 102.12(c)(1)
— committees established and maintained by, § 110.1(b)(2); § 110.2(a)(2)
— contribution limitations for, § 110.3(b)(1) and (2)
— coordinated party expenditure limits, § 110.7(a) and (b)
— definition, § 100.13
— reporting of nonfederal activity, § 104.8(e) and (f); § 104.9(c), (d) and (e)
Political party, definition, § 100.15
Registration requirements, § 102.1(d)
Reporting requirements,
— notices required, § 102.5(a)(2) and (3); § 104.7(b)(1); § 110.11(a)(1)(iii) and (iv)
— referring to federal candidate or election, § 102.5(a)(3)
State committee,
— affiliated/independent status, § 110.3(b)(3)
— coordinated party expenditure limit, § 110.7(b)
— definition, § 100.14(b)
— designated as agent of national committee, § 109.1(d)(2); § 110.7(a)(4)
— between committees of same party, unlimited, § 102.6(a); § 110.3(c)(1)
— between federal/nonfederal accounts, § 102.5(a)(1)(i); § 106.5(g)
— of excess campaign/office account funds, § 113.2(c)
Combined dues/contributions payments, § 102.6(c)(3)
Not facilitation, § 114.2(f)(4)(i)
Of corporation, made available to labor organizations, § 114.5(k)(1)
Reporting requirements, § 104.8(b)
Reverse checkoff plans, prohibited, § 114.5(a)(1)
Twice-yearly solicitations by corporations/labor organizations, prohibited, § 114.6(e)(1)
Contribution limitations, § 110.1; § 110.5
Definition, § 100.10; § 109.1(b)(1); § 110.1(a)
Independent expenditures by, § 105.4; Part 109
Prohibition against solicitation of people named in reports, § 104.15
— definition, § 110.10(b)
— unlimited expenditures, § 110.10(a)
— used for living expenses, § 100.8(b)(22)
— used for securing loans, § 100.7(a)(1)(i)
— used for travel expenses, § 106.3(b)(1)
Of individual, used to advance goods/services, § 116.5(b)
Of delegate, expenditures from, § 110.14(e)
Of Vice Presidential candidate, expenditures from, § 110.8(f)(2)
Of volunteer, used for living expenses, § 100.7(b)(8); § 100.8(b)(9)
Segregated from political funds, § 102.15
Compensated, considered contribution, § 100.7(a)(3)
Volunteered, contribution exemption, § 100.7(b)(3)
Disbursements from, § 102.11; § 103.3(a)
Recordkeeping required, § 102.11
Affiliated,
Allocation between federal/nonfederal accounts,
Authorized,
Campaign despository,
Collecting agent for, § 102.6(b) and (c)
Contributions to, § 110.1(d)
Definition, § 100.5
Debts owed by,
Delegate committee,
Federal/nonfederal, § 102.5; § 106.1(e); § 106.5; § 106.6
Filing reports,
Forwarding contributions to, § 102.8
Funds, separate from personal, § 102.15
Host committee (convention), registration and reporting, § 107.1
Identification number, § 102.2(c)
Incorporation of, § 114.12(a)
Joint fundraising, committee established for, § 102.17(b)(1) and (2)
Multicandidate,
Name of, restrictions, § 102.14
Nonfederal campaign committee as, § 110.3(c)(6)(iii)
Ongoing,
Organization of, § 102.7
Party,
Petty cash fund, § 102.11; § 103.3(a)
Principal campaign,
Recordkeeping requirements,
Registration, § 102.1; § 102.2; § 102.6(a)(2); § 102.17(a)(1)
Reporting requirements,
Separate segregated fund,
Single candidate,
Statement of Organization, § 102.1; § 102.2
Termination of,
Transfers among,
Treasurer,
Unauthorized,
Acceptance of results, § 106.4(b) and (c)
— by candidate, § 106.4(e)
— by candidate, Presidential, § 106.2(b)(2)(v)
— by unauthorized committee, § 106.4(d)
— methods for, § 106.4(e)
— reporting of, § 106.4(f), (g) and (h)
Contribution in-kind, § 106.4
Testing-the-waters exemption, § 100.7(b)(1); § 100.8(b)(1); § 106.4(a) and (b)
As date of filing, § 104.5(e)
As date of when contribution is made, § 110.1(b)(6) and (l)(4); § 110.2(b)(6)
Of Federal Election Campaign Act by state election laws, § 108.7(c)
Of state election laws by Federal Election Campaign Act, § 108.7(a) and (b)
— post-primary, § 110.1(a)(2)(i) and (ii)(B)
— segregated from general election contributions, § 102.9(e)
— to unopposed candidate, § 110.1(j)(3); § 110.2(d)(3)
Definition, § 100.2(c)
Transfer of unused funds to general election campaign, § 110.3(c)(3)
Consolidated report filed by, § 104.3(f)
Contributions to,
Definition, § 100.5(d) and (e)(1)
Designation of, § 101.1(a); § 102.12
Funds of,
Registration of, § 102.1(a); § 102.2(b)(1)(i)
Support of one candidate only, § 102.12(b) and (c)
Transfers between, § 110.3(c)(4) and (5)
Use of, exempted, § 100.7(b)(4); § 100.8(b)(5)
Definition, § 104.3(e)(2)
Purpose, § 104.3(e)(1)
Reporting procedures, § 104.3(e)(3)-(5)
Advisory opinions and requests for, § 112.2
— confidentiality, § 111.21
— public disclosure, § 111.20
— filed with State officials, § 108.6(c)
— sale/use restriction, § 104.15
— among several candidates, § 100.7(a)(1)(iii); § 106.1(b)
— on behalf of Presidential candidate, § 106.2(b)(2)(i)
— delegates/delegate committees on behalf of Federal candidates, § 110.14(f)(3) and (i)(3)
— persons other than campaign personnel, § 109.1(d)
Defined, § 110.11(a)(1)
Expressly advocating, definition, § 100.22; § 109.2(b)(2)
Independent expenditures made for,
Media used for, § 110.11(a)(1)
News story/editorial/commentary, exempted as contribution or expenditure for, § 100.7(b)(2); § 100.8(b)(2)
— authorized by candidate, § 110.11(a)(1)(i) and (ii)
— contribution solicitations, § 102.16; § 110.11(a)(1)
— express advocacy of candidate, § 110.11(a)(1)
— not authorized by candidate, § 110.11(a)(1)(iii); § 114.10(g)
—
Rates charged for space, § 110.11(b)
Television ad, requirements for, § 110.11(a)(1) and (5)(iii)
— campaign materials mentioning other candidates, § 100.7(b)(16); § 100.8(b)(17)
— exempted party activities, § 100.7(b)(9), (15)(i) and (17)(i); § 100.8(b)(10), (16)(i) and (18)(i)
— testing-the-waters activities, § 100.7(b)(1); § 100.8(b)(1)
Contributions by, prohibited, § 114.2; § 114.10(d)(2)
Definition, § 114.10(c)
Demonstrating status as, § 114.10(e)(1)
Express purpose of, § 114.10(b)(2)
— exemption from corporate prohibition, § 114.10(d)
— reporting, § 109.2; § 114.10(e)
Not established/funded by business corporation or labor organization, § 114.10(c)(4)
Solicitations by, § 114.10(f)
Deposit of, § 103.3(a)
Reporting,
— for Presidential campaigns, § 106.2(b) and (d)
— for unauthorized committee, § 104.10(a)(4) and (b)(5)
Collecting agent, duties of, § 102.6(c)(5) and (6)
— aggregate of individual's, § 104.8(b)
— best efforts,
— by check, § 104.8(c) and (d)
— by payroll deduction, § 104.8(b)
— contributor identification, § 100.12; § 104.7(b); § 104.8(a) and (b)
— designations/redesignations, § 102.9(e); § 110.1(l)
— earmarked, § 102.8(c); § 110.6(b)(2)(iii)
— forwarding, § 102.8
— fundraising/mass collection proceeds, § 102.17(c)
— illegal-appearing, § 103.3(b)
— reattributed, § 102.9(e); § 110.1(l)
— records required, § 102.9(a); § 110.1(l)
— advance for travel/subsistence, § 102.9(b)(2)(i)(B)
— aggregate of, to one recipient, § 104.9(b)
— allocation of, § 104.10(a)(4) and (b)(5)
— credit card, disbursements by, § 102.9(b)(2)(ii)
— credit union account, disbursements from, § 102.9(b)(2)(iii)
— documentation required, § 102.9(b)(2)
— “payee,” identification and definition of, § 102.9(b)(1)(i) and (2)(i)(A)
— petty cash fund records, § 102.11
— “purpose” of, § 104.3(b)(3)(i)(A) and (B); § 104.9(a)
— records required, § 102.9(b)(1)
Expenditures allocated among states, § 106.2(b) and (d)
Federal activity of unregistered organization, § 102.5(b)
Federal Election Commission, records kept by,
Joint fundraising, § 102.17(c)(4)
Petty cash fund, § 102.11
— best efforts of treasurer, § 102.9(d); § 104.7
— electronically filed reports, § 104.18(g)
— maintenance of, § 102.9(d); § 104.14(b)(1)
— preservation of, § 102.9(c); § 104.14(b)(2) and (3); § 104.18(g)
Separate segregated fund custodian, duties of, § 114.6(d)
State officers' duties, § 108.6
Testing-the-waters activity, § 101.3
Of committee staff, for advances made, § 116.5(b)
Of federal account by nonfederal account, for allocable expenses, § 106.5(g); § 106.6(e)
— by collecting agents, to separate segregated fund, § 114.5(b)(3)
— by separate segregated fund, to parent organization, § 114.5(b)(2)
— to campaign, § 113.1(g)(1)(ii)(C) and (D)
— to corporate/labor organization, § 114.9(e)(1) and (2)
— by nonemployees and nonmembers, § 114.2(f); § 114.9(d)
— in advance of using certain resources, § 114.2(f)(2)
Prohibited, by parent organization to separate segregated fund, § 114.5(b)
Acknowledgement of report's receipt, § 104.14(c)
Allocable expenses,
Amending previous report, § 104.7(b)(4)
Bank loans, § 104.3(d)
Building fund account activity of national party, § 104.8(f); § 104.9(c)
Cash-on-hand, § 104.3(a)(1); § 104.12
Collecting agent, of funds received through, § 102.6(c)(7)
Communications by corporations and labor organizations, § 100.8(b)(4); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i)
Compulsory, § 104.1(a)
Computerized, § 104.2(d)
Consolidated, § 104.3(f)
Content of reports, § 104.3
— aggregate of, § 104.8(b)
— by check, § 104.8(c) and (d)
— earmarked, § 104.3(j); § 110.6(c)
— exceeding $200, § 104.8(a)
— illegal-appearing, § 103.3(b)
— in-kind, § 104.13; § 106.1(b)
— joint, § 104.8(d)(1)
— of $1,000 or more, 48 hour notification, § 104.5(f)
— reattributed, § 104.8(d)(3)
— redesignated, § 104.8(d)(2)
— refunded, § 104.8(d)(4)
— summary of, § 104.3(c)
— to delegates, § 110.14(d)(3)
— uniformity in reporting, § 104.8
— amending reports to include information on, § 104.7(b)(4)
— change of name, § 104.8
— identification of, § 100.12; § 104.7(b); § 104.8(a) and (b)
— information in committee's possession, § 104.7(b)(3)
— information not provided by, § 104.7(b)
— multiple contributors, § 104.8(c) and (d)
— pseudonyms, use of, § 104.3(e)
Convention, national nominating, Part 107
Corporation/labor organization, for internal communications, § 104.6
Cumulative, § 104.3(i)
— categories of, § 104.3(b)(1) and (2)
— from nonfederal accounts of national party, § 104.9(c) and (d)
— itemization of, § 104.3(b)(3) and (4)
— uniform reporting of, § 104.9
Donations to national party, § 104.8(e) and (f)
Earmarked contributions,
Election year, § 104.5(a)(1), (b)(1) and (c)(1)
Electronic filing, § 104.18
— aggregate of, to one recipient, § 104.9(b)
— by delegates, § 110.14(e)(2) and (f)(1)(iii)
— candidate-allocated, § 104.10
— coordinated party, § 110.7(c)
— exceeding $200, § 104.9(a)
— operating, summarized, § 104.3(c)
— personal use expense, § 104.3(b)(4)(i)(B)
— State-allocated, for Presidential candidates, § 106.2(c)
— uniformity in reporting, § 104.9
Failure to report, § 111.8(c)
Filing reports,
Forms,
Forty-eight hour notification of contribution, § 104.5(f)
Identification number, § 102.2(c)
Independent expenditures,
Interest income, § 103.3(a); § 104.3(a)(4)(vi)
Joint fundraising activity, § 102.17(c)(3)(iii) and (8)
Legal and accounting services, § 104.3(h); § 114.5(e)(2)(ii)
Loans, § 104.3(d)
— by Presidential committee, § 104.5(b)(1)(i) and (iii) and (2)(i)
— by unauthorized committee, § 104.5(c)(3)
— waivers, § 104.5(b)(1)(i)(C) and (c)(3)(ii)
Non-election year, § 104.5(a)(2), (b)(2) and (c)(2)
