[Title 11 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2005 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
11
Revised as of January 1, 2005
Federal Elections
________________________
Containing a codification of documents of general
applicability and future effect
As of January 1, 2005
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
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Table of Contents
Page
Explanation................................................. v
Title 11:
Chapter I--Federal Election Commission 3
Finding Aids:
Indexes to Regulations:
Administrative Regulations, Parts 1-8; 200-201 377
General, Parts 100-116 383
General Election Financing, Parts 9001-9007 and 9012 435
Federal Financing of Presidential Nominating
Conventions, Part 9008 447
Presidential Primary Matching Fund, Parts 9031-9039 455
Table of CFR Titles and Chapters........................ 475
Alphabetical List of Agencies Appearing in the CFR...... 491
Redesignation Table..................................... 501
List of CFR Sections Affected........................... 503
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 11 CFR 1.1 refers to
title 11, part 1, section
1.
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EXPLANATION
The Code of Federal Regulations is a codification of the general and
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Title 1 through Title 16.................................as of January 1
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The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
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collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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[[Page vii]]
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Raymond A. Mosley,
Director,
Office of the Federal Register.
January 1, 2005.
[[Page ix]]
THIS TITLE
Title 11--Federal Elections is composed of one volume. The contents
of this volume represent all current regulations issued by the Federal
Election Commission codified under this title of the CFR as of January
1, 2005.
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.
A Redesignation table appears in the Finding Aids section of this
volume.
For this volume, Elmer Barksdale was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page 1]]
TITLE 11--FEDERAL ELECTIONS
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Part
chapter i--Federal Election Commission...................... 1
Cross References: 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
Sec. Sec. 73.1910--73.1944
Interstate Commerce Commission: 49 CFR part 1325
[[Page 3]]
CHAPTER I--FEDERAL ELECTION COMMISSION
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Part Page
1 Privacy Act................................. 5
2 Sunshine regulations; meetings.............. 9
4 Public records and the Freedom of
Information Act......................... 13
5 Access to Public Disclosure Division
documents............................... 22
6 Enforcement of nondiscrimination on the
basis of handicap in programs or
activities conducted by the Federal
Election Commission..................... 25
7 Standards of conduct........................ 31
8 National Voter Registration Act (42 U.S.C.
1973gg-1 et seq.)....................... 43
SUBCHAPTER A--GENERAL
100 Scope and definitions (2 U.S.C. 431)........ 47
101 Candidate status and designations (2 U.S.C.
432(e))................................. 82
102 Registration, organization, and
recordkeeping by political committees (2
U.S.C. 433)............................. 83
103 Campaign depositories (2 U.S.C. 432(h))..... 96
104 Reports by political committees (2 U.S.C.
434).................................... 98
105 Document filing (2 U.S.C. 432(g))........... 128
106 Allocations of candidate and committee
activities.............................. 129
107 Presidential nominating convention,
registration and reports................ 144
108 Filing copies of reports and statements with
State officers (2 U.S.C. 439)........... 145
109 Coordinated and independent expenditures (2
U.S.C. 431(17), 441a(a) and (d), and
Pub. L. 107-155 Sec. 214(c))............ 147
110 Contribution and expenditure limitations and
prohibitions............................ 156
111 Compliance procedure (2 U.S.C. 437g,
437d(a))................................ 185
112 Advisory opinions (2 U.S.C. 437f)........... 199
113 Use of campaign accounts for non-campaign
purposes................................ 201
114 Corporate and labor organization activity... 206
115 Federal contractors......................... 231
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116 Debts owed by candidates and political
committees.............................. 232
SUBCHAPTER B--ADMINISTRATIVE REGULATIONS
200 Petitions for rulemaking.................... 242
201 Ex parte communications..................... 243
SUBCHAPTER C--BIPARTISAN CAMPAIGN REFORM ACT OF 2002--(BCRA) REGULATIONS
300 Non-Federal funds........................... 246
400 Increased limits for candidates opposing
self-financed candidates................ 267
SUBCHAPTER D [RESERVED]
SUBCHAPTER E--PRESIDENTIAL ELECTION CAMPAIGN FUND: GENERAL ELECTION
FINANCING
9001 Scope....................................... 276
9002 Definitions................................. 276
9003 Eligibility for payments.................... 279
9004 Entitlement of eligible candidates to
payments; use of payments............... 289
9005 Certification by Commission................. 299
9006 Reports and recordkeeping................... 300
9007 Examinations and audits; Repayments......... 301
9008 Federal Financing of Presidential nominating
conventions............................. 310
9009-9011 [Reserved]
9012 Unauthorized expenditures and contributions. 326
SUBCHAPTER F--PRESIDENTIAL ELECTION CAMPAIGN FUND: PRESIDENTIAL PRIMARY
MATCHING FUND
9031 Scope....................................... 328
9032 Definitions................................. 328
9033 Eligibility for payments.................... 330
9034 Entitlements................................ 338
9035 Expenditure limitations..................... 353
9036 Review of matching fund submissions and
certification of payments by Commission. 356
9037 Payments and reporting...................... 362
9038 Examination and audits...................... 363
9039 Review and investigation authority.......... 372
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PART 1_PRIVACY ACT--Table of Contents
Sec.
1.1 Purpose and scope.
1.2 Definitions.
1.3 Procedures for requests pertaining to individual records in a record
system.
1.4 Times, places, and requirements for identification of individuals
making requests.
1.5 Disclosure of requested information to individuals.
1.6 Special procedure: Medical records. [Reserved]
1.7 Request for correction or amendment to record.
1.8 Agency review of request for correction or amendment of record.
1.9 Appeal of initial adverse agency determination on amendment or
correction.
1.10 Disclosure of record to person other than the individual to whom it
pertains.
1.11 Fees.
1.12 Penalties.
1.13 General exemptions. [Reserved]
1.14 Specific exemptions.
Authority: 5 U.S.C. 552a.
Source: 41 FR 43064, Sept. 29, 1976, unless otherwise noted.
Sec. 1.1 Purpose and scope.
(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).
[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980]
Sec. 1.2 Definitions.
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:
Individual means a citizen of the United States or an alien lawfully
admitted for permanent residence.
Maintain includes maintain, collect, use or disseminate.
Record means any item, collection, or grouping of information about
an individual that is maintained by an agency, including but not limited
to his or her education, financial transactions, medical history, and
criminal or employment history and that contains his or her name, or the
identifying number, symbol or other identifying particular assigned to
the individual, such as finger or voice print or a photograph.
Systems of Records means a group of any records under the control of
the Federal Election Commission from which information is retrieved by
the name of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual.
Routine use means the use of such record for a purpose compatible
with the purpose for which the information was collected.
Commission means the Federal Election Commission, its Commissioners
and employees.
Commissioners means the six appointees confirmed by the Senate who
are voting members of the Commission.
Act means the Federal Election Campaign Act of 1971, as amended and
chapters 95 and 96 of the Internal Revenue Code of 1954.
Sec. 1.3 Procedures for requests pertaining to individual records in
a record system.
(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
[[Page 6]]
determine which record system contains those records, may request
assistance by mail or in person from the Staff Director, Federal
Election Commission, 999 E Street, NW., Washington, DC 20463 during the
hours of 9 a.m. to 5:30 p.m.
(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.
[41 FR 43064, Sept. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 1.4 Times, places, and requirements for identification of
individuals making requests.
(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 Sec. 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.
[41 FR 43064, Sept. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 1.5 Disclosure of requested information to individuals.
(a) Upon submission of proof of identification as required by Sec.
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
[[Page 7]]
under this part in a form intelligible to that 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 Sec. 1.4.
Sec. 1.6 Special procedure: Medical records. [Reserved]
Sec. 1.7 Request for correction or amendment to record.
(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.
Sec. 1.8 Agency review of request for correction or amendment of record.
(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 Sec. 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 Sec. 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.
Sec. 1.9 Appeal of initial adverse agency determination on amendment
or correction.
(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
[[Page 8]]
may extend that thirty (30) day period. If the Commissioners extend the
period, the individual requesting the review shall be promptly notified
of the extension and the anticipated date of a decision.
(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.
Sec. 1.10 Disclosure of record to person other than the individual to
whom it pertains.
(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 Sec. 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 Sec.
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.
Sec. 1.11 Fees.
(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.
Sec. 1.12 Penalties.
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.
Sec. 1.13 General exemptions. [Reserved]
Sec. 1.14 Specific exemptions.
(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
[[Page 9]]
and 3 contain the working papers of the Commission staff and form the
basis for either civil and/or criminal proceedings pursuant to the
exercise of the powers and duties of the Commission. These materials
must be protected until such time as they are subject to public access
under the provision of 2 U.S.C. 437g(a)(4)(B) or 5 U.S.C. 552, or other
relevant statutes.
(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.
[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980;
60 FR 4073, Jan. 20, 1995]
PART 2_SUNSHINE REGULATIONS; MEETINGS--Table of Contents
Sec.
2.1 Scope.
2.2 Definitions.
2.3 General rules.
2.4 Exempted meetings.
2.5 Procedures for closing meetings.
2.6 Transcripts and recordings.
2.7 Announcement of meetings and schedule changes.
2.8 Annual report.
Authority: Sec. 3(a), Pub. L. 94-409, 5 U.S.C. 552b.
Source: 50 FR 39972, Oct. 1, 1985, unless otherwise noted.
Sec. 2.1 Scope.
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.
Sec. 2.2 Definitions.
(a) Commission. Commission means the Federal Election Commission,
999 E Street, NW., Washington, DC 20463.
(b) Commissioner or Member. Commissioner or Member means an
individual appointed to the Federal Election Commission pursuant to 2
U.S.C. 437c(a), but does not include a proxy or other designated
representative of a Commissioner.
(c) Person. Person means an individual, including employees of the
Commission, partnership, corporation, association, or public or private
organization, other than an agency of the United States Government.
(d) Meeting. (1) Meeting means the deliberation of at least four
voting members of the Commission in collegia where such deliberations
determine or result in the joint conduct or disposition of official
Commission business. For the purpose of this section, joint conduct does
not include, for example, situations where the requisite number of
members is physically present in one place but not conducting agency
business as a body (e.g., at a meeting at which one member is giving a
speech while a number of other members are present in the audience). A
deliberation conducted through telephone or similar communications
equipment by means of which all persons participating can hear each
other will be considered a meeting under this section.
(2) The term meeting does not include the process of notation voting
by circulated memorandum for the purpose of expediting consideration of
routine matters. It also does not include deliberations to schedule a
meeting, to take action to open or close a meeting, or to release or
withhold information, or to
[[Page 10]]
change the subject matter of a meeting under 11 CFR 2.5, 2.6 and 2.7.
[50 FR 39972, Oct. 1, 1985, as amended at 50 FR 50778, Dec. 12, 1985; 65
FR 9206, Feb. 24, 2000]
Sec. 2.3 General rules.
(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.
Sec. 2.4 Exempted meetings.
(a) Meetings required by statute to be closed. Meetings concerning
matters specifically exempted from disclosure by statutes which require
public withholding in such a manner as to leave no discretion for the
Commission on the issue, or which establish particular types of matters
to be withheld, shall be closed to public observation in accordance with
the procedures of 11 CFR 2.5.
(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, any notification or
investigation that a violation of the Act has occurred includes, but is
not limited to, determinations pursuant to 2 U.S.C. 437g, the issuance
of subpoenas, discussion of referrals to the Department of Justice, or
consideration of any other matter related to the Commission's
enforcement activity, as set forth in 11 CFR part 111.
(b) Meetings closed by Commission determination. Except as provided
in 11 CFR 2.4(c), the requirement of open meetings will not apply where
the Commission finds, in accordance with 11 CFR 2.5, that an open
meeting or the release of information is likely to result in the
disclosure of:
(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;
[[Page 11]]
(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.
Sec. 2.5 Procedures for closing meetings.
(a) General. No meeting or portion of a meeting may be closed to the
public observation under this section unless a majority of the
Commissioners votes to take such action. The closing of one portion of a
meeting shall not justify closing any other portion of a meeting.
(b) Certification. Each time the Commission votes to close a
meeting, the General Counsel shall publicly certify that, in his or her
opinion, each item on the agenda may properly be closed to public
observation. The certification shall state each relevant exemption
provision. The original copy of the certification shall be attached to,
and preserved with, the statement required by 11 CFR 2.5(d).
(c) Voting procedures. (1) No meeting need be held to consider
closing a meeting. The Commission may vote to close a meeting or any
portion thereof by using its notation vote procedures.
(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 objection for the record only will not cause the objection
to be placed on any agenda.
(d) Public statement of vote. (1) If the Commission votes to close a
meeting, or any portion thereof, under this section, it shall make
publicly available within 24 hours a written statement of the vote. The
written statement shall contain:
(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) Public request to close a meeting. A person whose interests may
be directly
[[Page 12]]
affected by a portion of a meeting may request that the Commission close
that portion to the public for any of the reasons referred to in 11 CFR
2.4. The following procedures shall apply to such requests:
(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).
[50 FR 39972, Oct. 1, 1985, as amended at 65 FR 9206, Feb. 24, 2000]
Sec. 2.6 Transcripts and recordings.