Nonfederal campaign committee, § 110.3(c)(6)(iii)
Nonfilers,
Party coordinated expenditures, § 110.7(c)
Party office building fund, donations to, § 104.3(g)
Payroll deductions, § 104.8(b)
— by Congressional committee, § 104.5(a)(1)(ii)
— by Presidential committee, § 104.5(b)(1)(i)(C) and (ii)
— by unauthorized committee, § 104.5(c)(1)(iii)
— by Congressional committee, § 104.5(a)(1)(i)
— by Presidential committee, § 104.5(b)(1)(i)(C) and (ii)
— by unauthorized committee, § 104.5(c)(1)(ii)
Preservation of reports, § 102.9(c); § 104.14(b)(2) and (3)
Pseudonyms, § 104.3(e)
Public inspection of reports,
— by Congressional committee, § 104.5(a)(1)(iii)
— by Presidential committee, § 104.5(b)(1)(ii) and (2)(ii)
— by unauthorized committee, § 104.5(c)(1)(i)
— waivers, § 104.5(a)(1)(iii)(C) and (c)(1)(i)(C)
— cash-on-hand, § 104.3(a)(1); § 104.12
— categories of, § 104.3(a)(2) and (3)
— itemization of, § 104.3(a)(4)
— nonfederal donations to national party, § 104.8(e) and (f)
— uniform reporting of, § 104.8
Requirements, formal, § 104.14; § 104.18
Sale/use restriction on filed reports, § 104.15
— by Congressional committee, § 104.5(a)(2)
— by unauthorized committee, § 104.5(c)(2)(i)
Separate segregated fund reports, § 114.5(e)
Special election reports, § 104.5(h)
State filing,
State officers' duties, § 108.6
Stocks, bonds, art objects, § 104.13(b)
Termination report, § 102.3(a)
Testing-the-waters activity, § 101.3
— assigned debts, § 116.2(c)(3)(ii)
— between federal and nonfederal accounts, § 104.10(a)(2) and (b)(3)
— from nonfederal campaign committee, § 110.3(c)(6)(iii)
— from political committee, § 104.3(b)(3)(ii) and (4)(ii)
— to committee, § 104.3(a)(4)(iii)
Transmittal of reports to Commission by Secretary of the Senate, § 105.5
Treasurer of committee, duties of, § 104.1(a); § 104.14
Twenty-four hour notification of independent expenditure, § 104.5(g)
Vice Presidential committee reports, § 104.5(d)
Voluntary, § 104.1(b)
— for special election, § 104.5(h)(2)
— monthly, § 104.5(b)(1)(i)(C) and (c)(3)(ii)
— quarterly, § 104.5(a)(1)(iii)(C) and (c)(1)(i)(C)
— by Congressional committee, § 104.5(a)(1)(iii)(A) and (2)(i)(B)
— by Presidential committee, § 104.5(b)(1)(i)(C)
— by unauthorized committee, § 104.5(c)(1)(i)(A) and (2)(i)(B)
Communications directed to, by corporations and labor organizations, § 114.1(j); § 114.3(a)
— for communications, § 114.1(j)
— for cooperatives, § 100.8(b)(4)(iv)(B); § 114.1(e)(2) and (j); § 114.3(a)(2); § 114.5(g)(1); § 114.7(a), (h) and (k)
— for corporations, § 100.8(b)(4)(ii) and (iii); § 114.1(c), (h) and (j); § 114.3(a); § 114.5(g)(1)
— for labor organizations, § 100.8(b)(4)(iv)(B); § 114.1(e)(2); § 114.3(a); § 114.5(g)(2)
— for membership organization, incorporated, § 100.8(b)(4)(iv)(B); § 114.1(e)(2) and (j); § 114.3(a)(2); § 114.5(g)(1); § 114.7(a) and (h)
— for national banks, § 100.8(b)(4)(ii) and (iii); § 114.1(c) and (h); § 114.3(a); § 114.5(g)(1)
— for trade associations, § 100.8(b)(4)(iv)(B); § 114.1(e)(2); § 114.3(a)(2); § 114.5(g)(1);§ 114.7(c); § 114.8(c), (f), (h) and (i)
Solicitation of, by corporations, labor organizations or their separate segregated funds, § 110.11(a)(7); § 114.5(g); § 114.7(a)
Advisory opinions based on, § 112.1(a)
Effect on State law, § 108.7
Petitions for rulemaking,
Scope, § 1.1; § 2.1; § 4.3; § 5.3; § 100.1; § 110.14(a)
Definition, § 100.2(d)
Reporting dates, § 104.5(h)
— in newspapers/magazines/books, § 104.15(c)
— political committee information, § 104.15(a)
Prohibited use of individual contributor information, § 104.15(a)
Soliciting contributions, defined, § 104.15(b)
Reports filed with, § 105.2
Transmittal of reports to Commission, § 105.5
Allocation of federal/nonfederal expenses, § 106.5(c)
Contributions by, § 110.2(e); § 110.3(b)(1) and (2)(ii)
Contributions to, § 110.1(c); § 110.2(c); § 110.3(b)(1) and (2)(ii)
— contribution limit shared, § 110.3(a)(1)
— definition, § 100.5(g)(2)
— factors indicating, § 100.5(g)(3)(ii); § 110.3(a)(3)(ii)
Allocation of federal/nonfederal expenses,
Collecting agent for, § 102.6(b) and (c)
Conduit for earmarked contributions, § 110.6(b)(2); § 114.2(f)(2)(iii), (3)(ii) and (4)(iii)
— control of fund, § 114.5(d)
— definition, § 100.6
— disclosure of, on Statement of Organization, § 102.2(b)(ii)
— name requirement, § 102.14(c)
— treasury money used for fund, § 114.5(b)
— contributors permitted by law, § 114.5(j)
— limitations on, § 110.1(d); § 110.2(d); § 110.3(a)(1)(ii), § 114.5(f)
— via employee participation plan, § 114.11
— voluntary only, § 114.1(i); § 114.5(a)
Control of, § 114.5(d)
— connected organization's payment of, § 114.5(b)
— contribution/expenditure exemption, § 114.1(a)(2)(iii)
— definition, § 114.1(b)
Facilities used in volunteer activity, § 114.9
Federal contractor, established by, § 115.3
Fundraising event, reimbursement to connected organization for, § 114.5(b)(2)
Membership in, § 114.5(c)
Multicandidate,
Political committee status, § 100.5(b)
Registration of, § 102.1(c)
— by collecting agent, § 102.6(c)(1)
— coercive methods prohibited, § 114.5(a)(1)
— disclaimer notice not required, § 110.11(a)(7)
— employees/members, requirements, § 114.5(a); § 114.7(g)
— guidelines for solicitation card, § 114.5(a)(2)
— methods for, § 114.1(f) and (g)
— not facilitation, § 114.2(f)(1) and (4)(i)
— to restricted class only, § 114.5(g); § 114.7(a)
— twice yearly solicitations, § 114.6
Statement of Organization requirements, § 102.2
Transmittal of funds received by collecting agent for, § 102.6(c)
Twice yearly solicitations, § 114.6
Use of treasury funds, § 114.5(b)
Contributions to, § 110.1(h)(1); § 110.5(c)(3)(i)
Definition, § 100.5(e)(2)
Contribution/expenditure exemption, § 100.7(b)(9); § 100.8(b)(10)
Disclaimer notice required, § 110.11(a)(4)
As Federal contractor, § 115.5
Definition, § 100.2(f)
Report, § 104.5(h)
Contributions by, § 100.7(c); § 110.1(i)(1)
Expenditures by, § 100.8(c)
Family of candidate, § 113.1(g)
Loans, cosigning, § 100.7(a)(1)(i)(D) and (b)(11); § 100.8(b)(12)
Definition, § 100.11
Filing with,
Law, effect of Act and regulations on, § 108.7
— definition, § 113.1(d)
— transfers from nonfederal campaign, prohibited, § 110.3(d); § 110.8(d)(2)
— duties of, § 108.6
— filing documents with, Part 108
— procedures, § 102.6(c)
— registration and reporting, § 102.6(b)(2)
Member of, defined, § 100.8(b)(4)(iv)(B); § 114.1(e)(2)
Membership association, defined as, § 100.8(b)(4)(iv)(A); § 114.1(e)(1)
Allocation of federal/nonfederal expenses,
Committees established and maintained by, § 110.3(b)(3)
Coordinated party expenditure limits, § 110.7(b) and (c)
Definition, § 100.14(a)
Designated as agent of national committee, § 109.1(d)(2); § 110.7(a)(4)
Multicandidate,
— nonpartisan, § 114.4
— partisan, § 114.3(a)
Corporate facilities, use of by, § 114.9(a)
Definition, § 114.1(h); § 114.10(b)(4)
Solicitations of, § 114.5(g) and (k); § 114.6(d); § 114.6(b); § 114.8(f) and (g)
By Commission, § 102.4
By committee, § 102.3
Prohibited if committee has unpaid/unsettled debts, § 102.3; § 116.7(a)
Statement regarding use of assets, § 102.3(a)(2)
— authorized committee, § 116.2(c)
— bankrupt under Chapter 7, § 116.7(g)
— debt settlement plan filed by, § 116.7
— debts owed by, § 116.2(a); § 116.10(b)
— defined, § 116.1(a)
— efforts to satisfy debts, “reasonable,” § 116.4(c) and (d)(2)
— request to find debt unpayable, § 116.9(b)
Contribution/expenditure exemption, pre-candidacy, § 100.7(b)(1); § 100.8(b)(1); § 101.3
Polling expenses, § 106.2(a)(2); § 106.4(a)
— beyond restricted class, § 114.4; § 114.8(i)
— containing express advocacy, to restricted class, § 114.1(j); § 114.3; § 114.8(i)
— reporting, § 100.8(b)(4)(iv); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i)
— to general public, § 114.4(a) and (c)
Definition, § 114.8(a)
Employees, § 114.8(i)
Federation of, solicitations by, § 114.8(g)
Member of, defined, § 100.8(b)(4)(iv)(B); § 114.1(e)(2)
Membership association, defined as, § 100.8(b)(4)(iv)(A); § 114.1(e)(1)
— contribution prohibition applies, § 114.8(b)
— disclaimer notice not required, § 110.11(a)(7)
— notices required, § 104.7(b); § 114.5(a)
— of corporate members, § 114.7(c); § 114.8(c), (d), (e), (f) and (i)(2)
— of employees, § 114.8(e)(4) and (i)(2)
— of member's separate segregated fund, prohibited, § 114.7(j)
— of noncorporate members, § 114.7(c)
— limited to one trade association per year, § 114.8(c)(2)
— may limit number/scope of solicitations, § 114.8(d)(5) and (e)
— of subsidiary of corporate member, § 114.8(f)
— retention of, § 114.8(d)(2)
— separate designation required for each year, § 114.8(d)(4)
— written, § 114.8(d)(2)
Affiliation criterion, § 100.5(g)(4)(i); § 110.3(a)(3)(i)
— affiliated committees, § 102.6(a)(1); § 110.3(c)(1)
— candidate's federal/nonfederal campaign committees, prohibited, § 110.3(d); § 110.8(d)(2)
— candidate's previous/current campaign committees, § 110.3(c)(4)
— collecting agent and separate segregated fund, § 102.6(b) and (c); § 110.3(c)(1)
— dual candidate's campaign committees, § 110.3(c)(5); § 110.8(d)(2)
— participants of joint fundraiser, § 102.6(b)(1)(iii); § 102.17(c); § 110.3(c)(2)
— party committees of same party, § 102.6(a)(1)(ii); § 110.3(c)(1)
Excess campaign funds, § 110.3(c)(3) and (4); § 113.2(c)
For investment purposes, § 103.3(a)
Joint fundraising proceeds, § 102.6(a)(1)(iii); § 102.17(c)(7); § 110.3(c)(2)
Office account funds, § 113.4
Primary funds to general election campaign, § 110.3(c)(3)
— between publicly funded campaign committee and affiliated committee of dual candidate, § 110.3(c)(5)(iii)
— from nonfederal campaign committee to federal campaign committee, § 110.3(d); § 110.8(d)(2)
— if transferor has net debts outstanding, § 116.2(c)(2)
Registration requirements may be triggered by, § 102.6(a)(2); § 102.17(c)(7)(ii)
Reporting requirements for, § 102.6(c)(7); § 102.17(c)(8); § 104.3(a)(4)(iii), (b)(1)(ii), (b)(2)(ii), (b)(3)(ii), and (b)(4)(ii); § 104.10(a)(2) and (b)(3)
To allocation account,
Transfer of campaign assets, § 113.1(g)(3)
Advance of money for, § 102.9(b)(2)(i)(B); § 116.5(b)
— among States, by Presidential candidates, § 106.2(b)(2)(iv) and (v)
— campaign/noncampaign, § 106.3
Campaign funds used for, § 113.1(g)(1)(ii)(C) and (D); § 113.2(a)(1) and (d)
Corporate/labor transport for candidate, § 114.9(e)
Government conveyance used for, § 106.3(e)
Reimbursed, § 116.5(b)
Unreimbursed payments for, exempted, § 100.7(b)(8); § 100.8(b)(9)
Assistant treasurer, designation of, § 102.7(a)
— determine contribution's legality, § 103.3(b)(1)
— obtain, maintain and submit required information, § 102.9(d); § 104.7
Custodian of separate segregated fund, § 114.6(d)(5)
— accepting contributions/making expenditures, § 102.7(b)
— authorizing expenditures, § 102.7(c)
— calculating net debts, § 110.1(b)(3)(ii); § 110.2(b)(3)(ii)
— depositing receipts, § 103.3(a)
— filing documents, § 104.14(d)
— handling excessive contributions, § 110.1(k)(3)
— handling illegal-appearing contributions, § 103.3(b)
— recordkeeping, § 102.9; § 104.7; § 104.14(b)