(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.
Sec. 2.7 Announcement of meetings and schedule changes.
(a)(1) In the case of each meeting, the Commission shall publicly
announce and shall submit such announcement for publication in the
Federal Register at least seven days prior to the day on which the
meeting is to be called to order. The Commission Secretary shall also
forward a copy of such announcement for posting in the Commission's
Public Records Office.
(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
[[Page 13]]
earliest practicable time, the announcement required by this section and
a concurrent submission for publication of that announcement in the
Federal Register.
(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 Federal Register a notice containing the information
required by 11 CFR 2.7(a)(2), including a description of any change from
the earlier published notice.
Sec. 2.8 Annual report.
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).
PART 4_PUBLIC RECORDS AND THE FREEDOM OF INFORMATION ACT--Table of Contents
Sec.
4.1 Definitions.
4.2 Policy on disclosure of records.
4.3 Scope.
4.4 Availability of records.
4.5 Categories of exemptions.
4.6 Discretionary release of exempt records.
4.7 Requests for records.
4.8 Appeal of denial.
4.9 Fees.
Authority: 5 U.S.C. 552, as amended.
Source: 44 FR 33368, June 8, 1979, unless otherwise noted.
Sec. 4.1 Definitions.
As used in this part:
(a) Commission means the Federal Election Commission, established by
the Federal Election Campaign Act of 1971, as amended.
(b) Commissioner means an individual appointed to the Federal
Election Commission pursuant to 2 U.S.C. 437c(a).
(c) Request means to seek the release of records under 5 U.S.C. 552.
(d) Requestor is any person who submits a request to the Commission.
(e) Act means the Federal Election Campaign Act of 1971, as amended
by the Federal Election Campaign Act Amendments of 1974, 1976, and 1979,
and unless specifically excluded, includes chapters 95 and 96 of the
Internal Revenue Code of 1954 relating to public financing of Federal
elections.
(f) Public Disclosure Division of the Commission is that division
which is responsible for, among other things, the processing of requests
for public access to records which are submitted to the Commission
pursuant to 2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), and 438(a).
(g) Direct costs means those expenditures which the Commission
actually incurs in searching for and duplicating (and, in the case of
commercial use requestors, reviewing) documents to respond to a FOIA
request. Direct costs include the salary of the employee performing the
work (the basic rate of pay for the employee plus 16 percent of that
rate to cover benefits) and the cost of operating duplicating equipment.
Direct costs do not include overhead expenses such as the cost of space
and
[[Page 14]]
heating or lighting the facility in which the records are stored.
(h) Search means all time spent reviewing, manually or by automated
means, Commission records for the purpose of locating those records that
are responsive to a FOIA request, including page-by-page or line-by-line
identification of material within documents. Search time does not
include review of material in order to determine whether the material is
exempt from disclosure.
(i) Review means the process of examining a document located in
response to a commercial use request to determine whether any portion of
the document located is exempt from disclosure. Review also refers to
processing any document for disclosure, i.e., doing all that is
necessary to excise exempt portions of the document and otherwise
prepare the document for release. Review does not include time spent by
the Commission resolving general legal or policy issues regarding the
application of exemptions.
(j) Duplication means the process of making a copy of a document
necessary to respond to a FOIA request. Examples of the form such copies
can take include, but are not limited to, paper copy, microform, audio-
visual materials, or machine readable documentation (e.g., magnetic tape
or disk).
(k) Commercial use means a purpose that furthers the commercial,
trade, or profit interests of the requestor or the person on whose
behalf the request is made. The Commission's determination as to whether
documents are being requested for a commercial use will be based on the
purpose for which the documents are being requested. Where the
Commission has reasonable cause to doubt the use for which the requestor
claims to have made the request or where that use is not clear from the
request itself, the Commission will seek additional clarification before
assigning the request to a specific category.
(l) Educational institution means a preschool, a public or private
elementary or secondary school, an institution of graduate higher
education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
(m) Non-commercial scientific institution means an organization that
is not operated on a commercial basis, as that term is defined in
paragraph (k) of this section, and which is operated solely for the
purpose of conducting scientific research the results of which are not
intended to promote any particular product or industry.
(n) Representative of the news media means a person actively
gathering news for an entity that is organized and operated to publish
or broadcast news to the public. The term news means information that is
about current events or that would be of current interest to the public.
Examples of news media entities include, but are not limited to,
television or radio stations broadcasting to the public at large, and
publishers of periodicals (but only in those instances when they can
qualify as disseminators of news, as defined in this paragraph) who make
their products available for purchase or subscription by the general
public. A freelance journalist may be regarded as working for a news
organization and therefore considered a representative of the news media
if that person can demonstrate a solid basis for expecting publication
by that news organization, even though that person is not actually
employed by that organization. The best means by which a freelance
journalist can demonstrate a solid basis for expecting publication by a
news organization is by having a publication contract with that news
organization. When no such contract is present, the Commission will look
to the freelance journalist's past publication record in making this
determination.
(o) Record and any other term used in this part in reference to
information includes any information that would be a Commission record
subject to the requirements of this part when maintained by the
Commission in any format, including an electronic format.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 52
FR 39212, Oct. 21, 1987; 65 FR 9206, Feb. 24, 2000]
[[Page 15]]
Sec. 4.2 Policy on disclosure of records.
(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 secret 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) 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.
Sec. 4.3 Scope.
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.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980]
Sec. 4.4 Availability of records.
(a) In accordance with 5 U.S.C. 552(a)(2), 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, General
Counsel's Reports and non-exempt 2 U.S.C. 437g investigatory materials
shall be placed on the public record of the Agency no later than 30 days
from the date on which all respondents are notified that the Commission
has voted to close such an enforcement file;
(4) Copies of all records, regardless of form or format, which have
been released to any person under this paragraph (a) and which, because
of the nature of their subject matter, the agency determines have become
or are likely to become the subject of subsequent requests for
substantially the same records; and
(5) A general index of the records referred to in paragraph (a)(4)
of this section.
(b) In accordance with 5 U.S.C. 552(a)(3), the Commission shall make
available, upon proper request, all non-exempt Agency records, or
portions of records, not previously made public pursuant to 5 U.S.C.
552(a)(1) and (a)(2).
(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) and (E).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 Federal
Register that publication would be unnecessary, impracticable, or not
feasible due to budgetary considerations. Nevertheless, copies of any
index or supplement shall be made available upon request at a cost not
to exceed the direct cost of duplication.
(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.
(g) The Commission encourages the public to explore the information
available on the Commission's World Wide Web site, located at http://
www.fec.gov. The site includes a Commission publication, Availability of
FEC Information, which provides a detailed listing of the types of
documents available from the FEC, including those
[[Page 16]]
available under FOIA, and directions on how to locate and obtain them.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 65
FR 9206, Feb. 24, 2000]
Sec. 4.5 Categories of exemptions.
(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 the Commission and not disclosed except as required by
law. In the event that any business information submitted to the
Commission is not entitled to confidential treatment, the submitter will
be permitted to withdraw the tender unless it is the subject of a
request under the Freedom of Information Act or of judicial discovery
proceedings.
(vi) Since enforcement actions under 2 U.S.C. 437g are confidential
by statute, the procedures outlined in Sec. 4.5(a)(4) (i) thru (v) are
not applicable.
[[Page 17]]
(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;
The agency may, during only such time as that circumstance continues,
treat the records as not subject to the requirements of the Freedom of
Information Act.
(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. The amount of information deleted shall be indicated
on the released portion of the record, unless including that indication
would harm an interest protected by an exemption in paragraph (a) of
this section under which the deletion is made. If technically feasible,
the amount of the information deleted shall be indicated at the place in
the record where such deletion is made.
(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.
[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985; 52
FR 23638, June 24, 1987; 52 FR 39212, Oct. 21, 1987; 65 FR 9206, Feb.
24, 2000]
Sec. 4.6 Discretionary release of exempt records.
The Commission may, in its discretion, release requested records
despite the applicability of the exemptions in Sec. 4.5(a), if it
determines that it is in the public interest and that the rights of
third parties would not be prejudiced.
Sec. 4.7 Requests for records.
(a) [Reserved]
(b)(1) 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
[[Page 18]]
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.
(2) Requests for Commission records and copies thereof shall specify
the preferred form or format (including electronic formats) of the
response. The Commission shall accommodate requesters as to form or
format if the record is readily available in that form or format. When
requesters do not specify the form or format of the response, the
Commission shall respond in the form or format in which the document is
most accessible to the Commission.
(c) The Commission shall determine within twenty working days after
receipt of a request, or twenty working days after an appeal is granted,
whether to comply with such request, unless in unusual circumstances the
time is extended or subject to Sec. 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) If the Commission determines that an extension of time greater
than ten working days is necessary to respond to a request satisfying
the ``unusual circumstances'' specified in paragraph (c) of this
section, the Commission shall so notify the requester and give the
requester an opportunity to limit the scope of the request so that it
may be processed within the time limit prescribed in paragraph (c) of
this section, or arrange with the Commission an alternative time frame
for processing the request or a modified request.
(e) The Commission may aggregate and process as a single request
requests by the same requester, or a group of requesters acting in
concert, if the Commission reasonably believes that the requests
actually constitute a single request that would otherwise satisfy the
unusual circumstances specified in paragraph (c) of this section, and
the requests involve clearly related matters.
(f) The Commission uses a multitrack system to process requests
under the Freedom of Information Act that is based on the amount of work
and/or time involved in processing requests. Requests for records are
processed in the order they are received within each track. Upon receipt
of a request for records, the Commission shall determine which track is
appropriate for the request. The Commission may contact requesters whose
requests do not appear to qualify for the fastest tracks and provide
such requesters the opportunity to limit their requests so as to qualify
for a faster track. Requesters who believe that their requests qualify
for the fastest tracks and who wish to be notified if the Commission
disagrees may so indicate in the request and, where appropriate and
feasible, shall also be given an opportunity to limit their requests.
(g) The Commission shall consider requests for the expedited
processing of requests in cases where the requester demonstrates a
compelling need for such processing.
(1) The term compelling need means:
(i) That a failure to obtain requested records on an expedited basis
could reasonably be expected to pose an imminent threat to the life or
physical safety of an individual; or
(ii) With respect to a request made by a person primarily engaged in
disseminating information, urgency to inform the public concerning
actual or alleged Federal government activity.
[[Page 19]]
(2) Requesters for expedited processing must include in their
requests a statement setting forth the basis for the claim that a
``compelling need'' exists for the requested information, certified by
the requester to be true and correct to the best of his or her knowledge
and belief.
(3) The Commission shall determine whether to grant a request for
expedited processing and notify the requester of such determination
within ten days of receipt of the request. Denials of requests for
expedited processing may be appealed as set forth in Sec. 4.8. The
Commission shall expeditiously determine any such appeal. As soon as
practicable, the Commission shall process the documents responsive to a
request for which expedited processing is granted.
(h) 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.
(i) The date of receipt of a request under this part shall be the
date on which the FOIA Officer actually receives the request.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31292, May 13, 1980; 50
FR 50778, Dec. 12, 1985; 52 FR 39213, Oct. 21, 1987; 65 FR 9206, Feb.
24, 2000]
Sec. 4.8 Appeal of denial.
(a) Any person who has been notified pursuant to Sec. 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 Sec. 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 Sec. 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 Sec. 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 or failure to comply with an oral request. Any person who
has orally requested a copy of a record that he/she believes to have
been improperly denied should resubmit the request in writing as set
forth in Sec. 4.7.
[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 4.9 Fees.
(a) Exceptions to fee charges--(1) General. Except for a commercial
use requester, the Commission will not charge a fee to any requester for
the first two hours of search time and the first 100 pages of
duplication in response to any FOIA request.
(2) Free computer search time. For purposes of this paragraph, the
term search time is based on the concept of a manual search. To apply
this to a search conducted by a computer, the Commission will provide
the equivalent dollar value of two hours of professional staff time,
calculated according to paragraph (c)(4) of this section, in computer
search time. Computer search time is determined by adding the cost of
the computer connect time actually used for the search, calculated at
the rate of $25.00 per hour, to the
[[Page 20]]
cost of the operator's salary for the time spent conducting the computer
search, calculated at the professional staff time rate set forth at
paragraph (c)(4) of this section.
(3) Definition of pages. For purposes of this paragraph, the word
pages refers to paper copies of a standard agency size which will
normally be 8\1/2\ x 11 or 8\1/2\ x
14. Thus, while a requester would not be entitled to 100 free
computer disks, for example, a requester would be entitled to 100 free
pages of a computer printout.
(4) Minimum charge. The Commission will not charge a fee to any
requester when the allowable direct cost of that FOIA request is equal
to or less than the Commission's cost of routinely collecting and
processing a FOIA request fee.
(b) Fee reduction or waiver--(1) The Commission will consider
requests for the reduction or waiver of any fees assessed pursuant to
paragraph (c)(1) of this section if it determines, either as a result of
its own motion or in response to a written submission by the requester,
that disclosure of the information is in the public interest because it
is likely to contribute significantly to public understanding of the
operations or activities of the government and that disclosure of the
information is not primarily in the commercial interest of the
requester.
(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) Fees to be charged. (1) The FOIA services provided by the
Commission in response to a FOIA request for which the requestor will be
charged will depend upon the category of the requestor. The categories
of FOIA requestors are as follows:
(i) Commercial use requestors. A requestor of documents for
commercial use will be assessed reasonable standard charges for the full
allowable direct costs of searching for, reviewing for release and
duplicating the records sought, according to the Commission's schedule
of fees for those services as set forth at paragraph (c)(4) of this
section. A commercial use requestor is not entitled to two hours of free
search time nor 100 free pages of duplication of documents.
(ii) Educational and non-commercial scientific institution
requestors. The Commission will provide documents to requestors in this
category for the cost of duplication of the records provided by the
Commission in response to the request, according to the Commission's
schedule of fees as set forth at paragraph (c)(4) of this section,
excluding charges for the first 100 pages of duplication. Requestors in
this category will not be charged for search time. To be eligible for
inclusion in this category, requestors must show that the request is
being made as authorized by and under the auspices of a qualifying
institution and that the records are not sought for a commercial use,
but are sought in furtherance of scholarly (if the request is from an
educational institution) or scientific (if the request is from a non-
commercial scientific institution) research.
(iii) Requestors who are representatives of the news media. The
Commission will provide documents to requestors in this category for the
cost of duplication of the records provided by the Commission in
response to the request, according to the Commission's schedule of fees
as set forth at paragraph (c)(4) of this section, excluding charges for
the first 100 pages of duplication. Requestors in this category will not
be charged for search time. To be eligible for inclusion in this
category, the requestor must meet the criteria listed
[[Page 21]]
at 11 CFR 4.1(n) and his or her request must not be made for a
commercial use. A request for records supporting the news dissemination
function of the requestor shall not be considered to be a request that
is for a commercial use.
(iv) All other requestors. The Commission will charge requestors who
do not fit into any of the categories listed in paragraph (c)(1)(i),
(ii) or (iii) of this section the full direct costs of searching for and
duplicating records in response to the request, according to the
Commission's schedule of fees as set forth at paragraph (c)(4) of this
section, excluding charges for the first two hours of search time and
the first 100 pages of duplication. Requests from record subjects for
records about themselves will continue to be treated under the fee
provisions of the Privacy Act of 1974 which permit fees only for
duplication.
(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 $25.00, it will notify the requestor of the
estimated amount of the fee unless the requestor has indicated in
advance a willingness to pay a fee as high as that estimated by the
Commission. Through this notification, the Commission will offer the
requestor the opportunity to confer with Commission staff to reformulate
the original request in order to meet the requestor's needs at a lower
cost.
(4) The following is the schedule of the Commission's standard fees.
The cost of staff time will be added to all of the following fees,
generally at the Professional rate listed below, except for the cost of
Photocopying from photocopying machines which has been calculated to
include staff time.
Photocopying
Photocopying from photocopying machines--$.07 per page
Photocopying from microfilm reader-printer--$.15 per page
Paper copies from microfilm-paper print machine--$.05 per frame page
Reels of Microfilm
Daily film (partial or complete roll)--$2.85 per roll
Other film (partial or complete roll)--$5.00 per roll
Publications: (new or not from available stocks)
Cost of photocopying document--$.07 per page
Cost of binding document--$.30 per inch
Publications: (available stock)
If available from stock on hand, cost is based on previously calculated
cost as stated in the publication (based on actual cost per copy,
including reproduction and binding). Commission publications for which
fees will be charged include, but are not limited to, the following:
Advisory Opinion Index, Report on Financial Activity, Financial Control
and Compliance Manual, MUR Index, and Guideline for Presentation in Good
Order.
Computer Tapes
Cost to process the request at the rate of $25.00 per hour connect time
plus the cost of the computer tape ($25.00) and professional staff time
(see Staff Time).
Computer Indexes (including Name Searches)
Cost to process the request at the rate of $25.00 per hour connect time
plus the cost of professional staff time (see Staff Time).
Staff Time
Clerical: $4.50 per each half hour (agency average of staff below a GS-
11) for each request.
Professional: $12.40 per each half hour (agency average of staff at GS-
11 and above) for each request.
Other Charges
Certification of a Document: $7.35 per quarter hour.
Transcripts of Commission meetings not previously transcribed: $7.50 per
half hour (equivalent of a GS-11 executive secretary).
The Commission will not charge a fee for ordinary packaging and mailing
of records requested. When a request for special mailing or delivery
services is received the Commission will package the records requested.
The requestor will make all arrangements for pick-up and delivery of the
requested materials. The requestor shall
[[Page 22]]
pay all costs associated with special mailing or delivery services
directly to the courier or mail service.
(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) Interest charges. FOIA requestors should pay fees within 30 days
following the day on which the invoice for that request was sent to the
requestor. If the invoice is unpaid on the 31st day following the day on
which the invoice was sent, the Commission will begin assessing interest
charges, which will accrue from the date the invoice was mailed.
Interest will be charged at a rate that is equal to the average
investment rate for the Treasury tax and loan accounts for the 12-month
period ending on September 30 of each year, rounded to the nearest whole
percentage point, pursuant to 31 U.S.C. 3717. The accrual of interest
will be stayed by the Commission's receipt of the fee, even if the fee
has not yet been processed.
(e) Aggregating requests. A requestor may not file multiple
requests, each seeking portions of a document or documents, in order to
avoid payment of fees. When the Commission reasonably believes that a
FOIA requestor or group of requestors acting in concert is attempting to
break a request down into a series of requests for the purpose of
evading the assessment of fees, the Commission will aggregate any such
requests and charge the appropriate fees. In making this determination,
the Commission will consider the time period in which the requests have
occurred, the relationship of the requestors, and the subject matter of
the requests.
(f) Advance payments. The Commission will require a requestor to
make an advance payment, i.e., a payment before work is commenced or
continued on a request, when:
(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 Commission has received the payments or the
requestor has made acceptable arrangements to make the payments required
by paragraph (f) (1) or (2) of this section.
[52 FR 39213, Oct. 21, 1987]
PART 5_ACCESS TO PUBLIC DISCLOSURE DIVISION DOCUMENTS--Table of Contents
Sec.
5.1 Definitions.
5.2 Policy on disclosure of records.
5.3 Scope.
5.4 Availability of records.
5.5 Request for records.
5.6 Fees.
Authority: 2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), 438(a), and 31
U.S.C. 9701.
Source: 45 FR 31293, May 13, 1980, unless otherwise noted.
Sec. 5.1 Definitions.
(a) Commission means the Federal Election Commission established by
the Federal Election Campaign Act of 1971, as amended.
(b) Commissioner means an individual appointed to the Federal
Election Commission pursuant to 2 U.S.C. 437c(a).
(c) Request means to seek access to Commission materials subject to
the
[[Page 23]]
provisions of the Federal Election Campaign Act of 1971, as amended.
(d) Requestor is any person who submits a request to the Commission.
(e) Act means the Federal Election Campaign Act, as amended by the
Federal Election Campaign Act Amendments of 1974, 1976, and 1979, and
unless specifically excluded, includes chapters 95 and 96 of the
Internal Revenue Code of 1954 relating to public financing of Federal
elections.
(f) Public Disclosure Division of the Commission is that division
which is responsible for, among other things, the processing of requests
for public access to records which are submitted to the Commission
pursuant to 2 U.S.C. 437g(a)(4)(B)(ii), and 438(a).
[45 FR 31293, May 13, 1980, as amended at 65 FR 9207, Feb. 24, 2000]
Sec. 5.2 Policy on disclosure of records.
(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.
Sec. 5.3 Scope.
(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.
Sec. 5.4 Availability of records.
(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 shall be placed on the public record of the Agency no later
than 30 days from the date on which all respondents are notified that
the Commission has voted to close such an enforcement file.
(5) Letter requests for guidance and responses thereto.
(6) The minutes of Commission meetings.
(7) Material routinely prepared for public distribution, e.g.
campaign guidelines, FEC Record, press releases, speeches, notices to
candidates and committees.
(8) Audit reports (if discussed in open session).
(9) Agendas for Commission meetings.
(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.
[[Page 24]]
(d) Release of records under this section is subject to the
provisions of 5 U.S.C. 552a.
[45 FR 31293, May 13, 1980, as amended at 65 FR 9207, Feb. 24, 2000]
Sec. 5.5 Request for records.
(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.
[45 FR 31293, May 13, 1980, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 5.6 Fees.
(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:
Photocopying from microfilm reader-printer--$.15 per page
Photocopying from photocopying machines--$.05 per page
Paper copies from microfilm--Paper Print Machine--$.05 per frame/page
Reels of Microfilm
Daily film (partial or complete roll)--$2.85 per roll
Other film (partial or complete roll)--$5.00 per roll
Publications: (new or not from stocks available)
Cost of photocopying (reproducing) document--$.05 per page
Cost of binding document--$.30 per inch
Plus cost of staff research time after first \1/2\ hour (see Research
Time)
Publications: (available stock)
If available from stock on hand, cost is based on previously calculated
cost as stated in the publication (based on actual cost per copy,
including reproduction and binding).
Computer Tapes:
Cost ($.0006 per Computer Resource Unit Utilized--CRU) to process the
request plus the cost of the computer tape ($25) and professional staff
time (see Research Time). The cost varies based upon request.
Computer Indexes:
No charge for 20 or fewer requests for computer indexes, except for a
name search as described below.
C Index--Committee Index of Disclosure Documents--No charge for requests
of 20 or fewer committee ID numbers. Requests for more than 20 ID
numbers will cost $.05 for each ID number requested.
E Index (Parts 1-4)--Candidate Index of Supporting Documents--No charge
for requests of 20 or fewer candidate ID numbers. Requests for more than
20 ID numbers will cost $.10 for each ID number requested.
D Index--Committee Index or Candidates Supported/Opposed--No charge for
requests of 20 or fewer committee ID numbers. Requests for more than 20
ID numbers will cost $.30 for each committee ID number requested.
E Index (Complete)--Candidate Index of Supporting Documents--No charge
for requests of 20 or fewer committee ID numbers. Requests for more than
20 ID numbers will cost $2.00 for each candidate ID number requested.
[[Page 25]]
G Index--Selected List of Receipts and Expenditures--No charge for
requests of 20 or fewer committee ID numbers. Requests for more than 20
ID numbers will cost $2.00 for each ID number requested.
Other computer index requests for more than 20 ID numbers will cost
$.0006 per CRU (Computer Resource Unit) utilized.
Name Search--A computer search of an entire individual contributor file
for contributions made by a particular individual or individuals will
cost $.0006 per CRU (Computer Resource Unit) utilized.
Research Time/Photocopying Time
Clerical: First \1/2\ hour is free; remaining time costs $4.50 per each
half hour (agency average of staff below a GS-11) for each request.
Professional: First \1/2\ hour is free; remaining time costs $12.40 per
each half hour (agency average of staff at GS-11 and above) for each
request.
Other Charges
Certification of a Document: $7.35 per quarter hour.
Transcripts of Commission meetings not previously transcribed: $7.50 per
half hour (equivalent of a GS-11 executive secretary).
(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:
Advisory Opinion Index
Report on Financial Activity
Financial Control and Compliance Manual
MUR Index
Guideline for Presentation in Good Order
Office Account Index
(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.
[49 FR 30460, July 31, 1984, as amended at 52 FR 39214, Oct. 21, 1987]
PART 6_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN
PROGRAMS OR ACTIVITIES CONDUCTED BY THE FEDERAL ELECTION COMMISSION
--Table of Contents
Sec.
6.101 Purpose.
6.102 Application.
6.103 Definitions.
6.104-6.109 [Reserved]
6.110 Evaluation.
6.111 Notice.
6.112-6.129 [Reserved]
6.130 General prohibitions against discrimination.
6.131-6.139 [Reserved]
6.140 Employment.
6.141-6.148 [Reserved]
6.149 Program accessibility: Discrimination prohibited.
6.150 Program accessibility: Existing facilities.
6.151 Program accessibility: New construction and alterations.
6.152-6.159 [Reserved]
6.160 Communications.
6.161-6.169 [Reserved]
6.170 Compliance procedures.
6.171-6.999 [Reserved]
Authority: 29 U.S.C. 794.
[[Page 26]]
Source: 49 FR 33211, Aug. 22, 1984, unless otherwise noted.
Sec. 6.101 Purpose.
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.
Sec. 6.102 Application.
This part applies to all programs or activities conducted by the
Commission.
Sec. 6.103 Definitions.
For purposes of this part, the term--
(a) Auxiliary aids means services, including attendant services, or
devices that enable handicapped persons, including those with impaired
sensory, manual, or speaking skills to have an equal opportunity to
participate in, and enjoy the benefits of, programs or activities
conducted by the Commission. For example, auxiliary aids useful for
persons with impaired vision include readers, Brailled materials, audio
recordings, and other similar services and devices. Auxiliary aids
useful for persons with impaired hearing include telephone handset
amplifiers, telephones compatible with hearing aids, telecommunication
devices for deaf persons (TDD's), interpreters, notetakers, written
materials, and other similar services and devices. Although auxiliary
aids are explicitly required only by 11 CFR 6.160(a)(1), they may also
be used to meet other requirements of this part.