— reporting, § 104.1(a); § 104.7
— retaining records, § 102.9(c); § 104.14(b)(2) and (3)
— signing documents, § 104.14(a)
Forwarding contributions to, § 102.8
Required for political committees, § 102.7(a)
Vacancy in office, § 102.7(a) and (b)
Employee participation plan, § 114.11
Established for minors, § 110.1(i)(2)
Personal funds of candidate, § 110.10(b)
— independent expenditure, § 109.1
— invoking name of candidate, § 102.14(a) and (b)(3)
— notice required, § 109.3; § 110.11(a)(1)(iii) and (iv) and (a)(7)
Contributions to, § 102.8(b); § 110.1(h)
Definition, § 100.5(f)(2)
Multicandidate,
Name of, restrictions, § 102.14(a)
Polling results, purchased by, § 106.4(d)
UNUSED CAMPAIGN FUNDS
USE OF FUNDS
Commercial,
Of food/beverage, discount given by, § 100.7(b)(7); § 100.8(b)(8)
Food and beverage, exempted contribution/expenditure, § 100.7(b)(7); § 100.8(b)(8); § 114.1(a)(2)(v)
Of contribution/expenditure prohibitions and limitations, § 110.9(a)
Prohibited contributions, § 110.4
Campaign materials,
Church or community room, § 100.7(b)(5); § 100.8(b)(6)
Corporate/labor facilities and resources used for, § 114.2(f); § 114.9(a) and (b)
Expenditures made by delegate/delegate committee, § 110.14(f)(1) and (i)(1)
Food, beverage and invitations, § 100.7(b)(6); § 100.8(b)(7)
Legal and accounting services,
Living expenses, § 100.7(b)(8); § 100.8(b)(9)
Personal services, § 100.7(b)(3)
Residential premises, § 100.7(b)(4); § 100.8(b)(5)
Salary owed to committee staff converted to, § 116.6
Travel, § 100.7(b)(8); § 100.8(b)(9)
Vendor discount of food/beverage, § 100.7(b)(7); § 100.8(b)(8); § 114.1(a)(2)(v)
— to general public, § 114.4(c) and (d)
— to restricted class, § 114.3(c)(4)
Candidate records and voter guides,
Disclaimer notice required, § 110.11(a)(1) and (4)
Distribution of voting information at place of employment, § 114.4(c)(3)
Generic, allocation of federal/nonfederal expenses for,
Not attributable to specific candidate, § 106.1(c)(2)
— disclaimer notice required, § 110.11(a)(1), (2) and (4)
— Presidential nominee, on behalf of, § 100.7(b)(17); § 100.8(b)(18); § 106.1(c)(3)
— by party, § 100.7(b)(17); § 100.8(b)(18); § 106.1(c)(3); § 110.11(a)(4)
— telephone programs for, § 106.2(b)(2)(iv)
By corporation/labor organization, § 114.4(c)(4) and (5)
— coordinated party, § 110.7(a)(2) and (b)(2)(i)(A)
— for Presidential candidate, § 110.8(a)(1)
Definition, § 110.9(d)
* This index makes occasional reference to Parts 102-116 of 11 CFR, governing Federal election activity.
— accept burden of proof, § 9003.1(b)(1)
— comply with Act and regulations, § 9003.1(b)(8)
— comply with documentation requirements, § 9003.1(b)(2)
— furnish computerized records, if kept, § 9003.1(b)(4)
— identify depositories, § 9003.1(b)(7)
— identify treasurer, § 9003.1(b)(7)
— keep books and records, § 9003.1(b)(4)
— make repayments, § 9003.1(b)(6)
— pay civil penalty, if required, § 9003.1(b)(9)
— permit/facilitate audit and examination, § 9003.1(b)(6)
— provide explanation/additional information, § 9003.1(b)(3), (4) and (5); § 9012.4
— use closed captioning in television ads, § 9003.1(b)(10)
Eligibility for payments requires, § 9003.1(a)(1)
Submission dates for, § 9003.1(a)(2)
Alternative methods of determining compliance-related costs, § 9003.3(a)(2)(ii)(F) and (b)(7)
Of expenditures among states, § 106.2
Of travel expenditures, § 9004.7
Recordkeeping, § 9003.3(a)(2)(ii)(A) and (3)
Additional, § 9007.1(a)(2); § 9007.4
Agreement to permit, § 9003.1(b)(6)
— extension of time for, § 9007.3
— repayment determination, § 9007.2(a)(2)
Computerized records provided for, § 9003.1(b)(4); § 9003.6; § 9007.1(b)(1)
— conduct of, § 9007.1(b)(1)
— exit conference, § 9007.1(b)(2)(iii) and (c)
— information provided to committee, § 9007.1(b)(2), (3) and (4)
— records, office and staff provided for, § 9007.1(b)(1)
— settlement of dispute arising during, § 9007.1(b)(1)(iv)
Investigative procedures, § 9007.1(b)(1)(v)
— copy to committee, § 9007.1(e)(3)
— copy to public, § 9007.1(d)(2) and (e) (1) and (2)
— preparation of, § 9007.1(d)
— public release of, § 9007.1(e)
Sampling, § 9007.1(f)
Candidate's responsibilities, references to include, § 9002.1(d)
Definition, § 9002.1
Expenses incurred by, are qualified campaign expenses, § 9002.11(b)
Expenses incurred by, in excess of entitlement, § 9012.1
National committee may be designated as, § 9002.1(c)
Recordkeeping by,
Reporting by, § 9003.3(a)(3)(ii); § 9003.4(c); § 9006.1; § 9006.3
Stale-dated committee checks, § 9007.6
Support of other candidates by, § 9002.11(b)(3)
Withdrawal of authorization, § 9002.1(b)
Candidate agreement, § 9003.1(b)(7)
Compliance fund, major party candidate, § 9003.3(a)(3)
Individuals' contributions, depository for, § 9003.2(c)(6); § 9003.3(a)(3), (b)(2) and (c)(3); § 9003.4(c); § 9005.2(c)
Loans for expenses incurred prior to receipt of funds, § 9003.4(c)
Minor or new party candidates, § 9003.3(c)(3)
Pledged future receipts, separate, § 100.7(b)(11)(i)(B); § 100.8(b)(12)(i)(B)
Public funds, depository for, § 9005.2(c)
Segregation of compliance and public funds, § 9003.3(a)(3)(i)
Authorized committee of,
Compliance, § 9003.1(b)(8)
Credit card used by, § 9003.2(c)(8)
Definition, § 9002.2
Entitlement of,
Family of, § 9003.2(c)(1)
Independent, § 9002.7
— certification of, § 9003.2(a)
— definition of, § 9002.2(a)(1)
— entitlement of, § 9004.1
— certification of, § 9003.2(b)
— definition of, § 9002.7
— entitlement of, § 9004.2; § 9004.3
— certification of, § 9003.2(b)
— definition of, § 9002.8
— entitlement of, § 9004.2
— post-election payments to, § 9004.3
Payments to, § 9004.4(b)(6)
Personal funds of, § 9003.2(c)
Support of other candidates by, § 9002.11(b)(3)
— authorized committee of, § 9002.1(a)
— certification of, § 9003.2(a) and (b)
— definition, § 9002.2(a)(1)
— eligibility, § 9002.4
— expenditures for, § 9002.11(b)(1)
— personal funds of, § 9003.2(c)(4)
— eligibility ceases, § 9004.8(b)
— repayment required, § 9004.9(c)
Administrative record for, § 9007.7
— finality of, § 9005.1(d)
— for major party candidates, § 9005.1(a)
— for minor/new party candidates, post-election, § 9005.1(c)
— for minor/new party candidates, pre-election, § 9005.1(b)
— payments by Secretary based on receipt of, § 9005.2
— contribution limitations, § 9003.2(a)(2)
— deadline for submission, § 9003.2(d)
— expenditure limitations, § 9003.2(a)(1)
— personal and family expenditures, limitations on, § 9003.2(c)
— contribution limitations, § 9003.2(b)(2)
— deadline for submission, § 9003.2(d)
— expenditure limitations, § 9003.2(b)(1)
— personal and family expenditures, limitations on, § 9003.2(c)
Definition, § 9002.3
Allowable, § 9003.3
Corporate/labor, prohibited, § 9003.3(a)(1)(i)(B), (b)(4) and (c)(2)
Definition, § 9002.13
Disgorgement of illegal, § 9007.1(f)(3)
From family members or personal funds, § 9003.2(c)
Legal and accounting compliance fund, § 9003.3(a)(1) and (c)(3)(iv)
Limitations and prohibitions, § 9003.3(a)(1)(i)(B), (b)(4) and (c)(2)
Redesignation of, § 9003.3(a)(1)
Reporting of, § 9006.1(b)(1)(i) and (ii)
— by major party candidate, § 9003.3(a) and (b)
— by minor/new party candidate, § 9003.3(c)
Source of repayment, § 9007.2(a)(4)
Used for qualified campaign expenses,
Assignment of, to affiliated committee, § 116.2(c)(3)
Determination of uncollectibility, § 9004.9(e)
For nonqualified expenses, § 9004.9(a)(3)
Settlement, repayment obligations not subject to, § 116.7(c)(1)
Used to reduce expenditures counting against limit, § 9004.4(b)(2)
Minor/new party candidate entitlement, adjusted due to, § 9004.3(b)(2)
Payment withheld due to, § 9005.2(b)
Sale of assets acquired for fundraising permitted if, § 9004.10
— campaign depository for, § 9003.2(a)(2); § 9003.3(b)(2)
— cost of solicitation, § 9003.3(b)(5) and (6)
— limitations and prohibitions applicable, § 9003.3(b)(4)
— reporting of, § 9006.1(b)(1)(i)
— to defray qualified campaign expenses only, § 9003.3(b)(2)
— transfer from legal and accounting compliance fund, § 9003.3(b)(3)
Authorized committee, § 9002.1(a)
Candidate, § 9002.2
Capital assets, § 9004.9(d)(1)
Cash on hand, § 9004.9(a)(2)(i)
Closing date, § 9003.2(c)(8)
Commission, § 9002.3
Contribution, § 9002.13
Eligible candidates, § 9002.4
Expenditure report period, § 9002.12
Fund, § 9002.5
Immediate family, § 9003.2(c)(1)
Major party, § 9002.6
Minor party, § 9002.7
New party, § 9002.8
Payee, § 9003.5(b)(3)(i)
Personal funds, § 9003.2(c)(3)
Political committee, § 9002.9
Presidential election, § 9002.10
Purpose of campaign expense, § 9003.5(b)(3)(ii)
Qualified campaign expense, § 9002.11
Secretary, § 9002.14
Agreement to document, § 9003.1(b)(2)-(6)
Disgorgement, § 9007.1(f)(3)
Documentation required for, § 9003.5(b)
From legal/accounting compliance fund, § 9003.3(a)(3)(ii)
Reporting of, § 9006.1
Candidate agreement, § 9003.1(b)(2)-(5)
Of disbursements, § 9003.5
Expenditure report period for, § 9002.12
— major, § 9002.6
— minor, § 9002.7
— new, § 9002.8
— minor/new party candidate, § 9004.3
— minor party candidate, § 9004.2(a) and (b)
— new party candidate, § 9004.2(c)
Presidential, defined, § 9002.10
Administrative record for determinations of, § 9007.7
Agreement required to establish, § 9003.1
Certification required to establish, § 9003.2
Eligible candidates, defined, § 9002.4
FEC certification of, to Secretary, § 9005.1
Withdrawal terminates, § 9004.8(a)
Adjustment of, due to deficiency in fund, § 9004.3(b)(2); § 9005.2(b)
Expenditures exceed, § 9012.1
Major party candidate, maximum amount of, § 9004.1; § 9004.3(b)(2) and (c)
— election results determine, § 9004.3(a)
— maximum amount of, § 9004.3(b) and (c)
— net outstanding qualified campaign expenses, § 9004.9
— pre-election, § 9004.2
Payment to candidates,
Withdrawal of candidate affects, § 9004.8
Committee policy for, § 9003.5(b)(1)(iv)
Disposition of stale-dated committee checks, § 9007.6
Documentation of, § 9003.1(b)(2)-(6); § 9003.5
Expenditure report period, § 9002.12
Legal and accounting compliance expenses,
— major party candidate, § 9003.2(a)(1)
— minor/new party candidate, § 9003.2(b)(1)
— party committee, § 110.7(a)
— personal and family funds, § 9003.2(c)
— Vice Presidential candidate, § 9003.2(c)(4)
Limitations, exceptions,
— civil or criminal penalties, § 9004.4(b)(4)
— incurred after expenditure report period, § 9004.4(b)(3)
— incurred in excess of limitations, § 9004.4(b)(2); § 9012.1
— incurred to support other candidate, § 9002.11(b)(3)
— lost or misplaced items, § 9004.4(b)(8)
— net loss resulting from investment of funds, § 9004.5
— payments to candidate, § 9004.4(b)(6)
— solicitation costs, major party candidate, § 9004.4(b)(5)
— transfer to another campaign, § 9004.4(b)(7)
Reporting, § 9006.1; § 9006.3
— for campaign staff, § 9004.7
— for media personnel, § 9004.6
— for Secret Service, § 9004.6
Unauthorized, § 9012.6
Use of credit card for, § 9003.2(c)(8)
Use of public funds for,
Contributions from, prohibited, § 9003.3(a)(1)(i)(B), (b)(4) and (c)(2)
Permissible, § 9004.5