(b) Commission means the Federal Election Commission, 999 E Street,
NW., Washington, DC 20463.
(c) Complete complaint means a written statement that contains the
complainant's name and address and describes the Commission's actions in
sufficient detail to inform the Commission of the nature and date of the
alleged violation of section 504. It shall be signed by the complainant
or by someone authorized to do so on his or her behalf. Complaints filed
on behalf of classes or third parties shall describe or identify (by
name, if possible) the alleged victims of discrimination.
(d) Facility means all or any portion of buildings, structures,
equipment, roads, walks, parking lots, rolling stock or other
conveyances, or other real or personal property whether owned, leased or
used on some other basis by the Commission.
(e) Handicapped person means any person who has a physical or mental
impairment that substantially limits one or more major life activities,
has a record of such an impairment, or is regarded as having such an
impairment. As used in this definition, the phrase:
(1) Physical or mental impairment includes--
(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 physical or mental impairment
includes, but is not limited to, such diseases and conditions as
orthopedic, visual, speech, and hearing impairments, cerebral palsy,
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease,
diabetes, mental retardation, emotional illness, drug addiction, and
alcoholism.
(2) Major life activities includes functions such as caring for
one's self, performing manual tasks, walking, seeing, hearing, speaking,
breathing, learning, and working.
(3) Has a record of such an impairment means has a history of, or
has been misclassified as having, a mental or physical impairment that
substantially limits one or more major life activities.
(4) Is regarded as having an impairment means--
(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;
[[Page 27]]
(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) Qualified handicapped person means--
(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) Section 504 means section 504 of the Rehabilitation Act of 1973
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617),
and the Rehabilitation, Comprehensive Services, and Developmental
Disabilities Act of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used in
this part, section 504 applies only to programs or activities conducted
by the Commission and not to any federally assisted programs or
activities that it administers.
[49 FR 33211, Aug. 22, 1984, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. Sec. 6.104-6.109 [Reserved]
Sec. 6.110 Evaluation.
(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.
Sec. 6.111 Notice.
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.
Sec. Sec. 6.112-6.129 [Reserved]
Sec. 6.130 General prohibitions against discrimination.
(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
[[Page 28]]
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 handicapped persons from
a program limited by Federal statute or Executive Order to a different
class of handicapped persons is not prohibited by this part.
(d) The Commission will administer programs and activities in the
most integrated setting appropriate to the needs of qualified
handicapped persons.
Sec. Sec. 6.131-6.139 [Reserved]
Sec. 6.140 Employment.
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.
[[Page 29]]
Sec. Sec. 6.141-6.148 [Reserved]
Sec. 6.149 Program accessibility: Discrimination prohibited.
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.
Sec. 6.150 Program accessibility; Existing facilities.
(a) General. The Commission will operate each program or activity so
that the program or activity, when viewed in its entirety, is readily
accessible to and usable by handicapped persons. This paragraph does
not--
(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) Methods. The Commission may comply with the requirements of this
section through such means as redesign of equipment, reassignment of
services to accessible buildings, assignment of aides to beneficiaries,
home visits, delivery of services at alternate accessible sites,
alteration of existing facilities and construction of new facilities,
use of accessible rolling stock, or any other methods that result in
making its programs or activities readily accessible to and usable by
handicapped persons. The Commission is not required to make structural
changes in existing facilities where other methods are effective in
achieving compliance with this section. The Commission, in making
alterations to existing buildings, will meet accessibility requirements
to the extent compelled by the Architectural Barriers Act of 1968, as
amended (42 U.S.C. 4151-4157) and any regulations implementing it. In
choosing among available methods for meeting the requirements of this
section, the Commission will give priority to those methods that offer
programs and activities to qualified handicapped persons in the most
integrated setting appropriate.
(c) Time period for compliance. The Commission will comply with the
obligations established under this section within sixty days of the
effective date of this part except that where structural changes in
facilities are undertaken, such changes will be made within three years
of the effective date of this part, but in any event as expeditiously as
possible.
(d) Transition plan. In the event that structural changes to
facilities will be undertaken to achieve program accessibility, the
Commission will develop, within six months of the effective date of this
part, a transition plan setting forth the steps necessary to complete
such changes. The plan will be developed with the assistance of
interested persons, including handicapped persons and organizations
representing handicapped persons. A copy of the transition plan will be
made available for public inspection. The plan will, at a minimum--
(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
[[Page 30]]
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.
Sec. 6.151 Program accessibility: New construction and alterations.
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.
Sec. Sec. 6.152-6.159 [Reserved]
Sec. 6.160 Communications.
(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 that, to the
maximum extent possible, handicapped persons receive the benefits and
services of the program or activity.
Sec. Sec. 6.161-6.169 [Reserved]
Sec. 6.170 Compliance procedures.
(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
[[Page 31]]
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 Sec. 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.
[49 FR 33211, Aug. 22, 1984, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. Sec. 6.171-6.999 [Reserved]
PART 7_STANDARDS OF CONDUCT--Table of Contents
Subpart A_General Provisions
Sec.
7.1 Purpose and applicability.
7.2 Definitions.
7.3 Notification to employees and special Commission employees.
7.4 Interpretation and advisory service.
7.5 Reporting suspected violations.
7.6 Disciplinary and other remedial action.
[[Page 32]]
Subpart B_Conduct and Responsibilities of Employees or Commissioners
7.7 Prohibited conduct--General.
7.8 Gifts, entertainment, and favors.
7.9 Outside employment or activities.
7.10 Financial interests.
7.11 Political and organization activity.
7.12 Membership in associations.
7.13 Use of Government property.
7.14 Prohibition against making complaints and investigations public.
7.15 Ex parte communications.
7.16 Miscellaneous statutory provisions.
Subpart C_Conduct and Responsibilities of Special Commission Employees
7.17 Use of Commission employment.
7.18 Use of inside information.
7.19 Coercion.
7.20 Gifts, entertainment, and favors.
7.21 Miscellaneous statutory provisions.
Subpart D_Post Employment Conflict of Interest: Procedures for
Administrative Enforcement Proceedings
7.22 Scope.
7.23 Initiation of investigation.
7.24 Conduct of preliminary investigation.
7.25 Initiation of administrative disciplinary proceeding.
7.26 Notice to former employee.
7.27 Hearing examiner designation and qualifications.
7.28 Hearing date.
7.29 Hearing rights of former employee.
7.30 Hearing procedures.
7.31 Examiner's decision.
7.32 Appeal.
7.33 Administrative sanctions.
Authority: 5 U.S.C. 7321 et seq.; 18 U.S.C. 207.
Source: 51 FR 34446, Sept. 29, 1986, unless otherwise noted.
Subpart A_General Provisions
Sec. 7.1 Purpose and applicability.
(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
employee and special Commission employees of the Commission as defined
in 11 CFR 7.2, except to the extent otherwise indicated herein, and is
consistent with Executive Order 11222 and part 735 of title 5, Code of
Federal Regulations, relating to employee responsibilities and conduct.
(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.
Sec. 7.2 Definitions.
As used in this part:
(a) Commission means the Federal Election Commission, 999 E Street,
NW., Washington, DC 20463.
(b) Commissioner means a voting member of the Federal Election
Commission, in accordance with 2 U.S.C. 437c.
(c) Conflict of interest means a situation in which an employee's
private interest is inconsistent with the efficient and impartial
conduct of his or her official duties and responsibilities.
(d) Designated Agency Ethics Officer or Ethics Officer means the
employee designated by the Commission to administer the provisions of
the Ethics in Government Act of 1978 (Pub. L. 95-521), as amended, and
includes a designee of the Ethics Officer.
(e) Employee means an employee of the Federal Election Commission,
but does not include a special Commission employee.
(f) Former employee means one who was, and is no longer, an employee
of the Commission.
(g) Official responsibility means the direct administrative or
operating authority, whether intermediate or final,
[[Page 33]]
to approve, disapprove, or otherwise direct Commission action. Official
responsibility may be exercised alone or with others and either
personally or through subordinates.
(h) Outside employment or other outside activity means any work,
service or other activity performed by an employee, but not a
Commissioner, other than in the performance of the employee's official
duties. It includes such activities as writing and editing, publishing,
teaching, lecturing, consulting, self-employment, and other services or
work performed, with or without compensation.
(i) Person means an individual, corporation, company, association,
firm, partnership, society, joint stock company, political committee, or
other group, organization, or institution.
(j) Special Commission employee means an individual who is retained,
designated, appointed or employed by the Federal Election Commission to
perform, with or without compensation, temporary duties either on a
full-time or intermittent basis, for not to exceed 130 days during any
period of 365 consecutive days, as defined at 18 U.S.C. 202.
Sec. 7.3 Notification to employees and special Commission employees.
(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.
Sec. 7.4 Interpretation and advisory service.
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.
Sec. 7.5 Reporting suspected violations.
(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.
Sec. 7.6 Disciplinary and other remedial action.
(a) A violation of this part by an employee or special Commission
employee may be cause for appropriate disciplinary action which may be
in addition to any penalty prescribed by law.
(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
[[Page 34]]
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.
Subpart B_Conduct and Responsibilities of Employees or Commissioners
Sec. 7.7 Prohibited conduct--General.
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.
Sec. 7.8 Gifts, entertainment, and favors.
(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
paragraph does not prohibit a voluntary gift of nominal value or
donation in a nominal amount made on a special occasion such as
birthday, holiday, marriage, illness, or retirement.
(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
[[Page 35]]
business under agency orders when reimbursement is proscribed by
Decision B-128527 of the Comptroller General dated March 7, 1967 (46
Comp. Gen. 689).
Sec. 7.9 Outside employment or activities.
(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 available upon request. However, written authorization for
the use of any such information may be given when the Commission
determines that such use would be in the public interest.
(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.
[[Page 36]]
(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.
Sec. 7.10 Financial interests.
(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 by the Government provided
that the activity is not prohibited by law, Executive Order 11222, or
Commission regulations.
Sec. 7.11 Political and organization activity.
(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 et seq.):
(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
[[Page 37]]
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.
Sec. 7.12 Membership in associations.
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.
Sec. 7.13 Use of Government property.
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.
Sec. 7.14 Prohibition against making complaints and investigations public.
(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.''
Sec. 7.15 Ex parte communications.
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 required by law (as, for example, during the normal course of
an investigation or a conciliation effort), no Commissioner or employee
involved in the decisional process shall make or entertain any ex parte
communications.
(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
[[Page 38]]
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.
Sec. 7.16 Miscellaneous statutory provisions.
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.
Subpart C_Conduct and Responsibilities of Special Commission Employees
Sec. 7.17 Use of Commission employment.
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.
[[Page 39]]
Sec. 7.18 Use of inside information.
(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, inside information means information obtained under Commission
authority which has not become part of the body of public information.
(b) A special Commission employee may teach, lecture, or write in a
manner consistent with 11 CFR 7.9 (d) and (e).
Sec. 7.19 Coercion.
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.
Sec. 7.20 Gifts, entertainment, and favors.
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.
Sec. 7.21 Miscellaneous statutory provisions.
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.
Subpart D_Post Employment Conflict of Interest: Procedures for
Administrative Enforcement Proceedings
Sec. 7.22 Scope.
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, former special Commission employee shall be defined in
accordance with 18 U.S.C. 207(c)(1).
Sec. 7.23 Initiation of investigation.
(a) Filing of complaint. (1) Any person who believes a former
employee has violated the post employment conflict of interest
provisions of 18 U.S.C. 207 (a), (b), or (c), or 5 CFR part 737 may file
a signed complaint with the Ethics Officer.
(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 named in the complaint. The former employee may, within
ten days after receipt of the complaint, submit any written legal or
factual materials he or she believes demonstrate that the complaint
should be dismissed on its face.
(b) Review of complaint. (1) The Ethics Officer will review the
complaint and any materials submitted by the former employee, and will
prepare a report to the Commission recommending whether the complaint
should be investigated or should be dismissed on its face.
(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
[[Page 40]]
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.
Sec. 7.24 Conduct of preliminary investigation.
(a) Ethics Officer's responsibility. Upon a finding under 11 CFR
7.23(b)(2) that a complaint appears to be substantiated, the Ethics
Officer shall conduct an investigation into the allegations of the
complaint.
(b) Opportunity to respond. The former employee will be sent a copy
of the Ethics Officer's report and will be given an opportunity to
respond in writing and under oath to the allegations made in the
complaint and the findings made in the report. The former empoloyee may
provide any written legal or factual materials he or she believes
demonstrate that no violation has occurred. Such response must be
received by the Commission within 20 days after the former employee's
receipt of the Ethics Officer's report, unless an extension is
authorized in writing by the Ethics Officer.
(c) Representation by counsel. The former employee may be
represented by counsel during the investigation. Such counsel shall
notify the Ethics Officer in writing that he or she is representing the
former employee. Thereafter, all communications between the Commission
staff and the former employee relating to the investigation shall be
made to the former employee's counsel.
(d) Report to the Commission. Upon completion of the investigation,
the Ethics Officer shall prepare a report to the Commission, including
any materials provided by the former employee. The report shall
recommend whether there is reasonable cause to believe the respondent
has violated 18 U.S.C. 207 (a), (b), or (c).
Sec. 7.25 Initiation of administrative disciplinary proceeding.
(a) Commission review of report. The Commission shall review the
Ethics Officer's investigative report in Executive Session.
(b) Reasonable cause to believe finding. If the Commission, by an
affirmative vote of four members, determines there is reasonable cause
to believe a violation has occurred, it shall initiate an administrative
disciplinary proceeding by providing the former employee with the notice
defined in 11 CFR 7.26.
(c) No reasonable cause to believe finding. If the Commission
determines that there is no reasonable cause to believe a violation has
occurred, it will close its file on the matter and take no further
action. The Commission shall notify the Director of the Office of
Government Ethics, the Criminal Division of the Department of Justice,
the complainant, and the former employee of its determination. Included
in this notification will be a statement of reasons for the Commission's
determination.
Sec. 7.26 Notice to former employee.
(a) Notice requirement. After a reasonable cause to believe finding
the Ethics Officer shall provide the former Commission employee with
adequate notice of an intention to institute a disciplinary proceeding
and an opportunity to request a hearing.
(b) Contents. The notice required under this section shall contain:
(1) A statement of the allegations (and the basis thereof);
(2) Notification of the right to request a hearing;
[[Page 41]]
(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) Request for hearing. (1) A former employee who has received a
notice under this section must notify the Commission with ten days after
receipt of such notice by certified mail of his or her desire for a
hearing. The request for a hearing should include the following
information:
(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 (See 11 CFR 7.27) shall consider the
evidence and make a decision.
Sec. 7.27 Hearing examiner designation and qualifications.
(a) Designation. If the Commission decides by an affirmative vote of
four of its members to hold a hearing, the Ethics Officer shall
designate an individual to serve as examiner at the administrative
disciplinary hearing. In the absence of a hearing, the Ethics Officer
shall designate an examiner to consider the written evidence and make a
decision. (See 11 CFR 7.26(b)(2)). The individual designated as examiner
shall have the qualifications set forth in paragraph (b) of this
section.
(b) Qualifications. (1) An examiner shall be impartial. No
individual who has participated in any manner in the decision to
initiate the proceeding may serve as an examiner in those proceedings.
Therefore, the following persons may not be designated as an examiner:
(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.
Sec. 7.28 Hearing date.
(a) Setting of date by examiner. The examiner shall set the hearing
at a reasonable time, date, and place.
(b) Considerations. Whenever practicable, the examiner shall choose
a time and date from the list submitted by the former employee in the
request for a hearing. In setting a hearing date, the examiner shall
give due regard to the former employee's need for:
(1) Adequate time to prepare a defense properly, and
(2) An expeditious resolution of allegations that may be damaging to
his or her reputation.
Sec. 7.29 Hearing rights of former employee.
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 will be charged according to the fee schedule set out at 11
CFR 5.6.
Sec. 7.30 Hearing procedures.
(a) Witness lists. (1) No later than 10 days prior to the hearing
date, the Ethics Officer will provide the former employee with a list of
the witnesses the Commission 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 former employee shall be so notified.
(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
[[Page 42]]
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) Representation. (1) The Commission shall be represented at the
hearing by the Ethics Officer or his or her designee,
(2) The former employee may represent himself or herself or may be
represented by counsel.
(c) Burden of proof. The burden of proof shall be on the Commission
which must establish substantial evidence of a violation.
(d) Conduct of hearing. (1) The following items will be introduced
by the Commission and will be made part of the hearing record:
(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.
Sec. 7.31 Examiner's decision.
(a) Initial determination. No later than 15 days after the close of
the hearing, the examiner shall make a determination exclusively on
matters of record in the proceeding.
(b) Form of determination. The examiner's determination shall set
forth all findings of fact and conclusions of law relevant to the
matters at issue.
(c) Copies. The examiner shall provide copies of his or her
determination to the former employee, the complainant, the Ethics
Officer, and the Commission.
Sec. 7.32 Appeal.
(a) Right of appeal. Within ten days after receipt by certified mail
of the examiner's decision, either party may appeal such decision to the
members of the Commission by filing a notice of appeal with the
Chairman.
(b) Notice of appeal. The notice of appeal shall be accompanied by a
memorandum setting forth the legal and factual reasons why the
examiner's decision should be reversed or modified.
(c) Commission review of appeal. The Commission, by an affirmative
vote of four members, may affirm, modify, or reverse the examiner's
decision. The Commission's decision shall be based solely on the hearing
record or those portions thereof cited by the parties to limit the
issues.
(d) Commission statement on appeal. If the Commission modifies or
reverses the initial decision, it shall specify such findings of fact or
conclusions of law as are different from those of the examiner.
Sec. 7.33 Administrative sanctions.
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
[[Page 43]]
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.
PART 8_NATIONAL VOTER REGISTRATION ACT (42 U.S.C. 1973gg-1 et seq.)
--Table of Contents
Subpart A_General Provisions
Sec.
8.1 Purpose & scope.
8.2 Definitions.
Subpart B_National Mail Voter Registration Form
8.3 General Information.
8.4 Contents.
8.5 Format.
8.6 Chief state election official.
Subpart C_Recordkeeping and Reporting
8.7 Contents of reports from the states.
Authority: 42 U.S.C. 1973gg-1 et seq.
Source: 59 FR 32323, June 23, 1994, unless otherwise noted.
Subpart A_General Provisions
Sec. 8.1 Purpose & scope.
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 et seq. (``NVRA''). They describe the format and contents of
the national mail voter registration form and the information that will
be required from the states for inclusion in the Commission's biennial
report to Congress.
Sec. 8.2 Definitions.
As used in this part:
(a) Form means the national mail voter registration application
form, which includes the registration application, accompanying general
instructions for completing the application, and state-specific
instructions.
(b) Chief state election official means the designated state officer
or employee responsible for the coordination of state responsibilities
under 42 U.S.C. 1973gg-8.
(c) Active voters means all registered voters except those who have
been sent but have not responded to a confirmation mailing sent in
accordance with 42 U.S.C. 1973gg-6(d) and have not since offered to
vote.
(d) Inactive voters means registrants who have been sent but have
not responded to a confirmation mailing sent in accordance with 42
U.S.C. 1973gg-6(d) and have not since offered to vote.
(e) Duplicate registration application means an offer to register by
a person already registered to vote at the same address, under the same
name, and (where applicable) in the same political party.
(f) State means a state of the United States and the District of
Columbia not exempt from coverage under 42 U.S.C. 1973gg-2(b).
(g) Closed primary state means a state that requires party
registration as a precondition to vote for partisan races in primary
elections or for other nominating procedures.
Subpart B_National Mail Voter Registration Form
Sec. 8.3 General information.
(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.
[[Page 44]]
Sec. 8.4 Contents.
(a) Information about the applicant.
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) Additional information required by the Act. (42 U.S.C. 1973gg-
7(b) (2) and (4)). 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) Other information. The form will, if appropriate, require an
applicant's former address or former name or request a drawing of the
area where the
[[Page 45]]
applicant lives in relation to local landmarks.
[59 FR 32323, June 23, 1994; 59 FR 40639, Aug. 9, 1994]
Sec. 8.5 Format.
(a) The application shall conform to the technical specifications
described in the Federal Election Commission's National Mail Voter
Registration Form Technical Specifications.
(b) Size. The application shall consist of a 5'' by 8'' application
card of sufficient stock and weight to satisfy postal regulations. The
application card shall be attached by a perforated fold to another 5''
by 8'' card that contains space for the information set forth at 11 CFR
8.4(c).
(c) Layout. (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) Color. The application shall be of ink and paper colors of
sufficient contrast to permit for optical scanning capabilities.
(e) Signature field. The application shall contain a signature field
in lieu of a signature line.
(f) Type size. (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).
Sec. 8.6 Chief state election official.
(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.
Subpart C_Recordkeeping and Reporting
Sec. 8.7 Contents of reports from the states.
(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 E Street, NW.,
Washington DC 20463. The data to be reported in accordance with this
section shall consist of applications or responses received up to and
including the date of the preceding federal general election.
(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;
[[Page 46]]
(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.
[59 FR 32323, June 23, 1994, as amended at 59 FR 64560, Dec. 15, 1994]
[[Page 47]]
SUBCHAPTER A_GENERAL
PART 100_SCOPE AND DEFINITIONS (2 U.S.C. 431)--Table of Contents
Sec.
Subpart A_General Definitions
100.1 Scope.
100.2 Election (2 U.S.C. 431(1)).
100.3 Candidate (2 U.S.C. 431(2)).
100.4 Federal office (2 U.S.C. 431(3)).
100.5 Political committee (2 U.S.C. 431 (4), (5), (6)).
100.6 Connected organization (2 U.S.C. 431(7)).
100.7-100.8 [Reserved]
100.9 Commission (2 U.S.C. 431(10)).
100.10 Person (2 U.S.C. 431(11)).
100.11 State (2 U.S.C. 431(12)).
100.12 Identification (2 U.S.C. 431(13)).
100.13 National committee (2 U.S.C. 431(14)).
100.14 State committee, subordinate committee, district, or local
committee (2 U.S.C. 431(15)).
100.15 Political party (2 U.S.C. 431(16)).
100.16 Independent expenditure (2 U.S.C. 431(17)).
100.17 Clearly identified (2 U.S.C. 431(18)).
100.18 Act (2 U.S.C. 431(19)).
100.19 File, filed or filing (2 U.S.C. 434(a)).
100.20 Occupation (2 U.S.C. 431(13)).
100.21 Employer (2 U.S.C. 431(13)).
100.22 Expressly advocating (2 U.S.C. 431(17)).
100.23 [Reserved]
100.24 Federal election activity (2 U.S.C. 431(20)).
100.25 Generic campaign activity (2 U.S.C. 431(21)).
100.26 Public communication (2 U.S.C. 431(22)).
100.27 Mass mailing (2 U.S.C. 431(23)).
100.28 Telephone bank (2 U.S.C. 431(24)).
100.29 Electioneering communication (2 U.S.C. 434(f)(3)).
100.30-100.32 [Reserved]
100.33 Personal funds.
100.34-100.50 [Reserved]
Subpart B_Definition of Contribution (2 U.S.C. 431(8))
100.51 Scope.
100.52 Gift, subscription, loan, advance or deposit of money.
100.53 Attendance at a fundraiser or political event.
100.54 Compensation for personal services.
100.55 Extension of credit.
100.56 Office building or facility for national party committees.
100.57 Funds received in response to solicitations.
Subpart C_Exceptions to Contributions
100.71 Scope.
100.72 Testing the waters.
100.73 News story, commentary, or editorial by the media.
100.74 Uncompensated services by volunteers.
100.75 Use of a volunteer's real or personal property.
100.76 Use of church or community room.
100.77 Invitations, food, and beverages.
100.78 Sale of food or beverages by vendor.
100.79 Unreimbursed payment for transportation and subsistence expenses.
100.80 Slate cards and sample ballots.
100.81 Payment by corporations and labor organizations.
100.82 Bank loans.
100.83 Brokerage loans and lines of credit to candidates.
100.84 Office building for State, local, or district party committees or
organizations.
100.85 Legal or accounting services to political party committees.
100.86 Legal or accounting services to other political committees.
100.87 Volunteer activity for party committees.
100.88 Volunteer activity for candidates.
100.89 Voter registration and get-out-the-vote activities for
Presidential candidates.
100.90 Ballot access fees.
100.91 Recounts.
100.92 Candidate debates.
100.93 Travel by airplane or other means of transportation.
Subpart D_Definition of Expenditure (2 U.S.C. 431(9))
100.110 Scope.
100.111 Gift, subscription, loan, advance or deposit of money.
100.112 Contracts, promises, and agreements to make expenditures.
100.113 Independent expenditures.
100.114 Office building or facility for national party committees.
Subpart E_Exceptions to Expenditures
100.130 Scope.
100.131 Testing the waters.
100.132 News story, commentary, or editorial by the media.
100.133 Voter registration and get-out-the-vote activities.
100.134 Internal communication by corporations, labor organizations, and
membership organizations.
100.135 Use of a volunteer's real or personal property.
[[Page 48]]
100.136 Use of church or community room.
100.137 Invitations, food, and beverages.
100.138 Sale of food or beverages by vendor.
100.139 Unreimbursed payment for transportation and subsistence
expenses.
100.140 Slate cards and sample ballots.
100.141 Payment by corporations and labor organizations.
100.142 Bank loans.
100.143 Brokerage loans and lines of credit to candidates.
100.144 Office building for State, local, or district party committees
or organizations.
100.145 Legal or accounting services to political party committees.
100.146 Legal or accounting services to other political committees.
100.147 Volunteer activity for party committees.
100.148 Volunteer activity for candidate.
100.149 Voter registration and get-out-the-vote activities for
Presidential Candidates.