Repayment of income/loss resulting from, § 9004.5; § 9007.2(b)(4)
Contributions from, prohibited, § 9003.3(a)(1)(i)(B), (b)(4) and (c)(2)
— designation of contributions for, § 9003.3(a)(1)(i)(C) and (vi)
— redesignation of contributions to, § 9003.3(a)(1)(ii)-(v)
— subject to limitations and prohibitions, § 9003.3(a)(1)(i)(B)
Establishment of, prior to nomination, § 9003.3(a)(1)(i)
Expenditures from, exempt from limitations, § 9003.3(a)(2)(iii)
Recordkeeping, § 9003.3(a)(3)(ii)
Reporting, § 9003.3(a)(3)(ii); § 9006.1(b)(2)
Separate account required for, § 9003.3(a)(3)(i)
Solicitations for, § 9003.3(a)(1)(i)(A) and (2)(i)(E)
Transfers into GELAC fund, § 9003.3(a)(1)(ii)-(v)
— administrative expenses, § 9003.3(a)(2)(i)(B) and (ii)
— civil and criminal penalties, payment of, § 9003.3(b)(2)(i)(C)
— computer costs, § 9003.3(a)(2)(ii)(D) and (E)
— defraying expenses incurred prior to expenditure report period, § 9003.4(a)(2)
— legal and accounting services, § 9003.3(a)(2)(i)(A) and (B)
— repayments, § 9003.3(a)(2)(i)(D)
— transfers to other accounts, § 9003.3(a)(2)(iv)
— transportation and services for Secret Service, § 9003.3(a)(2)(i)(H)
Incurred for qualified campaign expenses, § 9003.4(b)
Public funds used to repay, § 9004.4(a)(2)
Repayment of, § 9003.4(b)
— banks, § 9003.4(b)(1)
— excess primary campaign funds, § 9003.4(b)(4)(i)
— legal and accounting compliance fund, § 9003.3(a)(2)(i)(G) and (iii)
— personal funds, § 9003.4(a)(5)
— contributions, § 9003.2(a)(2)
— expenditures, § 9003.2(a)(1)
Definition, § 9002.6
Entitlement, § 9004.1
Reports,
— contributions, § 9003.2(b)(2)
— expenditures, § 9003.2(b)(1)
Definition, § 9002.7
— post-election payments, § 9004.3(a)
— pre-election payments, § 9004.2
Reports,
Convention expenses in excess of entitlement, § 9012.1(b)
Designated as candidate's principal campaign committee, § 9002.1(c)
Expenditure limitations, § 110.7(a)
Kickbacks given or accepted by, § 9012.5
Assets included in computation of, § 9004.9(d); § 9007.2(g)
Collectibility of accounts receivable, § 9004.9(e)
Commission review of statement, § 9004.9(f)
Computation of, § 9004.9(a) and (d)
— all candidates, § 9004.9(b)
— candidates who withdraw prior to election, § 9004.8(b)(2); § 9004.9(c)
Determines post-election funding, § 9004.9(f)(2); § 9005.1(c)
Exemptions from outstanding obligations, § 9004.9(a)(3)
Statement of, required, § 9004.9
Winding down costs included, § 9004.9(a)(1)(iii)
— contributions, § 9003.2(b)(2)
— expenditures, § 9003.2(b)(1)
Definition, § 9002.8
Entitlement, § 9004.2; § 9004.3
Reports, § 9006.1
— disputed initial determination, § 9005.1(b)(2) and (c)(4)
— disputed repayment, § 9007.2(c)
— extension of time, request for, § 9007.3
— newly discovered assets, § 9007.2(g)
— post-election entitlement, § 9004.9(f)(2)
— stale-dated committee checks, § 9007.6
— withdrawal of candidacy, § 9004.8(b)(2)
— additional repayment, § 9007.2(f)
— final audit report, § 9007.1(e)(3)
— repayment, § 9007.2(a)(2), (b) and (c)(1)
Audit may affect, § 9007.1
— major party candidate, must be separate, § 9005.2(c)
— minor party candidate, § 9003.3(c)(3)
Deficiency in,
— major party candidate, § 9003.2(a)
— minor/new party candidate, § 9003.2(b)
— major party candidate, § 9004.1
— minor/new party candidate, § 9004.2; § 9004.3
FEC certification to Secretary of Treasury, § 9005.2(a)
Future, used as loan collateral, § 100.7(b)(11)(i)(B); § 100.8(b)(12)(i)(B)
Investment of, § 9004.5; § 9007.2(b)(4)
Secretary of Treasury makes, § 9005.2(a) and (b)
Unlawful use of, § 9012.3
Use of, for qualified campaign expenses only, § 9004.4(a)
Withheld, if deficiency in fund, § 9005.2(b)
Definition, § 9003.2(c)(3)
Expended prior to expenditure report period, § 9003.4(b)(5)
Expenditures from, by Vice Presidential candidate, § 9003.2(c)(4)
Liability for repayments, § 9003.2(c)(7)
Limitations on, § 9003.2(c)
Reporting of, § 9006.1(b)(1)(iv)
Source of repayment, § 9007.2(a)(4)
Definition, § 9002.9
Authorized committees incur, § 9002.1; § 9002.11(b)
Burden of proof on candidate, § 9003.1(b)(1); § 9003.5(a)
— major party candidate, § 9003.2(a)
— minor party candidate, § 9003.2(b)
— administrative costs, § 9003.3(c)(6), (7) and (8)
— campaign depository for, § 9003.3(c)(3)
— legal and accounting compliance costs, § 9003.3(c)(6), (7) and (8)
— limitations and prohibitions, § 9012.2
— reporting of, § 9003.3(c)(4) and (9); § 9006.1(b)(1)(ii)
— solicitation costs, § 9003.3(c)(5)
— to supplement public funds, § 9003.3(c)(1)
Definition, § 9002.11(a)
Defrayal of, if candidate withdraws, § 9004.8(b)(1)
Documentation required for, § 9003.1(b)
Expenditures in excess of limitations, § 9007.2(b)(2)(ii)(A); § 9012.1
Furthering election of other candidates, § 9002.11(b)(3)
Gifts and bonuses, § 9004.4(a)(5)
Incurred before expenditure report period, § 9002.11(c); § 9003.4(a)
Incurred on behalf of Vice Presidential candidate, § 9002.11(b)(1)
Legal and accounting compliance costs,
Loans incurred for, § 9003.4(b)
Media personnel, transportation and services provided to, § 9004.6
Net outstanding, statement of, § 9004.9
Nonqualified,
Polling costs, § 9003.4(a)(1)
Recordkeeping, § 9003.1(b)(1); § 9003.5
Reporting, § 9006.1
Secret Service personnel, § 9004.6
Solicitation of contributions by major party candidate,
Unauthorized expenditures, limitations for, § 9012.6
Use of personal funds for, § 9003.4(c)
Use of public funds for, § 9004.4(a)
Use of public funds for other than, § 9007.2(b)(2)
Winding down costs, § 9004.4(a)(4)
Candidate agreement, § 9003.1(b)(4)
Capital and other assets, § 9003.5(d)
Computerized records, production of, § 9003.1(b)(4); § 9003.6
— candidate and committee agreements, § 9003.1(b)
— collectibility of accounts receivable, § 9004.9(e)
— computer tapes, § 9003.1(b)(4)
— disbursements, § 9003.5
— other organizations related to candidate, § 9003.1(b)(5)
Falsification in, § 9012.4
Legal/accounting compliance fund, § 9003.3(a)(3) and (c)(4)
Production of computer tapes and software, § 9003.1(b)(4)
Qualified campaign expenses, § 9003.1(b); § 9003.3(b)(2); § 9003.5
Retention of records, § 9003.5(c)
For travel by media personnel, § 9004.6
In computing qualified campaign expenses, § 9002.11(b)(4)
May be deposited with public funds, § 9005.3(d)
Additional, § 9007.2(f)
Administrative record for determinations, § 9007.7
— assets newly discovered, § 9007.2(g)
— funds remain after qualified campaign expenses paid, § 9007.2(b)(3)
— funds used for nonqualified campaign expenses, § 9007.2(b)(2)
— investment of funds results in income, § 9004.5; § 9007.2(b)(4)
— payments exceed entitlement, § 9007.2(b)(1)
— unlawful contributions accepted, major party candidate, § 9007.2(b)(5)
Candidate agreement to make, if required, § 9003.1(b)(6)
— extension of time, § 9007.3
Determination of, § 9007.2
Effect of failure to raise issues, § 9007.5(b)
Interest assessed on, § 9007.2(d)(3); § 9007.5(c)(4)
Liability of candidate, § 9003.2(c)(7)
Limitation of total amount, § 9007.2(h)
Notification of need for making, § 9007.2(a)(2)
Petition for rehearing, § 9007.2(i); § 9007.5(a) and (b)
Priority over other debts, § 9007.2(a)(3)
Procedures used to determine, § 9007.2(c)
Settlement for less than amount owed, prohibited, § 116.7(c)(1)
Sources of, § 9007.2(a)(4)
Stale-dated committee checks, § 9007.6
— criteria for approval, § 9007.5(c)(2) and (3)
— payment of interest, § 9007.5(c)(4)
— request for, § 9007.5(c)(1)
— computation of, § 9007.2(e)
— for Commission to determine need for, § 9007.2(a)(2) and (f)
— for committee to dispute determination, § 9007.2(c)(2)(i)
— for committee to make, § 9007.2(d)
Alphabetized schedules, § 9006.3
Amounts borrowed from primary campaign, § 9003.4(c)
By authorized committee, Part 9006
Contributions, § 9003.3(a)(3), (b)(2) and (c)(4); § 9006.1(b)(1)(i) and (ii); § 9006.3
Expenditures, § 9006.1(b); § 9006.3
Falsification of reports, § 9012.4
Filing dates, § 9006.2
GELAC fund, § 9003.3(a)(3)(ii); § 9006.1(b)(2)
General election expenses, § 9006.1(b)(1)
Legal and accounting services, § 9002.11(b)(5)
Loans from primary election account, § 9003.4(c)
Reports required, § 9006.1(b)
Separate reports, § 9006.1
Travel expenses, § 9004.6(e); 9004.7
Definition, § 9002.14
FEC certification to, § 9005.1
Payment to candidate, § 9005.2(a)
Repayment to Treasury,
Qualification for State ballots defines candidates, § 9002.2(a)(2)
Support of candidates for State office, § 9002.11(b)(3)
Expenditure limitations, § 110.7(a)
From GELAC fund to primary election account, § 9003.3(a)(2)(iv)
From primary election account to GELAC fund, § 9003.3(a)(1)(ii)-(v)
— from GELAC fund, § 9003.3(a)(2)(i)(G), (a)(2)(iii) and (b)(3); § 9003.4(b)(2)
— from primary election account, § 9003.3(b)(3); § 9003.4(b)(4)
To campaign for different election, § 110.3(c)(4) and (5); § 9004.4(b)(7)
Allocation of expenditures for, § 9004.7
Commercial transportation used for, § 9004.7(b)(7)
Computing campaign- and noncampaign-related costs, § 9004.7(b)(1) and (2)
Corporate conveyance used, § 114.9(e); § 9004.7(b)(8)
Government conveyance used, § 9004.7(b)(4) and (5)
Itinerary required, § 9004.7(b)(3)
Media personnel, transportation and services provided to, § 9004.6
Passenger list required, § 9004.7(b)(4)
Qualified campaign expense for campaign-related, § 9004.7(a)
Reimbursement to government, § 9004.7(b)(5)
Reporting of, § 9004.6(c); § 9004.7
Secret Service, costs of, § 9003.3(a)(2)(i)(H); § 9004.6
Spouse or family, costs for, § 9004.7(b)(6)
Staff's costs, § 9004.7(a)
Contributions and expenditures by, § 9012.6
— make up deficiency in payments, § 9003.3(b)(1)
— may not pay primary debt, § 9003.3(a)(2)(iv)
— must be segregated from public funds, § 9003.3(a)(3)
— legal and accounting compliance costs, § 9003.3(a)
—
— control over, § 9005.3(a)
— defray qualified campaign expenses, § 9004.4(a)(1)
— gifts and bonuses, § 9004.4(a)(5)
— investment, § 9004.5; § 9007.2(a)(6)
— loan repayment, § 9004.4(a)(2)
— support other candidates, § 9002.11(b)(3)
— transfer to previous campaign, § 9004.4(b)(7)
— winding down costs, § 9004.4(a)(4)
— for deposit of private and public funds, § 9008.3(a)(4)(iii); § 9008.6(a)(3)
— limitation on payments from, § 9008.4(c)
— records for, furnished when requested by FEC, § 9008.10(f)
Host committee's, defrayed by contributions, § 9008.52(c)(1)(iv)
National committee's, defrayed by public funds, § 9008.7(a)(4)(x)
By convention committee, letter of agreement, § 9008.3(a)(1) and
— binding also for national committee, § 9008.3(a)(4)
— date for filing, § 9008.3(a)(5)
— to comply with expenditure limitations, § 9008.3(a)(4)(i)
— to comply with Federal Election Campaign Act and FEC regulations, § 9008.3(a)(4)(vii)
— to establish accounts, § 9008.3(a)(4)(iii)
— to file convention reports, § 9008.3(a)(4)(ii)
— to furnish books, records and computerized information, § 9008.3(a)(4)(v)
— to make repayments, § 9008.3(a)(4)(vi)
— to pay civil penalties, § 9008.3(a)(4)(viii)
— to permit audits and examinations, § 9008.3(a)(4)(vi)
By national committee, application statement, § 9008.3(a)(1) and (3)
Additional, § 9008.13
Agreement to permit, § 9008.3(a)(4)(vi)
Computerized information required, § 9008.10(h)
Conducted by FEC, § 9008.11; § 9008.13; § 9008.54
Documentation of disbursements, § 9008.10
— convention committee, § 9008.11; § 9008.13
— host committee, § 9008.13; § 9008.54
Repayments based on findings of, § 9008.12(a)(1)
May not donate to government agency or municipal corporation, § 9008.53(b)(1)
May not donate to host committee, § 9008.52(c)(1)
May provide items of de minimis value, § 9008.9(c)
Expenditure by, to attend convention, excepted from expenditure
limitation, § 9008.8(b)(3)
Expenses of, may not be defrayed by convention funds, § 9008.7(b)(1)
By FEC to Secretary of Treasury for entitlement, § 9008.6(d)
— at reduced/discounted rate, § 9008.9(a)
— for promotional consideration, § 9008.9(b)
— samples and promotional material provided, § 9008.9(c)
Goods and services provided to government agency or municipal
corporation, § 9008.9; § 9008.53
Goods and services provided to host committee, § 9008.9; § 9008.52(b)
Excessive, repayment required, § 9008.12(b)(3)
For legal/accounting compliance costs, § 9008.8(b)(4)(ii)
— account for, § 9008.6(a)(3)
— entitlement adjusted if committee opts to receive, § 9008.6(a)(2)
— limitations and prohibitions of Act apply, § 9008.6(a)(3)
— must be reported, § 9008.6(a)(3)
Samples and promotional material, § 9008.9(b); § 9008.52(b)
— convention committee, § 9008.3(a)(2); § 9008.6(a); § 9008.9
— host committee, from local businesses, § 9008.52(b) and (c)
— national committee, § 9008.7(b)(3); § 9008.9
— state or local government agency or municipal corporation, from local businesses, § 9008.53
Vendor discounts, § 9008.9(a); § 9008.52(b)
Audit of, by FEC, § 9008.11; § 9008.13
Cessation of activity, § 9008.3(c)
Contributions to, § 9008.3(a)(2); § 9008.6(a); § 9008.9
— makes expenditures for convention expenses, § 9008.3(a)(2)
— receives all private contributions to defray convention expenses, § 9008.3(a)(2)
— receives all public funds, § 9008.3(a)(2)
Establishment of by national committee, requirement for
eligibility, § 9008.3(a)(2)
Officers of, § 9008.3(a)(3)(iv)
Registration requirements, § 9008.3(b)(1)(i)
Reporting requirements, § 9008.3(b)(2)
— at reduced/discounted rate, § 9008.9(a)
— items provided for promotional consideration, § 9008.9(b)
— samples and promotional material provided, § 9008.9(c)
— to government agency or municipal corporation, § 9008.9; § 9008.53
— to host committee, § 9008.9; § 9008.52(b)
— government agency or municipal corporation, § 9008.53
— host committee, § 9008.52(b) and (c)
— national committee, § 9008.9
Local business, definition, § 9008.52(c)(2); § 9008.53(b)(2)
— expenditures by, not considered expenditure by national committee subject to limit, § 9008.8(b)(2)
— receipt of donations by, § 9008.53
— registration and reporting by, § 9008.50; § 9008.51(c)
Capital asset, § 9008.10(g)(4)
Commission, § 9008.2(a)
Convention, § 9008.2(g)
Convention committee, § 9008.3(a)(2)
Convention expenses, § 9008.7(a)(4)
Fund, § 9008.2(b)
Host committee, § 9008.52(a)
Local business, § 9008.52(c)(2); § 9008.53(b)(2)
Major party, § 9008.2(c)
Minor party, § 9008.2(d)
National committee, § 9008.2(e)
New party, § 9008.2(f)
Nominating convention, § 9008.2(g)
Other asset, § 9008.10(g)(5)
Payee, § 9008.10(c)
Purpose, § 9008.10(d)
Secretary, § 9008.2(h)
Winding down costs, § 9008.10(g)(7)
Convention expenses paid by public funds, prohibited, § 9008.7(b)(1)
Personal funds of, used to attend convention, § 9008.8(b)(3)
Connection of expense to convention explained, § 9008.10(e)
Of disbursements, § 9008.10
Payee, defined, § 9008.10(c)
— information to be provided, § 9008.10(h)(1) and (4)
— organization of, § 9008.10(h)(3)
— time for, § 9008.10(h)(2)
Purpose, defined, § 9008.10(d)
— disbursements aggregating over $200 to a payee, § 9008.10(a)
— smaller disbursements, § 9008.10(b)
Retention of records, § 9008.10(f)
Convention committee, required, § 9008.3(a)(2)
— application statement, § 9008.3(a)(3) and (5)
— establishment of convention committee, § 9008.3(a)(2)
— letter of agreement filed by convention committee, § 9008.3(a)(4)
Acceptance of payment, § 9008.6(a)
— by amount of private contributions received, § 9008.5(b)
— by Consumer Price Index, § 9008.5(a)
New parties, not entitled to receive payments, § 9008.1(a)
Of major parties, § 9008.1(a); § 9008.4(a)
Of minor parties, § 9008.1(a); § 9008.4(b)
Private contributions, effect on, § 9008.5(b); § 9008.6(a)(2)
To payments from fund, § 9008.4
— convention committee, § 9008.7
— delegates, § 9008.8(b)(3)
— government agency or municipal corporation, § 9008.52(c)(1); § 9008.53(b)(1)
— host committee, § 9008.52(c)(1)
— agreement to adhere to, § 9008.3(a)(4)(i)
— authorization to exceed, § 9008.8(a)(3)
— exceeded, repayment required, § 9008.12(b)(2)
— major parties, § 9008.8(a)(1)
— minor parties, § 9008.8(a)(2)
— computerized information, § 9008.8(b)(5)
— discounts by commercial vendor, § 9008.9(d)
— expenditures by government agencies and municipal corporations, § 9008.8(b)(2)
— expenditures to participate in or attend convention, § 9008.8(b)(3)
— legal and accounting fees, § 9008.8(b)(4)
Prohibited, § 9008.7(b)
— civil/criminal penalties, § 9008.7(b)(3)
— defraying expenses of candidate or delegate, § 9008.7(b)(1)
— expenses violating state and federal law, § 9008.7(b)(2)
Use of public funds
Authorization by, to exceed expenditure limitation, § 9008.8(a)(3)
Certification by, to Secretary of Treasury, § 9008.6(d)
Definition, § 9008.2(a)
— notification by, to national committee, § 9008.12(a)(2)
— petitions for rehearing, § 9008.14
Expenditures by, not considered expenditure subject to limit, § 9008.8(b)(2)
Federal Election Commission,
Receipt of donations by, § 9008.53
Registration and reporting by, § 9008.50; § 9008.51(c)
Audit of, required, § 9008.54
— from commercial vendors, § 9008.9; § 9008.52(b)
— from local businesses and organizations, § 9008.52(c)
Definition, § 9008.52(a)
Expenditures by, not subject to limit, § 9008.8(b)(1)
Funds, use of, § 9008.52(c)(1)
Registration of, § 9008.50; § 9008.51(a)
Reporting by, § 9008.50; § 9008.51(b)
Documentation required, § 9008.10(g)(2)(i)
Permitted if income defrays convention expenses, § 9008.7(a)(5)
Repayment of investment income, § 9008.7(b)(6)
Paid for by employer, exception to expenditure limitation, § 9008.8(b)(4)(i)
Paid for by national committee, exception to expenditure
limitation, § 9008.8(b)(4)(ii)
Reporting of, § 9008.8(b)(4)(iii)
Included in statement of net outstanding convention expenses, § 9008.10(g)(1)(i)
Other assets used as collateral for, § 9008.10(g)(5)
Repayment of, with public funds, § 9008.7(a)(2) and (4)(xi)
Definition, § 9008.2(c)
Establishment of convention committee, § 9008.3(a)(2)
Expenditure limitations, § 9008.8(a)(1)
Private contributions to, § 9008.3(a)(2); § 9008.6(a)(2) and (3)
Procedures for qualifying for payments, § 9008.3(a)
Definition, § 9008.2(d)
Establishment of convention committee, § 9008.3(a)(2)
Expenditure limitations, § 9008.8(a)(2)
Private contributions to, § 9008.3(a)(2); § 9008.6(a)(2) and (3)
Procedures for qualifying for payments, § 9008.3(a)
Definition, § 9008.2(e)
Expenditures by,
— permissible uses, § 9008.7(a)
— prohibited uses, § 9008.7(b)
Capital asset, defined, § 9008.10(g)(4)
Determination that debt is not collectible, § 9008.10(g)(6)
Other assets, defined, § 9008.10(g)(5)
— certain debts not included in, § 9008.10(g)(3)
— filed by convention committee, § 9008.10(g)
— review of, § 9008.10(g)(8)
— when filed, § 9008.10(g)
Winding down costs, defined, § 9008.10(g)(7)
Definition, § 9008.2(f)
Not entitled to public funds, § 9008.1(a)
Definition, § 9008.2(g)
Expenditure limitations,
Acceptance of, § 9008.6(a)(1) and (2)
Application for, § 9008.3(a)(1) and (3)
Bank depository for, § 9008.3(a)(4)(iii); § 9008.6(a)(3)
Certification by Commission to Secretary of Treasury, § 9008.6(d)
Convention committee receives, § 9008.3(a)(2); § 9008.6(a)(3)
Date for receiving, § 9008.6(c)
Excess, repayment of, § 9008.12(b)(1)
Increase in certified amount, § 9008.6(b)
Investment of, § 9008.7(a)(5)
Limitation on, § 9008.4(c)
Optional, § 9008.6(a)
Private contributions affect, § 9008.6(a)(2)
Procedure for qualifying for, § 9008.3(a)
Repayments,
Schedule for, § 9008.6(c)
FUNDS
Convention committee, § 9008.3(b)(1)(i)
Government agency or municipal corporation, § 9008.51(c)
Host committees, § 9008.51(a)
Political party committees, § 9008.3(b)
— excess payments, § 9008.12(b)(1)
— excessive contributions, § 9008.12(b)(3)
— excessive expenditures, § 9008.12(b)(2)
— improper contribution to/expenditure by host committee, government agency or municipal corporation, § 9008.12(b)(7)
— improper usage or documentation, § 9008.12(b)(4)
— investment income, § 9008.12(b)(6)
— unspent funds, § 9008.12(b)(5)
Committee agreement to make, § 9008.3(a)(4)(vi)
Extensions of time, § 9008.15
Notification by FEC of need for, § 9008.12(a)(2) and (3)
Payable to U.S. Treasury, § 9008.12(a)(1)
Petitions for rehearing determinations, § 9008.14
Stale-dated committee checks, § 9008.16
— date for making final repayment, § 9008.12(b)(5)(iii)
— must be repaid, § 9008.12(b)(5)(i)
— refunded, but later needed to defray expenses, § 9008.12(b)(5)(ii)
— agreement to file reports, § 9008.3(a)(4)(ii)
— post-convention report, § 9008.3(b)(2)(ii)
— quarterly reports, § 9008.3(b)(2)(i)
— registration, § 107.1; § 9008.3(b)(1)
— not required for unsuccessful attempts to attract a convention, § 9008.50
— post-convention statement required, § 9008.51(c)
— post-convention report by, § 9008.51(b)(1)
— quarterly reporting by, § 9008.51(b)(2)
— registration by, § 107.2; § 9008.51(a)
— not required for unsuccessful attempts to attract a convention, § 9008.50
— post-convention statement required, § 9008.51(c)
By political parties, § 9008.3(b)
Civil or criminal penalties paid, § 9008.7(b)(3)
— State or local party committees, § 9008.3(b)(1)(ii)
— unsuccessful efforts to attract convention, § 9008.50
Legal and accounting fees, § 9008.8(b)(4)(iii)
Private contributions received, § 9008.6(a)(3)
Definition, § 9008.2(h)
FEC certifications to, for payment of entitlement, § 9008.6(d)
Repayments made to, § 9008.12(a)(1)
— convention committee, § 9008.7
— host committee, § 9008.52(c)
— national committee, § 9008.7
Investment of funds, § 9008.7(a)(5)
— biographical film about Presidential candidate, § 9008.7(a)(4)(xiii)
— convention-related expenses, § 9008.7(a)(4)(i)-(x)
— gifts and bonuses, § 9008.7(a)(4)(xii)
— investment of funds, § 9008.7(a)(5)
— repayment of loans and interest, § 9008.7(a)(4)(xi)
Private contributions used by national committee, § 9008.6(a)(2)
and (3)
— candidate's convention expenses, § 9008.7(b)(1)
— civil or criminal penalties, § 9008.7(b)(3)
— delegate's convention expenses, § 9008.7(b)(1)
— expenses violating State or federal law, § 9008.7(b)(2)
* This index makes occasional reference to Parts 102-116 of 11 CFR, governing Federal election activity.