100.150 Ballot access fees.
100.151 Recounts.
100.152 Fundraising costs for Presidential candidates.
100.153 Routine living expenses.
100.154 Candidate debates.
Authority: 2 U.S.C. 431, 434, and 438(a)(8).
Source: 45 FR 15094, Mar. 7, 1980, unless otherwise noted.
Subpart A_General Definitions
Sec. 100.1 Scope.
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.
Sec. 100.2 Election (2 U.S.C. 431(1)).
(a) Election means the process by which individuals, whether opposed
or unopposed, seek nomination for election, or election, to Federal
office. The specific types of elections, as set forth at 11 CFR 100.2
(b), (c), (d), (e) and (f) are included in this definition.
(b) General election. A general election is an election which meets
either of the following conditions:
(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) Primary election. A primary election is an election which meets
one of the following conditions:
(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 held by the candidate's party in that State.
(d) Runoff election. Runoff election means the election which meets
either of the following conditions:
(1) The election held after a primary election, and prescribed by
applicable State law as the means for deciding
[[Page 49]]
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) Caucus or Convention. A caucus or convention of a political
party is an election if the caucus or convention has the authority to
select a nominee for federal office on behalf of that party.
(f) Special election. Special election means an election which is
held to fill a vacancy in a Federal office. A special election may be a
primary, general, or runoff election, as defined at 11 CFR 100.2 (b),
(c) and (d).
Sec. 100.3 Candidate (2 U.S.C. 431(2)).
(a) Definition. Candidate means an individual who seeks nomination
for election, or election, to federal office. An individual becomes a
candidate for Federal office whenever any of the following events occur:
(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) Election cycle. For purposes of determining whether an
individual is a candidate under this section, contributions or
expenditures shall be aggregated on an election cycle basis. An election
cycle shall begin on the first day following the date of the previous
general election for the office or seat which the candidate seeks,
unless contributions or expenditures are designated for another election
cycle. For an individual who receives contributions or makes
expenditures designated for another election cycle, the election cycle
shall begin at the time such individual, or any other person acting on
the individual's behalf, first receives contributions or makes
expenditures in connection with the designated election. The election
cycle shall end on the date on which the general election for the office
or seat that the individual seeks is held.
Sec. 100.4 Federal office (2 U.S.C. 431(3)).
Federal office means the office of President or Vice President of
the United States, Senator or Representative in, or Delegate or Resident
Commissioner to, the Congress of the United States.
Sec. 100.5 Political committee (2 U.S.C. 431 (4), (5), (6)).
Political committee means any group meeting one of the following
conditions:
(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 makes payments exempted from the definition
of contribution, under 11 CFR 100.80, 100.87, and 100.89 and
expenditure, under 11 CFR 100.140, 100.147, and 100.149, which payments
aggregate in excess of $5,000 during a calendar
[[Page 50]]
year; or it makes contributions aggregating in excess of $1,000 or makes
expenditures aggregating in excess of $1,000 during a calendar year.
(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) Principal campaign committee. Principal campaign committee means
a political committee designated and authorized by a candidate pursuant
to 11 CFR 101.1 and 102.1.
(2) Single candidate committee. Single candidate committee means a
political committee other than a principal campaign committee which
makes or receives contributions or makes expenditures on behalf of only
one candidate.
(3) Multi-candidate committee. Multi-candidate committee means a
political committee which (i) has been registered with the Commission or
Secretary of the Senate for at least 6 months; (ii) has received
contributions for Federal elections from more than 50 persons; and (iii)
(except for any State political party organization) has made
contributions to 5 or more Federal candidates.
(4) Party committee. Party committee means a political committee
which represents a political party and is part of the official party
structure at the national, State, or local level.
(5) Delegate committee. A delegate committee is a group of persons
that receives contributions or makes expenditures for the sole purpose
of influencing the selection of one or more delegates to a national
nominating convention. The term delegate committee includes a group of
delegates, a group of individuals seeking selection as delegates and a
group of individuals supporting delegates. A delegate committee that
qualifies as a political committee under 11 CFR 100.5 must register with
the Commission pursuant to 11 CFR part 102 and report its receipts and
disbursements in accordance with 11 CFR part 104. (See definition of
delegate at 11 CFR 110.14(b)(1).)
(f) A political committee is either an authorized committee or an
unauthorized committee.
(1) Authorized committee. An authorized committee means the
principal campaign committee or any other political committee authorized
by a candidate under 11 CFR 102.13 to receive contributions or make
expenditures on behalf of such candidate, or which has not been
disavowed pursuant to 11 CFR 100.3(a)(3).
(2) Unauthorized committee. An unauthorized committee is a political
committee which has not been authorized in writing by a candidate to
solicit or receive contributions or make expenditures on behalf of such
candidate, or which has been disavowed pursuant to 11 CFR 100.3(a)(3).
(g) Affiliated committee. (1) All authorized committees of the same
candidate for the same election to Federal office are affiliated.
(2) All committees (including a separate segregated fund, see 11 CFR
part 114) established, financed, maintained or controlled by the same
corporation, labor organization, person, or group of persons, including
any parent, subsidiary, branch, division, department, or local unit
thereof, are affiliated. Local unit may include, in appropriate cases, a
franchisee, licensee, or State or regional association.
(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--
(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, see 11 CFR 110.3(b)) including trade or professional
associations, see 11 CFR 114.8(a), and/or related State and local
entities of that organization or group; or
(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
[[Page 51]]
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.
(5) Notwithstanding paragraphs (g)(2) through (g)(4) of this
section, no authorized committee shall be deemed affiliated with any
entity that is not an authorized committee.
[45 FR 15094, Mar. 7, 1980, as amended at 45 FR 34867, May 23, 1980; 52
FR 35534, Sept. 22, 1987; 54 FR 34109, Aug. 17, 1989; 54 FR 48580, Nov.
24, 1989; 61 FR 3549, Feb. 1, 1996; 67 FR 78679, Dec. 26, 2002; 68 FR
67018, Dec. 1, 2003]
Sec. 100.6 Connected organization (2 U.S.C. 431(7)).
(a) Connected organization means any organization which is not a
political committee but which directly or indirectly establishes,
administers, or financially supports a political committee. A connected
organization may
[[Page 52]]
be a corporation (including a corporation without capital stock), a
labor organization, a membership organization, a cooperative or a trade
association.
(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 financially supports does
not include contributions to the political committee, but does include
the payment of establishment, administration and solicitation costs of
such committee.
Sec. Sec. 100.7-100.8 [Reserved]
Sec. 100.9 Commission (2 U.S.C. 431(10)).
Commission means the Federal Election Commission, 999 E Street, NW.,
Washington, DC 20463.
[45 FR 15094, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 100.10 Person (2 U.S.C. 431(11)).
Person means an individual, partnership, committee, association,
corporation, labor organization, and any other organization, or group of
persons, but does not include the Federal government or any authority of
the Federal government.
Sec. 100.11 State (2 U.S.C. 431(12)).
State means each State of the United States, the District of
Columbia, the Commonwealth of Puerto Rico, and any territory or
possession of the United States.
Sec. 100.12 Identification (2 U.S.C. 431(13)).
Identification means, in the case of an individual, his or her full
name, including: First name, middle name or initial, if available, and
last name; mailing address; occupation; and the name of his or her
employer; and, in the case of any other person, the person's full name
and address.
Sec. 100.13 National committee (2 U.S.C. 431(14)).
National committee means the organization which, by virtue of the
bylaws of a political party, is responsible for the day-to-day operation
of the political party at the national level, as determined by the
Commission.
Sec. 100.14 State committee, subordinate committee, district, or
local committee (2 U.S.C. 431(15)).
(a) State committee means the organization that by virtue of the
bylaws of a political party or the operation of State law is part of the
official party structure and is responsible for the day-to-day operation
of the political party at the State level, including an entity that is
directly or indirectly established, financed, maintained, or controlled
by that organization, as determined by the Commission.
(b) District or local committee means any organization that by
virtue of the bylaws of a political party or the operation of State law
is part of the official party structure, and is responsible for the day-
to-day operation of the political party at the level of city, county,
neighborhood, ward, district, precinct, or any other subdivision of a
State.
(c) Subordinate committee of a State, district, or local committee
means any organization that at the level of city, county, neighborhood,
ward, district, precinct, or any other subdivision of a State or any
organization under the control or direction of the State committee, and
is directly or indirectly established, financed, maintained, or
controlled by the State, district, or local committee.
[67 FR 49110, July 29, 2002]
Sec. 100.15 Political party (2 U.S.C. 431(16)).
Political party means an association, committee, or organization
which nominates or selects a candidate for election to any Federal
office, whose name appears on an election ballot as the candidate of the
association, committee, or organization.
Sec. 100.16 Independent expenditure (2 U.S.C. 431(17)).
(a) The term independent expenditure means an expenditure by a
person for a
[[Page 53]]
communication expressly advocating the election or defeat of a clearly
identified candidate that is not made in cooperation, consultation, or
concert with, or at the request or suggestion of, a candidate, a
candidate's authorized committee, or their agents, or a political party
committee or its agents. A communication is ``made in cooperation,
consultation, or concert with, or at the request or suggestion of, a
candidate, a candidate's authorized committee, or their agents, or a
political party committee or its agents'' if it is a coordinated
communication under 11 CFR 109.21 or a party coordinated communication
under 11 CFR 109.37.
(b) No expenditure by an authorized committee of a candidate on
behalf of that candidate shall qualify as an independent expenditure.
(c) No expenditure shall be considered independent if the person
making the expenditure allows a candidate, a candidate's authorized
committee, or their agents, or a political party committee or its agents
to become materially involved in decisions regarding the communication
as described in 11 CFR 109.21(d)(2), or shares financial responsibility
for the costs of production or dissemination with any such person.
[68 FR 451, Jan. 3, 2003]
Sec. 100.17 Clearly identified (2 U.S.C. 431(18)).
The term clearly identified means the candidate's name, nickname,
photograph, or drawing appears, or the identity of the candidate is
otherwise apparent through an unambiguous reference such as ``the
President,'' ``your Congressman,'' or ``the incumbent,'' or through an
unambiguous reference to his or her status as a candidate such as ``the
Democratic presidential nominee'' or ``the Republican candidate for
Senate in the State of Georgia.''
[60 FR 35304, July 6, 1995]
Sec. 100.18 Act (2 U.S.C. 431(19)).
Act means the Federal Election Campaign Act of 1971 (Pub. L. 92-
225), as amended in 1974 (Pub. L. 93-443), 1976 (Pub. L. 94-283), 1980
(Pub. L. 96-187), and 2002 (Bipartisan Campaign Reform Act of 2002, Pub.
L. 107-155).
[67 FR 76975, Dec. 13, 2002]
Sec. 100.19 File, filed or filing (2 U.S.C. 434(a)).
With respect to documents required to be filed under 11 CFR parts
101, 102, 104, 105, 107, 108, and 109, and any modifications or
amendments thereto, the terms file, filed, and filing mean one of the
actions set forth in paragraphs (a) through (f) of this section. For
purposes of this section, document means any report, statement, notice,
or designation required by the Act to be filed with the Commission or
the Secretary of the Senate.
(a) Except for documents electronically filed under paragraph (c) of
this section, 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 business on the prescribed filing date.
(b) Timely filed. A document, other than those addressed in
paragraphs (c) through (g) of this section, is timely filed upon deposit
as registered or certified mail in an established U.S. Post Office and
postmarked no later than 11:59 p.m. Eastern Standard/Daylight Time on
the filing date, except that pre-election reports so mailed must be
postmarked no later than 11:59 p.m. Eastern Standard/Daylight Time on
the fifteenth day before the date of the election. Documents sent by
first class mail must be received by the close of business on the
prescribed filing date to be timely filed.
(c) Electronically filed reports. For electronic filing purposes, a
document is timely filed when it is received and validated by the
Federal Election Commission by 11:59 p.m. Eastern Standard/Daylight Time
on the filing date.
(d) 48-hour and 24-hour reports of independent expenditures-- (1)
48-hour reports of independent expenditures. A 48-hour report of
independent expenditures under 11 CFR 104.4(b) or 109.10(c) is timely
filed when it is received by the Commission by 11:59 p.m. Eastern
Standard/Daylight Time on the second day following the date on which
independent expenditures aggregate $10,000 or more in accordance with 11
CFR 104.4(f), any time during the calendar
[[Page 54]]
year up to and including the 20th day before an election.
(2) 24-hour reports of independent expenditures. A 24-hour report of
independent expenditures under 11 CFR 104.4(c) or 109.10(d) is timely
filed when it is received by the Commission by 11:59 p.m. Eastern
Standard/Daylight Time on the day following the date on which
independent expenditures aggregate $1,000 or more, in accordance with 11
CFR 104.4(f), during the period less than 20 days but more than 24 hours
before an election.
(3) Permissible means of filing. In addition to other permissible
means of filing, a 24-hour report or 48-hour report of independent
expenditures may be filed using a facsimile machine or by electronic
mail if the reporting entity is not required to file electronically in
accordance with 11 CFR 104.18. Political committees, regardless of
whether they are required to file electronically under 11 CFR 104.18,
may file 24-hour reports using the Commission's website's on-line
program.