— definition of, § 9032.5
— equal distribution of funds from, § 9037.2
— repayment of funds from, § 9038.2
— transfer of funds from, § 9037.1
— deposit of matching funds into, § 9037.3
— designation of, § 9033.1(b)(8)
— matching funds no longer contained, § 9038.2(b)(2)(iv)
— source of repayment, § 9034.4(c)
— adhere to campaign expenditure limitation, § 9035.1(a)
— adhere to personal funds limitation, § 9035.2
— comply with agreements, § 9033.1(a)
— comply with documentation requirements, § 9033.1(b)
— comply with Title 2 and Regulations governing, § 9033.1(b)(10)
— furnish information on other candidate organizations, § 9033.1(b)(6)
— gather books and records in centralized location, § 9033.1(b)(7)
— keep and furnish books, computer tapes and records, § 9033.1(b)(5); § 9033.11(c)
— make repayments, § 9033.1(b)(7)
— obtain and furnish evidence of qualified expenses, § 9033.1(b)(1)
— pay civil penalties, § 9033.1(b)(11)
— permit audits and examinations, § 9033.1(b)(7)
— prepare submissions in good order, § 9033.1(b)(9)
— use closed captioning in television ads, § 9033.1(b)(12)
Date for submitting, § 9033.2(a)(1)
Eligibility contingent upon, § 9033.1(a)
Failure to comply with disclosure requirements, § 9033.9
Joint fundraising, § 9034.8(c)(1)
Among states, § 106.2; § 110.8(c)
— administrative costs, § 106.2(b)(2)(iii)
— mass mailings, § 106.2(b)(2)(ii)
— media, § 106.2(b)(2)(i)
— methods for, § 106.2(b)
— overhead expenditures of state/regional offices, § 106.2(b)(2)(iii)(A) and (B)
— polling, § 106.2(b)(2)(v)
— recordkeeping, § 106.2(d)
— reporting, § 106.2(c)
— telephone programs targeted to State, § 106.2(b)(2)(iv)
— testing-the-waters, § 106.2(a)(2)
Disputed by Commission, § 106.2(a)(1)
Documentation, § 106.2(a)(1) and (d)
Joint fundraising, proceeds and expenses, § 9034.8(c)(7) and (8)
Methods of, § 106.2(b)(1) and (2)
— administrative costs of national office, § 106.2(b)(2)(iii)(C)
— advertising, national, § 106.2(b)(2)(i)(E)
— commissions, § 106.2(b)(2)(i)(G)
— compliance, § 106.2(b)(2)(iii)(A)
— media production costs, § 106.2(b)(2)(i)(F)
— national consulting fees, § 106.2(b)(3)
Of expenditures between primary and general expenditure limits, § 9034.4(e)
Overhead expenditures, definition, § 106.2(b)(2)(iii)(D)
Recordkeeping, § 106.2(d)
Reporting, § 106.2(c)
Testing-the-waters expenses, § 106.2(a)(2)
Travel expenditures, § 9034.7
Active candidacy, § 9033.7(c)
During audit, § 9038.1(b)(1)(iv) and (c)
Effect of failure to raise issues, § 9038.5(b)
Expenditure limitation exceeded, § 9033.3(b); § 9033.9
Failure to comply with disclosure requirements, § 9033.9
Failure to meet threshold requirements, § 9033.4(a)(2)
Inactive candidacy, § 9033.6(c)
Ineligibility for matching funds determination, § 9033.3(b) and (c)
Repayments, § 9038.2(c) and (h); § 9038.5(a)
Resubmissions, § 9036.5(e)
Suspension of payments, § 9033.9(b) and (d)(1)
Accurate valuation of, § 9033.10(a)(6); § 9034.5(c) and (g)
Documentation of, § 9033.11(d)
In determining net outstanding campaign obligation, § 9034.5(c)
Newly discovered, § 9038.2(g)
Sale of, for fundraising purposes, § 9034.9
Sale of, for liquidation of debts, § 9034.9(b)
Action taken by Commission after inquiry, § 9039.3(b)(4)
Agreement to permit, § 9033.1(b)(6)
Approval and issuance of audit report, § 9038.1(d)
Computerized records provided for, § 9033.12; § 9038.1(b)(1)
Copy of report, provided to committee, § 9038.1(e)(1)
Discretionary, § 9038.1(a)(2); § 9039.3
Eligibility for funds determined by, § 9033.1; § 9033.11
Entrance conference, § 9038.1(b)(2)(i)
— committee response to, § 9038.1(c)
— conduct of, § 9038.1(b)
— office space and records supplied, § 9038.1(b)(1)(i)
— personnel made available, § 9038.1(b)(1)(ii)
Investigative procedures used, § 9038.1(b)(1)(v); § 9039.3(b)(4)
Of matching fund submissions, § 9036.4(d)
Public release of report, § 9038.1(e)
Repayments determined by, § 9038.1(a)(3); § 9038.2(a)(1)
Required, of candidate and authorized committee(s), § 9033.1(b)(7); § 9038.1(a)
Retention of records for, § 9039.1
Sampling used during, § 9038.1(f)
Settlement of disputes arising during, § 9038.1(b)(2)(iv)
Time period for candidate response, § 9038.1
Assets, § 9033.11(d); § 9034.4(c)
Credit card, liability for, § 9035.2(a)(2)
Definition, § 9032.1
Expenses incurred in excess of limitations, § 9033.2(b)(2); § 9033.3; § 9035.1
— audit and examination requirements, § 9033.1(b)(6); § 9038.1
— candidate agreements, § 9033.1(a)(1) and (b)
— expenditure limitations, § 9033.2(b)(2); § 9033.3(a); § 9035.1
— threshold certification requirements, § 9033.2(b)
Payments to candidate, § 9034.4(b)(5)
Qualified campaign expenses incurred by, § 9032.9(a)(1) and (b)
Stale-dated checks, § 9038.6
Withdrawal of authorization, § 9032.1(b)
Agreement to furnish records of, § 9033.1(b)(4), (5) and (8)
Change in, § 9033.1(b)(8)
Deposit of contribution required before matching, § 9034.2(a)(3)
Documentation of, for threshold submission, § 9036.1(b)
Funds deposited into, § 9037.3
Joint fundraising, separate account for, § 9034.8(c)(4)
Vice Presidential candidate's, § 103.4
Active candidacy, § 9033.7
Appeals,
— of person who makes qualified campaign expenditures, § 9032.9(b)
— of political committee, § 9032.1
—
Continuation of certifications, § 9036.6
Contributions to,
Definition of § 9032.2
Deposit of funds by, § 9037.3
— initial, § 9033.4
— reestablishment of, § 9033.8
Expenditure limitations,
Immediate family of § 9035.2(b)
Inactive candidacy, § 9033.5(a); § 9033.6
Net outstanding campaign obligation of, § 9033.10(a)(6); § 9034.5
Nonparticipation in primary, § 9033.5(b)
Personal funds of, § 9035.2(a)
Repayments,
Use of credit card, § 9035.2(a)(2)
Use of funds,
Administrative record for, § 9038.7
— date for submitting, § 9033.2(a)
— for threshold amount, § 9033.2; § 9036.1
— of active candidacy, § 9033.7(a)
— of inactive candidacy, § 9033.5(a)
— of satisfying requiring for each State, § 9033.2(b)(3)
— to comply with expenditure limitations, § 9033.2
By FEC concerning expenditure limitations, § 9033.3
— additional, § 9036.2
— continued, § 9036.6
— initial, § 9036.1
— payments of less than requested amount, § 9036.4(b) and (c)(2)
— required for payments to candidate, § 9037.1
— requirements for, § 9036.1; § 9036.2sh; resubmissions, § 9036.5(d)
— revised amount, § 9036.4(c)(2)
— schedule for, § 9036.2(d); § 9036.5(d)
— withheld if expenditure limit exceeded, § 9033.3(a)
Allocation of, in joint fundraising, § 9034.8(c)(7)
By money order, § 9034.2(c)(4)
By written instrument, § 9034.2(a)(4)
Certification of threshold amount of, § 9036.1
Costs of soliciting, § 9035.1(c)(2)
Deposit on receipt of, § 9034.2(a)(3)
Documentation of excess over purchase price, § 9034.2(c)(5)
Earmarked, § 9034.8(c)(7)(iv)
From escrow/trust account, § 9034.2(c)(2)
From immediate family, § 9035.2
From joint account, § 9034.2(c)(1)
From partnership, unincorporated business, § 9034.2(c)(3)
Fundraising,
Matchable,
Name of issuer, identified, § 9034.2(c)(4)(ii)
— check drawn on account of committee, corporation, labor organization, government contractor, § 9034.3(f)
— contract, promise, § 9034.3(c)
— credit card, § 9034.3(c)
— currency, § 9034.3(j)
— definition of, § 9034.3
— from corporation, labor organization, government contractor, political committee, § 9034.3(d)
— illegally made or accepted, § 9034.3(e)
— in-kind, § 9034.3(a)
— insufficient documentation, § 9036.3
— made without donative intent, § 9034.3(i)
— pledge card, § 9034.3(c)
— purchase price of drawing/raffle ticket, § 9034.3(h)
— purchase price of item of value, § 9034.3(g)
— redesignated contribution, § 9034.3(k)
— submitted for matching, § 9036.4(c)(1)
— subscription, loan, advance, etc., § 9034.3(b)
— transfer of joint fundraising receipts, § 9034.8(c)(7)
Prohibited, § 9034.3(d)-(f)
Rejected for matching, § 9036.5(a)
Residency requirement for those making, § 9033.2(b)(3)
Resubmission of, § 9036.5
Solicitation of, in determining active candidacy, § 9033.6(b)(2)
— alphabetical listing required, § 9036.2(b)(1)(ii); § 9036.1(b)(3)
— compliance with Guideline for Presentation in Good Order, § 9033.1(b)(9); § 9036.1(b)(7); § 9036.2(b)
— deadline for, § 9036.6
— digital imaging used, § 9036.2(b)(1)(vi)
— documentation, supporting, § 9036.1(b); § 9036.2(b)
— FEC review of, § 9033.4; § 9036.2(d); § 9036.4
— for additional payments, § 9036.2
— threshold, § 9033.2; § 9036.1
— continuing to campaign, § 9034.4(a)(3)
— defray qualified campaign expenses, § 9034.4(a)
— “testing-the-waters”, § 9034.4(a)(2)
— transfer between principal and authorized committees, § 9034.4(d)
— winding down costs, § 9034.4(a)(3)
Contributions from corporate account, nonmatchable, § 9034.3(d) and (f)
Contributions from corporate account, prohibited, § 114.2(a); § 9034.3(e)
Amount charged against expenditure limits, § 9035.1(a)(2)
Assignment of, to affiliated committee, § 116.2(c)(3)
Collectibility of accounts receivable, § 9034.5(d)
Extinguishing through reallocation, § 9034.8(c)(7)(ii)
Not a basis for entitlement, § 9034.5(b)(1)
Settlement of bona fide dispute, § 9035.1(a)(2)
Settlement, repayment obligations not subject to, § 116.7(c)(1)
Administrative costs, § 9034.6(c)(2)
Authorized committee § 9032.1
Candidacy, § 9032.2; § 9033.6; § 9033.7
Candidate, § 9032.2
Capital assets, § 9034.5(c)(1)
Cash on hand, § 9034.5(a)(2)(i)
Certifications, § 9033.2
Closing date, § 9035.2(a)(2)
Commission, § 9032.3
Contribution, § 9032.4
Eligibility requirements, Part 9033
“Essentially political,” § 9034.2(c)(6)
Immediate family, § 9035.2(b)
Ineligibility dates, § 9033.5
Insufficient documentation, § 9036.3
Matchable contributions, § 9034.2
Matching payment account, § 9032.5
Matching payment period, § 9032.6
Net outstanding campaign obligations, § 9034.5(a)
Nonmatchable contributions, § 9034.3
Nonqualified campaign expenses, § 9034.4(b)
Payee, § 9033.1(b)(3)(i)
Personal funds, § 9035.2(c)
Political committee, § 9032.8
Political party, § 9033.2(b)(1)
Presidential Primary Matching Payment Account, § 9032.5
Primary election, § 9032.7
Purpose, § 9033.11(b)(3)(ii)
Qualified campaign expenses, § 9032.9; § 9034.4(a)
Secretary, § 9032.10
Seeking nomination, § 9033.2(b)(1)
State, § 9032.11
Total deposits, § 9038.3(c)
Voting age population, § 110.9(d)
Winding down costs, § 9034.4(a)(3)
Written instrument, § 9034.2(b)
Agreements by candidate and committee, § 9033.1(b)
Assets, § 9033.11(d); § 9034.5(c)
Commercial reasonableness, § 9034.5(d)
Committee policy on disbursement, § 9033.11(b)(1)(iii)
Disbursements, § 9033.1(b); § 9033.11
Failure to provide, § 9038.2(b)(3)
For submissions, § 9034.2(c); § 9036.1(b); § 9036.2(b)
Qualified campaign expense, § 9033.11(a) and (b)
Retention of records, § 9033.11(c); § 9039.1
Contributions,
Definition, § 9032.7
Participation/performance in, as factor for determining eligibility, § 9033.5(b); § 9033.8(b)
— administrative record for, § 9038.7
— inactive candidacy, § 9033.6
— ineligibility, § 9033.3; § 9033.5; § 9033.6
— petitions for rehearing, § 9033.10(e)
— threshold requirement, § 9033.4
Participation in primaries, § 9033.5(b)
Reestablishment of, § 9033.8
Residence requirements of contributors, § 9033.2(b)(3)(ii)
— exceeding expenditure limits, § 9033.9(a); § 9033.10
— failure to comply with disclosure requirements, § 9033.9(a)
— inactive candidacy, § 9033.5(a); § 9033.6
— inactive status, § 9033.6
— unqualified contribution, § 9036.4(b)
After date of ineligibility, § 9034.1(b)
Candidate entitlement, § 9034.1
Certification to Secretary of Treasury, § 9036.1(c)
Matchable contributions, § 9034.2; § 9034.3
Maximum entitlement, § 9034.1(d)
Payments after determination of ineligibility, § 9034.1(b) and (c)
Payments after suspension, § 9033.9(d); § 9034.1(c)
Shortage of matching funds, § 9037.1; § 9037.2
Threshold requirement, § 9033.4
Use of contributions and matching payments, § 9034.4
Allocation among States,
As factor for determining active candidacy, § 9033.6(b)(2)
By candidates in both primary and general, § 9034.4(e)
From petty cash fund, § 9033.11(b)(2)(i)
Independent expenditures, § 9032.1(d)
— fundraising costs, § 100.8(b)(21); § 110.8(c); § 9035.1(c)
— legal and accounting compliance costs, § 106.2(b)(2)(iii); § 9035.1(c)
— party-building activity, § 110.8(e)
— reimbursement for travel/services, § 9034.6
— taxes on non-exempt function income, § 9034.4(a)(4)
— travel/services made available to media personnel, § 9034.6
— applicable only if receiving matching funds, § 9035.1(d)
— candidate will not exceed, § 9033.2(b)(2); § 9035.1
— exceeded by candidate committee, appeal of determination, § 9033.3(b)
— exceeded by candidate committee, determination by FEC, § 9033.3(a)
— for qualified campaign expenses, § 9034.4(a); § 9035.1
— from funds of immediate family, § 9035.2(b)
— from personal funds, § 110.8(f)(2); § 9035.2(a)
— full debt charged against, § 9035.1(a)(2)
— made using a credit card, § 9035.2(a)(2)
— voting age population used to determine, § 110.8(a)(1)
Made by ineligible candidate, § 9033.8(c)
Made by party, § 110.8(e)
Made on behalf of a candidate, § 9032.1, § 9032.9(b)
Made on behalf of Vice Presidential candidate, § 110.8(f)(1) and (g)
— civil or criminal penalty, § 9034.4(b)(4)
— continuing campaign after ineligibility, § 9034.4(a)(3) and (b)(3)
— excess of limitations, § 9034.4(b)(2)
— expenses incurred after date of ineligibility, § 9034.4(b)(3)
— expenses incurred for goods and services received after ineligibility, § 9034.4(b)(3)
— expenses insufficiently documented, § 9034.4(b)(7)
— general election expenses, § 9034.4(b)(3) and (e)
— lost equipment, § 9034.4(b)(8)
— payments to candidate, § 9034.4(b)(5)
— seeking of repayment for, § 9038.2(b)(2)(iii)
Polling, allocation of, § 106.4; § 9034.4(e)(2)
Qualified campaign expenses,
Starting date of review of expenditures, § 9038.2(b)(2)(iii)(B)
Transfers to other campaigns, § 9034.4(d)
Allocation of expenditures made for, § 106.2(b); § 110.8(c)
“Donative intent” required for matching contributions, § 9034.3(i)
Entertainment, purchase price of, § 9034.2(c)(5)
“Essentially political” activity, admission price for, § 9034.2(c)(6)
Expenditures exempted from State allocation, § 110.8(c)(2); § 9035.1(c)
Joint,
Sale of assets for, § 9034.9
Sale of lottery/raffle tickets, § 9034.3(h)
Contributions from, nonmatchable, § 9034.3(d) and (f)
Contributions from, prohibited, § 115.2(a)
Candidate shall notify FEC, § 9033.5(a)
Appeal of FEC determination, § 9033.3(b)
Date of, § 9033.5
— incurred during, § 9033.8(c)
— post-ineligibility, § 9034.4(a)(3) and (b)(3)
For exceeding expenditure limitations, § 9033.3
Inactive candidacy, § 9033.6
Net outstanding campaign obligation after, § 9034.1(a) and (b); § 9034.5
Aggregate contribution to, § 9034.8(c)(6) and (7)
Agreement required, § 9034.8(c)(1)
Allocation of contributions, § 9034.8(c)(7)
Committee/representative/agent for, § 9034.8(b)
Contribution limitations, § 9034.8(c)(6) and (7)
Depository for receipts from, separate, § 9034.8(c)(4)
Disbursements, reporting of, § 9034.8(c)(9)(ii)
Exemptions from allocation, § 9034.8(c)(7)
Expenditure exemption for, § 9035.1(c)
Expenses, allocation of, § 9034.8(c)(8)
Expenses from series, allocation of, § 9034.8(c)(8)(i)(C)
Formula for allocation, § 9034.8(c)(1)
Funds advanced for start-up costs, § 9034.8(c)(2)
Notice required for solicitations, § 9034.8(c)(3)
Procedures for, § 9034.8(c)
Proceeds, allocation of, § 9034.8(c)(7)
Receipts from, submitted for matching payments, § 9034.2(c)(7); § 9034.8(a)(2)(i) and (c)(7)
Recordkeeping requirements, § 9034.8(c)(5) and (9)
— duties, § 9034.8(c)(5)
— participant as, § 9034.8(b)(3)
— selection of, § 9034.8(b)
— separate committee as, § 9034.8(b)(1) and (2)
Sale of assets acquired for, § 9034.9
Use of contributions received from, § 9034.8(a)(2)
Contributions from union account, nonmatchable, § 9034.3(d) and (f)
Contributions from union account, prohibited, § 114.2(a)
Future matching payments as collateral, § 100.7(b)(11)(i)(B); § 100.8(b)(12)(i)(B)
Not matchable, § 9034.3(b)
Public funds may be used to repay, § 9034.4(a)(1)
Additional submissions for, § 9036.2
Candidate satisfies requirements for, § 9036.1(c)
Definition of, § 9034.2; § 9034.3
Documentation required for matching payments, § 9034.2(c); § 9036.1(b); § 9036.2(b)
Eligibility for,
— attributed to more than one person, § 9034.2(c)(1)
— check drawn on escrow or trust account, § 9034.2(c)(2)
— check drawn on joint checking account, § 9034.2(c)(1)
— from joint fundraising activity, § 9034.2(c)(7)
— negotiable instruments, § 9034.2(c)(4)
— ticket purchases, § 9034.2(c)(5) and (6)
— written on accounts of unincorporated associations, § 9034.2(c)(3)
First submission after threshold, contents of, § 9036.2(b)
For “essentially political event,” § 9034.2(c)(6)
Ineligibility for,
Insufficient documentation of, § 9036.3
Joint fundraising receipts, § 9034.8(a)(2) and (c)(6)
Must comply with Guideline for Presentation in Good Order, § 9036.1(b)(7); § 9036.2(b)
Reattributed, § 9034.2(c)(1)(iii)
Received after reestablishment of active candidacy, § 9034.1(c)
Repayment of amounts in excess of entitlement, § 9038.2(b)(1)(ii) and (iii)
Requirements, § 9034.2(a)
Threshold submissions, § 9036.1
Definition, § 9032.5
Matching funds no longer contained, § 9038.2(b)(2)(iii)(B)
Source of repayments, § 9034.4(c)
Audits after close of, § 9038.1
Definition of, § 9032.6
End of, § 9033.5(c)
Payment of matching funds begins with, § 9036.1(c); § 9037.1
— allocated among States, § 106.2(b)(2)(i)
— attribution to primary or general, § 9034.4(e)(5)
Personnel, transportation and services provided to, § 9034.6
Production costs, not allocated, § 106.2(b)(2)(i)(F)
Reporting of reimbursement, § 9034.6(e)
Considered in FEC determination, § 9033.10(a)(6)
Explanation of revisions, § 9034.5(f)(2)
Items not included on statement, § 9034.5(b)(1)
Matching funds to defray, § 9034.1(b)
Payments made on basis of debts, § 9038.2(b)(1)
Revised statement in event of shortfall, § 9034.5(f)(3)
Statement contents, § 9034.5(a), (b), (c) and (f)
Submission of statement(s), § 9034.5(a) and (f)
Valuation of assets, § 9034.5(g)
Winding down costs included, § 9034.5(b)(2)
— authorization of committee, § 9032.2(d)
— candidate agreements, § 9033.1
— depository, § 9033.1(b)(8)
— disputed ineligibility determination, § 9033.3(b)
— disputed repayment, § 9038.2(c)(2) and (h); § 9038.5
— disputed resubmission, § 9036.5(e)
— explanation of expenditures, § 9033.1(b)(3)
— extension of repayment period, § 9038.2(d)
— identification of person entitled to receive matching funds, § 9033.1(b)(8)
— inactive candidacy, § 9033.5(a)(2); § 9033.7(a)
— liquidation of all obligations, § 9038.3(b)
— net outstanding campaign obligations, § 9034.5(a)
— newly discovered assets, § 9038.2(g)
— nonmatchable contribution submitted, § 9036.4(c)(1)
— refunded contribution, § 9036.4(c)(1)
— request for resubmission, § 9036.5
— stale-dated committee checks, § 9038.6
— threshold requirements, § 9033.4(b)
— audit report, § 9038.1(e)(1)
— certification of less than requested amount, § 9036.4(b) and (c)(2)
— continuing review, § 9039.2(b)
— determination of active candidacy, § 9033.7(b)
— determination of inactive candidacy, § 9033.6(c)
— determination of ineligibility, § 9033.3(b)
— determination to suspend payments, § 9033.9(b)
— disputed unmatchable contributions, § 9036.5(e)
— eligibility and certification requirements, § 9034.1(a)
— failure to meet threshold requirements, § 9033.4(a)(2)
— initial certification, § 9036.1(c)
— lack of matching funds available, § 9036.4(c)(2)
— last date for submission of contributions, § 9036.6
— noncompliance with Title 2, § 9033.9(b)
— possible candidate status, § 9032.2(d)
— repayments, § 9038.2(a) and (c)
— resubmission of documentation, § 9036.4(b)
— result of inquiry, § 9039.3(b)(4)
— review of submission, § 9033.2(c)
— threshold requirements, § 9033.4(b)
Bank depository for, § 9033.1(b)(8); § 9037.3
By committee to candidate, § 9034.4(b)(5)
— additional submissions, § 9036.2(a) and (c)
— resubmissions, § 9036.5
— threshold submissions, § 9033.2
— FEC determination of, § 9036.1
— reestablishment of, § 9033.8
— requirements, § 9033.1; § 9033.2; § 9035.1
— additional amounts, § 9036.2(d); § 9036.6
— disputed submissions, § 9036.5(c)
— for less than amount requested, § 9036.4(b) and (c)(2)
— for threshold submission, § 9036.1(c)
Changes in recipient information, § 9033.1(b)(8)