(e) 48-hour statements of last-minute contributions. In addition to
other permissible means of filing, authorized committees that are not
required to file electronically may file 48-hour notifications of
contributions using facsimile machines. All authorized committees that
file with the Commission, including electronic reporting entities, may
use the Commission's website's on-line program to file 48-hour
notifications of contributions. See 11 CFR 104.5(f).
(f) 24-hour statements of electioneering communications. A 24-hour
statement of electioneering communications under 11 CFR 104.20 is timely
filed when it is received by the Commission by 11:59 p.m. Eastern
Standard/Daylight Time on the day following the disclosure date. (See 11
CFR 104.20(a)(1) and (b)). In addition to other permissible means of
filing, a 24-hour statement of electioneering communications may be
filed using a facsimile machine or by electronic mail if the reporting
entity is not required to file electronically in accordance with 11 CFR
104.18.
(g) Candidate notifications of expenditures from personal funds. A
candidate's notification of expenditures from personal funds under 11
CFR 400.21 or 400.22 is timely filed if it is received by facsimile
machine or electronic mail by each of appropriate parties as set forth
in 11 CFR 400.21 and 400.22 within 24 hours of the time the threshold
amount as defined in 11 CFR 400.9 is exceeded and within 24 hours of the
time expenditures from personal funds are made under 11 CFR 400.21 and
400.22.
[67 FR 12839, Mar. 20, 2002, as amended at 68 FR 416, Jan. 3, 2003; 68
FR 3995, Jan. 27, 2003]
Sec. 100.20 Occupation (2 U.S.C. 431(13)).
Occupation means the principal job title or position of an
individual and whether or not self-employed.
Sec. 100.21 Employer (2 U.S.C. 431(13)).
Employer means the organization or person by whom an individual is
employed, and not the name of his or her supervisor.
Sec. 100.22 Expressly advocating (2 U.S.C. 431(17)).
Expressly advocating means any communication that--(a) Uses phrases
such as ``vote for the President,'' ``re-elect your Congressman,''
``support the Democratic nominee,'' ``cast your ballot for the
Republican challenger for U.S. Senate in Georgia,'' ``Smith for
Congress,'' ``Bill McKay in '94,'' ``vote Pro-Life'' or ``vote Pro-
Choice'' accompanied by a listing of clearly identified candidates
described as Pro-Life or Pro-Choice, ``vote against Old Hickory,''
``defeat'' accompanied by a picture of one or more candidate(s),
``reject the incumbent,'' or communications of campaign slogan(s) or
individual word(s), which in context can have no other reasonable
meaning than to urge the election or defeat of one or more clearly
identified candidate(s), such as posters, bumper stickers,
advertisements, etc. which say ``Nixon's the One,'' ``Carter '76,''
``Reagan/Bush'' or ``Mondale!''; or
(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--
[[Page 55]]
(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.
[60 FR 35304, July 6, 1995]
Sec. 100.23 [Reserved]
Sec. 100.24 Federal election activity (2 U.S.C. 431(20)).
(a) As used in this section, and in part 300 of this chapter,
(1) In connection with an election in which a candidate for Federal
office appears on the ballot means:
(i) The period of time beginning on the date of the earliest filing
deadline for access to the primary election ballot for Federal
candidates as determined by State law, or in those States that do not
conduct primaries, on January 1 of each even-numbered year and ending on
the date of the general election, up to and including the date of any
general runoff.
(ii) In an odd-numbered year, the period beginning on the date on
which the date of a special election in which a candidate for Federal
office appears on the ballot is set and ending on the date of the
special election.
(2) Voter registration activity means contacting individuals by
telephone, in person, or by other individualized means to assist them in
registering to vote. Voter registration activity includes, but is not
limited to, printing and distributing registration and voting
information, providing individuals with voter registration forms, and
assisting individuals in the completion and filing of such forms.
(3) Get-out-the-vote activity means contacting registered voters by
telephone, in person, or by other individualized means, to assist them
in engaging in the act of voting. Get-out-the-vote activity shall not
include any communication by an association or similar group of
candidates for State or local office or of individuals holding State or
local office if such communication refers only to one or more State or
local candidates. Get-out-the-vote activity includes, but is not limited
to:
(i) Providing to individual voters, within 72 hours of an election,
information such as the date of the election, the times when polling
places are open, and the location of particular polling places; and
(ii) Offering to transport or actually transporting voters to the
polls.
(4) Voter identification means creating or enhancing voter lists by
verifying or adding information about the voters' likelihood of voting
in an upcoming election or their likelihood of voting for specific
candidates. This paragraph shall not apply to an association or similar
group of candidates for State or local office or of individuals holding
State or local office if the association or group engages in voter
identification that refers only to one or more State or local
candidates.
(b) As used in part 300 of this chapter, Federal election activity
means any of the activities described in paragraphs (b)(1) through
(b)(4) of this section.
(1) Voter registration activity during the period that begins on the
date that is 120 calendar days before the date that a regularly
scheduled Federal election is held and ends on the date of the election.
For purposes of voter registration activity, the term ``election'' does
not include any special election.
(2) The following activities conducted in connection with an
election in which one or more candidates for Federal office appears on
the ballot (regardless of whether one or more candidates for State or
local office also appears on the ballot):
(i) Voter identification.
(ii) Generic campaign activity, as defined in 11 CFR 100.25.
(iii) Get-out-the-vote activity.
(3) A public communication that refers to a clearly identified
candidate for Federal office, regardless of whether a candidate for
State or local election is also mentioned or identified, and that
promotes or supports, or attacks or opposes any candidate for Federal
office. This paragraph applies whether or not the communication
expressly advocates a vote for or against a Federal candidate.
[[Page 56]]
(4) Services provided during any month by an employee of a State,
district, or local committee of a political party who spends more than
25 percent of that individual's compensated time during that month on
activities in connection with a Federal election.
(c) Exceptions. Federal election activity does not include any
amount expended or disbursed by a State, district, or local committee of
a political party for any of the following activities:
(1) A public communication that refers solely to one or more clearly
identified candidates for State or local office and that does not
promote or support, or attack or oppose a clearly identified candidate
for Federal office; provided, however, that such a public communication
shall be considered a Federal election activity if it constitutes voter
registration activity, generic campaign activity, get-out-the-vote
activity, or voter identification.
(2) A contribution to a candidate for State or local office,
provided the contribution is not designated to pay for voter
registration activity, voter identification, generic campaign activity,
get-out-the-vote activity, a public communication, or employee services
as set forth in paragraphs (a)(1) through (4) of this section.
(3) The costs of a State, district, or local political convention,
meeting or conference.
(4) The costs of grassroots campaign materials, including buttons,
bumper stickers, handbills, brochures, posters, and yard signs, that
name or depict only candidates for State or local office.
[67 FR 49110, July 29, 2002]
Sec. 100.25 Generic campaign activity (2 U.S.C. 431(21)).
Generic campaign activity means a public communication that promotes
or opposes a political party and does not promote or oppose a clearly
identified Federal candidate or a non-Federal candidate.
[67 FR 49110, July 29, 2002]
Sec. 100.26 Public communication (2 U.S.C. 431(22)).
Public communication means a communication by means of any
broadcast, cable or satellite communication, newspaper, magazine,
outdoor advertising facility, mass mailing or telephone bank to the
general public, or any other form of general public political
advertising. The term public communication shall not include
communications over the Internet.
[67 FR 49110, July 29, 2002]
Sec. 100.27 Mass mailing (2 U.S.C. 431(23)).
Mass mailing means a mailing by United States mail or facsimile of
more than 500 pieces of mail matter of an identical or substantially
similar nature within any 30-day period. A mass mailing does not include
electronic mail or Internet communications. For purposes of this
section, substantially similar includes communications that include
substantially the same template or language, but vary in non-material
respects such as communications customized by the recipient's name,
occupation, or geographic location.
[67 FR 49110, July 29, 2002]
Sec. 100.28 Telephone bank (2 U.S.C. 431(24)).
Telephone bank means more than 500 telephone calls of an identical
or substantially similar nature within any 30-day period. A telephone
bank does not include electronic mail or Internet communications
transmitted over telephone lines. For purposes of this section,
substantially similar includes communications that include substantially
the same template or language, but vary in non-material respects such as
communications customized by the recipient's name, occupation, or
geographic location.
[67 FR 49110, July 29, 2002]
Sec. 100.29 Electioneering communication (2 U.S.C. 434(f)(3)).
(a) Electioneering communication means any broadcast, cable, or
satellite communication that:
(1) Refers to a clearly identified candidate for Federal office;
(2) Is publicly distributed within 60 days before a general election
for the
[[Page 57]]
office sought by the candidate; or within 30 days before a primary or
preference election, or a convention or caucus of a political party that
has authority to nominate a candidate, for the office sought by the
candidate, and the candidate referenced is seeking the nomination of
that political party; and
(3) Is targeted to the relevant electorate, in the case of a
candidate for Senate or the House of Representatives.
(b) For purposes of this section--(1) Broadcast, cable, or satellite
communication means a communication that is publicly distributed by a
television station, radio station, cable television system, or satellite
system.
(2) Refers to a clearly identified candidate means that the
candidate's name, nickname, photograph, or drawing appears, or the
identity of the candidate is otherwise apparent through an unambiguous
reference such as ``the President,'' ``your Congressman,'' or ``the
incumbent,'' or through an unambiguous reference to his or her status as
a candidate such as ``the Democratic presidential nominee'' or ``the
Republican candidate for Senate in the State of Georgia.''
(3)(i) Publicly distributed means aired, broadcast, cablecast or
otherwise disseminated for a fee through the facilities of a television
station, radio station, cable television system, or satellite system.
(ii) In the case of a candidate for nomination for President or Vice
President, publicly distributed means the requirements of paragraph
(b)(3)(i) of this section are met and the communication:
(A) Can be received by 50,000 or more persons in a State where a
primary election, as defined in 11 CFR 9032.7, is being held within 30
days; or
(B) Can be received by 50,000 or more persons anywhere in the United
States within the period between 30 days before the first day of the
national nominating convention and the conclusion of the convention.
(4) A special election or a runoff election is a primary election if
held to nominate a candidate. A special election or a runoff election is
a general election if held to elect a candidate.
(5) Targeted to the relevant electorate means the communication can
be received by 50,000 or more persons--
(i) In the district the candidate seeks to represent, in the case of
a candidate for Representative in or Delegate or Resident Commissioner
to, the Congress; or
(ii) In the State the candidate seeks to represent, in the case of a
candidate for Senator.
(6)(i) Information on the number of persons in a Congressional
district or State that can receive a communication publicly distributed
by a television station, radio station, a cable television system, or
satellite system, shall be available on the Federal Communications
Commission's Web site, http://www.fcc.gov. A link to that site is
available on the Federal Election Commission's Web site, http://
www.fec.gov. If the Federal Communications Commission's Web site
indicates that a communication cannot be received by 50,000 or more
persons in the specified Congressional district or State, then such
information shall be a complete defense against any charge that such
communication constitutes an electioneering communication, so long as
such information is posted on the Federal Communications Commission's
Web site on or before the date the communication is publicly
distributed.
(ii) If the Federal Communications Commission's Web site does not
indicate whether a communication can be received by 50,000 or more
persons in the specified Congressional district or State, it shall be a
complete defense against any charge that a communication reached 50,000
or more persons when the maker of a communication:
(A) Reasonably relies on written documentation obtained from the
broadcast station, radio station, cable system, or satellite system that
states that the communication cannot be received by 50,000 or more
persons in the specified Congressional district (for U.S. House of
Representatives candidates) or State (for U.S. Senate candidates or
presidential primary candidates);
(B) Does not publicly distribute the communication on a broadcast
station, radio station, or cable system, located
[[Page 58]]
in any Metropolitan Area in the specified Congressional district (for
U.S. House of Representatives candidates) or State (for U.S. Senate
candidates or presidential primary candidates); or
(C) Reasonably believes that the communication cannot be received by
50,000 or more persons in the specified Congressional district (for U.S.
House of Representatives candidates) or State (for U.S. Senate
candidates or presidential primary candidates).