Collateral for bank loan, § 100.7(b)(11)(i)(B); § 100.8(b)(12)(i)(B)
Continuation of payments after ineligibility, § 9034.1(b)
Entitlement to funds, § 9034.1
Equal distribution of funds by Secretary of Treasury, § 9037.2
Excessive, examples of, § 9038.2(b)(1)
Limitation of, § 9034.1(d)
Matchable campaign contributions, § 9034.2
Matching payment account, § 9032.5
Matching payment period, § 9032.6
Net outstanding campaign obligations, based on, § 9033.10(a); § 9034.1
Nonmatchable campaign contributions, § 9034.3
Payment schedule, § 9036.1(c); § 9036.2(d)
Post-election payments, § 9036.6
Reimbursement to candidate for campaign expenses, § 9034.4(b)(5)
Repayments,
Secretary of the Treasury disbursements, § 9037.1; § 9037.2
Shortfall in matching payment account, § 9036.4(c)(2); § 9037.1; § 9037.2
Suspension of, for noncompliance, § 9033.3(b); § 9033.9
Suspension of, right to appeal, § 9033.3(b); § 9033.10
Termination of payments, § 9033.6; § 9034.1
Use of,
Definition, § 9035.2
Limitations on, § 9035.2
Of Vice Presidential candidate, § 110.8(f)(2)
Repayments, source of, § 9034.4(c)
Authorized by candidate, § 9032.1
Contributions not matchable, § 9034.3(d)
Definition, § 9032.8
Attribution to primary/general election, § 9034.4(e)
Authorization to make, § 9032.9(b)
Burden of proof, § 9033.1(b)(1); § 9033.11(a)
Certification not to exceed limitations, § 9033.2(b)(2)
Definition, § 9032.9; § 9034.4(a)
Documentation required to prove, § 9033.11(a) and (b); § 9034.4(b)(7)
Gifts and bonuses, § 9034.4(a)(5)
Limitation on, § 9035.1
Liquidation of, § 9038.3
Matchability contingent upon, § 9034.4(a)
— allocation of costs, by State, § 106.2(b)(1)(i)
— attribution to primary/general election, § 9034.4(e)(5)
— nationwide advertising, § 106.2(b)(2)(i)(E)
— personnel, transportation and services provided to, § 9034.6
— production costs incurred for, § 106.2(b)(2)(i)(F)
—
Secret Service, transportation and services for, § 9034.6(a)
Taxes, § 9034.4(a)(4)
Termination of political activity, § 9034.4(a)(3)
“Testing-the-waters,” § 9034.4(a)(2)
— between primary/general election, § 9034.4(e)(7)
— candidate's spouse/family accompanying, § 9034.7(b)(6)
— charters, § 9034.7(b)(4) and (7)(i)
— commercial airlines, § 9034.7(b)(7)(ii)
— government conveyance, § 9034.7(b)(4) and (5)
— incidental contacts, § 9034.7(b)(2)
— itinerary required, § 9034.7(b)(3)
— noncampaign-related stops, § 9034.7(b)(2)
Use of public funds for, § 9034.4(a)
Use of public funds for other than, § 9034.4(b); § 9038.2(b)(2)
Winding down costs, § 9034.4(a)(3)
Agreement to keep, § 9033.1(a) and (b)(2)-(6)
Allocation of exempted expenditures, § 9035.1(c)
Audit review of, § 9033.1(b)(7); § 9038.1
Capital and other assets, requirements for, § 9033.11(d); § 9034.5(c)
— agreement to furnish, § 9033.1(b)(5)
— digital imaging, § 9036.2(b)(1)(vi)
— production of, § 9033.12
— requested during audit, § 9038.1(b)
Joint fundraising, requirements for, § 9034.8(c)(5) and (9)
Recordkeeping requirements, § 9033.11
Retention of, § 9033.11(c); § 9039.1
Additional determinations, § 9038.2(f) and (g)
Agreement to comply with determination, § 9033.1(b)(7)
Appeal procedures, § 9038.2(c) and (h); § 9038.5
— debts settled for less than owed, § 9038.2(b)(1)(v)
— failure to provide adequate documentation, § 9038.2(b)(3)
— funds used for nonqualified campaign expenses, § 9038.2(b)(2)
— payments exceed entitlement, § 9038.2(b)(1)
— surplus of funds, § 9038.2(b)(4); § 9038.3(c)
Exempted from limitations on personal funds, § 9035.2(a)(1)
— administrative record for, § 9038.7
— notification of, § 9038.2(a)(2) and (c)(1)
— procedures for, § 9038.2(c)
— time limit on, § 9038.2(a)(2)
Inquiry resulting in, § 9039.3(b)(4)
Liquidation of obligations, § 9038.3
Newly discovered assets, § 9038.2(g)
— effect of failure to raise issues, § 9038.5(b)
— requirements to file, § 9038.5(a)(1)
— suspension of time for repayment, § 9038.5(a)(2)
— time of filing, § 9038.5(a)(1)(i)
Primary obligation, over other debts, § 9038.2(a)(3)
Settlement for less than amount owed, prohibited, § 116.7(c)(1)
Sources of, § 9038.2(a)(4)
— amount of interest due, § 9038.5(c)(4)
— amount placed in separate account, § 9038.5(c)(2)(i)
— amount requested to be stayed, § 9038.5(c)(1)(i)
— basis for Commission approval, § 9038.5(c)(2) and (3)
— criteria for candidate to meet, § 9038.5(c)(2)(iii)
— payment of interest required, § 9038.5(c)(4)
— surety bond, posted on amount, § 9038.5(c)(2)(ii)
— time of making request, § 9038.5(c)(1)(ii)
Stale-dated checks, § 9038.6
Time period for making, § 9038.2(d) and (e); § 9038.4
Allocation of expenditures by State, § 106.2(c)
Alphabetized schedules, § 9037.4
Appeal of FEC determination of failure to file, § 9033.9
Compliance with requirements by candidate/committee, § 9033.1(a) and (b)(10)
Computer-generated, § 104.2(d); § 9033.1(b)(5); § 9037.4
Fundraising representative's duties, § 9034.8(b)
Joint fundraising, receipts and disbursements, § 9034.8(c)(9)
Location for filing, § 105.3; § 108.2
Media, reimbursement for travel/services provided to, § 9034.6(e)
Net outstanding campaign obligations, § 9034.5(a)
Requirements, § 9033.1(b)(10)
Review by FEC, § 9039.2; § 9039.3
Schedule for filing, § 104.5
Travel expenses, § 9034.7(a)
Definition, § 9032.10
Equitable distribution of funds by, § 9037.2
Establishment of primary matching payment account, § 9032.5
— additional requests, § 9036.2(d)
— disputed submissions, § 9036.5(d)
— less than requested amount, § 9036.4(b) and (c)(2)
— threshold amount, § 9036.1(c)(2)
— undisputed submissions, § 9036.4(b)(3)
Repayment by committee to, § 9038.2(d); § 9038.6
Action under State law to qualify as candidate, § 9032.2(a)
— defines eligibility of candidate, § 9033.2(b)
— defines ineligibility date, § 9033.5(a) and (b)
— determines inactive candidacy, § 9033.6(a) and (c)
— reestablishes eligibility, § 9033.8(a) and (b)
— for additional submissions, § 9036.2(b)(1)
— for threshold submissions, § 9036.1(b)(3)
Definition of State, § 9032.11
Filing with Secretary of, Part 108
Preemption of State law, § 9032.9(a)(3)
Violation of State law, § 9032.9(a)(3)
— alphabetical list, § 9036.2(b)(1)(ii)
— amount to be certified, § 9036.2(d)
— certification by FEC, § 9036.2(d)
— contributions returned to contributor, § 9036.2(b)(1)(iii) and (iv)
— contributor information required, § 9036.2(b)(1)(v)
— dates for presenting, § 9036.2(a); § 9036.6
— digital imaging used for, § 9036.2(b)(1)(vi)
— documentation supporting, § 9036.2(b)
— first additional submission, § 9036.2(b)(1)
— format for, § 9036.2(b)
— in non-Presidential election year, § 9036.2(c)
— last date for submitting contributions, § 9036.6
— notification of last date by FEC, § 9036.6
— photocopies of checks required, § 9036.2(b)(1)(vi)
Adjustments to, § 9036.4(c)
Audit of, § 9036.4(d)
— discrepancy between contribution list and written instrument, § 9036.3(b)
— discrepancy in written instrument, § 9036.3(a)
— inconsistency within/between contributor lists, § 9036.3(c)
— insufficient documentation as basis for rejection, § 9036.3
— omission of information/supporting documentation, § 9036.3(d)
Insufficient documentation as basis for ineligibility, § 9036.3
Nonmatchable contribution, § 9036.4(c)(1)
— alternative methods of, § 9036.5(a)
— certification of, § 9036.5(d)
— cutoff date, § 9036.5(b)
— dates for presenting, § 9036.5(b)
— documentation required, § 9036.5(c)
— final determination of, § 9036.5(e) and (f)
— format for, § 9036.5(c)
— accepted for matching, § 9036.4(b)
— adjustment of amount to be matched, § 9036.4(c)
— certification of less than amount requested, § 9036.4(b) and (c)
— continuing, § 9039.2
— error rate leading to cessation of review, § 9036.2(d)(2); § 9036.4(a)(2)
— past actions considered, § 9033.4(d)(2); § 9036.4(a)(2)
— rejected for noncompliance with
— statistical sampling techniques used, § 9036.4(b)
Revised NOCO statement in event of shortfall, § 9034.5(f)
Schedule, as designated by FEC, § 9036.6
— bank depository documentation required, § 9036.1(b)(3)
— certification by FEC, § 9036.1(c)(2)
— computerized information, § 9036.1(b)(2)
— content of, § 9036.1(b)
— contributor information required, § 9036.1(b)(1)
— date for making, § 9036.1(a)
— documentation required, § 9036.1(b)(3)
— Guideline for Presentation in Good Order, § 9036.1(b)(7)
— notification of eligibility, § 9036.1(c)
— photocopy of written instrument, § 9036.1(b)
— refunded contributions, listed, § 9036.1(b)(6)
— segregation of contributions by State, § 9036.1(b)
— affiliated committees, § 110.3(c)(1)
— candidate's nonfederal and federal campaigns, § 110.3(c)(6)
— candidate's previous and current committees, § 110.3(c)(4)
— candidate's primary and general election campaigns, § 110.3(c)(3)
— committees of one party, § 102.6(a); § 110.3(c)
— dual candidate's campaign committees, § 110.3(c)(5) and (7); § 110.8(d)(2); § 9034.4(d)
Not qualified campaign expense, § 9034.4(b)(6)
Of joint fundraising proceeds, § 110.3(c)(2)
Recordkeeping required, § 102.9(b)(1); § 110.3(c)(6)(i)
— by transferring nonfederal campaign committee, § 110.3(c)(6)(i)
— from committee, § 104.3(b)(4)(ii)
— to committee, § 104.3(a)(4)(iii)(A)
Unlimited, § 102.6(a); § 110.3(c)(1); § 113.2(c)
When actively seeking election to more than one office, § 110.3(c)(5)(i); § 110.8(d)(2); § 9034.4(d)
Interstate, not allocable, § 106.2(c)(4)
Intra-State, allocable, § 106.2(a)(2)
Of media personnel, § 9034.6
Continuing to campaign, § 9034.4(a)(3) and (b)(3)
Depository for matching funds, § 9037.3
Determining whether to become candidate, § 9034.4(a)(2)
Expenses incurred during period of ineligibility, § 9034.1(c)
Net outstanding campaign obligations, § 9034.1(b)
—
Terminating political activity, § 9034.4(a)(3)(i)
Transfers to other campaigns, § 110.3(c)(5); § 110.8(d); § 9034.4(d)
Winding down costs, § 9034.4(a)(3)
Definition, § 110.9(d)
Used in determining expenditure limitations, § 110.8(a)(1)
All changes in this volume of the Code of Federal Regulations which were made by documents published in the
For the period before January 1, 1986, see the “List of CFR Sections Affected, 1949-1963, 1964-1972, and 1973-1985” published in seven separate volumes.