(7)(i) Can be received by 50,000 or more persons means--
(A) In the case of a communication transmitted by an FM radio
broadcast station or network, where the Congressional district or State
lies entirely within the station's or network's protected or primary
service contour, that the population of the Congressional district or
State is 50,000 or more; or
(B) In the case of a communication transmitted by an FM radio
broadcast station or network, where a portion of the Congressional
district or State lies outside of the protected or primary service
contour, that the population of the part of the Congressional district
or State lying within the station's or network's protected or primary
service contour is 50,000 or more; or
(C) In the case of a communication transmitted by an AM radio
broadcast station or network, where the Congressional district or State
lies entirely within the station's or network's most outward service
area, that the population of the Congressional district or State is
50,000 or more; or
(D) In the case of a communication transmitted by an AM radio
broadcast station or network, where a portion of the Congressional
district or State lies outside of the station's or network's most
outward service area, that the population of the part of the
Congressional district or State lying within the station's or network's
most outward service area is 50,000 or more; or
(E) In the case of a communication appearing on a television
broadcast station or network, where the Congressional district or State
lies entirely within the station's or network's Grade B broadcast
contour, that the population of the Congressional district or State is
50,000 or more; or
(F) In the case of a communication appearing on a television
broadcast station or network, where a portion of the Congressional
district or State lies outside of the Grade B broadcast contour--
(1) That the population of the part of the Congressional district or
State lying within the station's or network's Grade B broadcast contour
is 50,000 or more; or
(2) That the population of the part of the Congressional district or
State lying within the station's or network's broadcast contour, when
combined with the viewership of that television station or network by
cable and satellite subscribers within the Congressional district or
State lying outside the broadcast contour, is 50,000 or more; or
(G) In the case of a communication appearing exclusively on a cable
or satellite television system, but not on a broadcast station or
network, that the viewership of the cable system or satellite system
lying within a Congressional district or State is 50,000 or more; or
(H) In the case of a communication appearing on a cable television
network, that the total cable and satellite viewership within a
Congressional district or State is 50,000 or more.
(ii) Cable or satellite television viewership is determined by
multiplying the number of subscribers within a Congressional district or
State, or a part thereof, as appropriate, by the current national
average household size, as determined by the Bureau of the Census.
(iii) A determination that a communication can be received by 50,000
or more persons based on the application of the formula at paragraph
(b)(7)(i)(G) or (H) of this section shall create a rebuttable
presumption that may be overcome by demonstrating that--
(A) One or more cable or satellite systems did not carry the network
on which the communication was publicly distributed at the time the
communication was publicly distributed; and
(B) Applying the formula to the remaining cable and satellite
systems results in a determination that the cable network or systems
upon which the
[[Page 59]]
communication was publicly distributed could not be received by 50,000
persons or more.
(c) Electioneering communication does not include any communication
that:
(1) Is publicly disseminated through a means of communication other
than a broadcast, cable, or satellite television or radio station. For
example, electioneering communication does not include communications
appearing in print media, including a newspaper or magazine, handbill,
brochure, bumper sticker, yard sign, poster, billboard, and other
written materials, including mailings; communications over the Internet,
including electronic mail; or telephone communications;
(2) Appears in a news story, commentary, or editorial distributed
through the facilities of any broadcast, cable, or satellite television
or radio station, unless such facilities are owned or controlled by any
political party, political committee, or candidate. A news story
distributed through a broadcast, cable, or satellite television or radio
station owned or controlled by any political party, political committee,
or candidate is nevertheless exempt if the news story meets the
requirements described in 11 CFR 100.132(a) and (b);
(3) Constitutes an expenditure or independent expenditure provided
that the expenditure or independent expenditure is required to be
reported under the Act or Commission regulations;
(4) Constitutes a candidate debate or forum conducted pursuant to 11
CFR 110.13, or that solely promotes such a debate or forum and is made
by or on behalf of the person sponsoring the debate or forum;
(5) Is not described in 2 U.S.C. 431(20)(A)(iii) and is paid for by
a candidate for State or local office in connection with an election to
State or local office; or
(6) Is paid for by any organization operating under section
501(c)(3) of the Internal Revenue Code of 1986. Nothing in this section
shall be deemed to supersede the requirements of the Internal Revenue
Code for securing or maintaining 501(c)(3) status.
[67 FR 65210, 65217, Oct. 23, 2002]
Sec. Sec. 100.30-100.32 [Reserved]
Sec. 100.33 Personal funds.
Personal funds of a candidate means the sum of all of the following:
(a) Assets. Amounts derived from any asset that, under applicable
State law, at the time the individual became a candidate, the candidate
had legal right of access to or control over, and with respect to which
the candidate had--
(1) Legal and rightful title; or
(2) An equitable interest;
(b) Income. Income received during the current election cycle, as
defined in 11 CFR 400.2, of the candidate, including:
(1) A salary and other earned income that the candidate earns from
bona fide employment;
(2) Income from the candidate's stocks or other investments
including interest, dividends, or proceeds from the sale or liquidation
of such stocks or investments;
(3) Bequests to the candidate;
(4) Income from trusts established before the beginning of the
election cycle as defined in 11 CFR 400.2;
(5) Income from trusts established by bequest after the beginning of
the election cycle of which the candidate is the beneficiary;
(6) Gifts of a personal nature that had been customarily received by
the candidate prior to the beginning of the election cycle, as defined
in 11 CFR 400.2; and
(7) Proceeds from lotteries and similar legal games of chance; and
(c) Jointly owned assets. Amounts derived from a portion of assets
that are owned jointly by the candidate and the candidate's spouse as
follows:
(1) The portion of assets that is equal to the candidate's share of
the asset under the instrument of conveyance or ownership; provided,
however,
(2) If no specific share is indicated by an instrument of conveyance
or ownership, the value of one-half of the property.
[68 FR 3995, Jan. 27, 2003]
[[Page 60]]
Sec. Sec. 100.34-100.50 [Reserved]
Subpart B_Definition of Contribution (2 U.S.C. 431(8))
Source: 67 FR 50585, Aug. 5, 2002, unless otherwise noted.
Sec. 100.51 Scope.
(a) The term contribution includes the payments, services, or other
things of value described in this subpart.
(b) For the purpose of this subpart, 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).
Sec. 100.52 Gift, subscription, loan, advance or deposit of money.
(a) A gift, subscription, loan (except for a loan made in accordance
with 11 CFR 100.72 and 100.73), 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.
(b) For purposes of this section, the term loan includes a
guarantee, endorsement, and any other form of security.
(1) A loan that exceeds the contribution limitations of 2 U.S.C.
441a and 11 CFR part 110 shall be unlawful whether or not it is repaid.
(2) 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.
(3) Except as provided in paragraph (b)(4) of this section, 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.
(4) 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 that is used for the candidate's campaign.
(5) 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 that are subject to the prohibitions of 11 CFR 110.20
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.
(c) For purposes of this section, the term money includes currency
of the United States or of any foreign nation, checks, money orders, or
any other negotiable instruments payable on demand.
(d)(1) For purposes of this section, the term anything of value
includes all in-kind contributions. Unless specifically exempted under
11 CFR part 100, subpart C, the provision of any goods or services
without charge or at a charge that is less than the usual and normal
charge for such goods or services is a contribution. Examples of such
goods or services include, but are not limited to: Securities,
facilities, equipment, supplies, personnel, advertising services,
membership lists, and
[[Page 61]]
mailing lists. If goods or services are provided at less than the usual
and normal charge, the amount of the in-kind contribution is the
difference between the usual and normal charge for the goods or services
at the time of the contribution and the amount charged the political
committee.
(2) For purposes of paragraph (d)(1) of this section, usual and
normal charge for goods means the price of those goods in the market
from which they ordinarily would have been purchased at the time of the
contribution; and usual and normal charge for any services, other than
those provided by an unpaid volunteer, means the hourly or piecework
charge for the services at a commercially reasonable rate prevailing at
the time the services were rendered.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.53 Attendance at a fundraiser or political event.
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.
Sec. 100.54 Compensation for personal services.
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 100.74 and 100.75, is a contribution. No
compensation is considered paid to any employee under any of the
following conditions:
(a) Paid on an hourly or salaried basis. 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.
(b) Paid on commission or piecework basis. 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.
(c) Vacation or earned leave time. 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.
Sec. 100.55 Extension of credit.
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. (See 11 CFR 116.3 and 116.4.) If a
debt owed by a political committee is forgiven or settled for less than
the amount owed, a contribution results unless such debt is settled in
accordance with the standards set forth at 11 CFR 116.3 and 116.4.
Sec. 100.56 Office building or facility for national party committees.
A gift, subscription, loan, advance, or deposit of money or anything
of value to a national party committee for the purchase or construction
of an office building or facility is a contribution.
Sec. 100.57 Funds received in response to solicitations.
(a) Treatment as contributions. A gift, subscription, loan, advance,
or deposit of money or anything of value made by any person in response
to any communication is a contribution to the person making the
communication if the communication indicates that any portion of the
funds received will be used to support or oppose the election of a
clearly identified Federal candidate.
(b) Certain allocable solicitations. If the costs of a solicitation
described in paragraph (a) of this section are allocable under 11 CFR
106.1, 106.6 or 106.7 (consistent with 11 CFR 300.33(c)(3)) as a direct
cost of fundraising, the funds received in response to the solicitation
shall be contributions as follows:
[[Page 62]]
(1) If the solicitation does not refer to any clearly identified
non-Federal candidates, but does refer to a political party, in addition
to the clearly identified Federal candidate described in paragraph (a)
of this section, one hundred percent (100%) of the total funds received
are contributions.
(2) If the solicitation refers to one or more clearly identified
non-Federal candidates, in addition to the clearly identified Federal
candidate described in paragraph (a) of this section, at least fifty
percent (50%) of the total funds received are contributions, whether or
not the solicitation refers to a political party.
(c) Joint fundraisers. Joint fundraising conducted under 11 CFR
102.17 shall comply with the requirements of paragraphs (a) and (b) of
this section except that joint fundraising between or among authorized
committees of Federal candidates and campaign organizations of non-
Federal candidates is not subject to paragraph (a) or (b) of this
section.
[69 FR 68066, Nov. 23, 2004]
Subpart C_Exceptions to Contributions
Source: 67 FR 50585, Aug. 5, 2002, unless otherwise noted.
Sec. 100.71 Scope.
(a) The term contribution does not include payments, services or
other things of value described in this subpart.
(b) For the purpose of this subpart, 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).
Sec. 100.72 Testing the waters.
(a) General exemption. 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.
(b) Exemption not applicable to individuals who have decided to
become candidates. 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:
(1) The individual uses general public political advertising to
publicize his or her intention to campaign for Federal office.
(2) 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.
(3) The individual makes or authorizes written or oral statements
that refer to him or her as a candidate for a particular office.
(4) The individual conducts activities in close proximity to the
election or over a protracted period of time.
(5) The individual has taken action to qualify for the ballot under
State law.
Sec. 100.73 News story, commentary, or editorial by the media.
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:
[[Page 63]]
(a) That represents a bona fide news account communicated in a
publication of general circulation or on a licensed broadcasting
facility; and
(b) That is part of a general pattern of campaign-related news
accounts that give reasonably equal coverage to all opposing candidates
in the circulation or listening area, is not a contribution.
Sec. 100.74 Uncompensated services by volunteers.
The value of services provided without compensation by any
individual who volunteers on behalf of a candidate or political
committee is not a contribution.
Sec. 100.75 Use of a volunteer's real or personal property.
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 this section, 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.
Sec. 100.76 Use of church or community room.
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.
Sec. 100.77 Invitations, food, and beverages.
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 100.75 and 100.76 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.
[69 FR 68238, Nov. 24, 2004]
Sec. 100.78 Sale of food or beverages by vendor.
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.
Sec. 100.79 Unreimbursed payment for transportation and subsistence
expenses.
(a) Transportation expenses. 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:
(1) The aggregate value of the payments made by such individual on
behalf of a candidate does not exceed
[[Page 64]]
$1,000 with respect to a single election; and
(2) The aggregate value of the payments made by such individual on
behalf of all political committees of each political party does not
exceed $2,000 in a calendar year.
(b) Subsistence expenses. Any unreimbursed payment from a
volunteer's personal funds for usual and normal subsistence expenses
incidental to volunteer activity is not a contribution.
Sec. 100.80 Slate cards and sample ballots.
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. But see 11 CFR 100.24, 104.17(a) and
part 300, subpart B for exempt activities that also constitute Federal
election activity.
Sec. 100.81 Payments by corporations and labor organizations.
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.
Sec. 100.82 Bank loans.
(a) General provisions. A loan of money to a political committee or
a candidate 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 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:
(1) Bears the usual and customary interest rate of the lending
institution for the category of loan involved;
(2) Is made on a basis that assures repayment;
(3) Is evidenced by a written instrument; and
(4) Is subject to a due date or amortization schedule.
(b) Reporting. Such loans shall be reported by the political
committee in accordance with 11 CFR 104.3(a) and (d).
(c) Endorsers and guarantors. 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 100.52(b)(4) 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.
(d) Overdrafts. For purposes of this section, an overdraft made on a
checking or savings account of a political committee shall be considered
a contribution by the bank or institution unless:
(1) The overdraft is made on an account that is subject to automatic
overdraft protection;
[[Page 65]]
(2) The overdraft is subject to a definite interest rate that is
usual and customary; and
(3) There is a definite repayment schedule.
(e) Made on a basis that assures repayment. A loan, including a line
of credit, shall be considered made on a basis that assures repayment if
it is obtained using either of the sources of repayment described in
paragraphs (e)(1) or (2) of this section, or a combination of paragraphs
(e)(1) and (2) of this section:
(1)(i) The lending institution making the loan has perfected a
security interest in collateral owned by the candidate or political
committee receiving the loan, the fair market value of the collateral is
equal to or greater than the loan amount and any senior liens as
determined on the date of the loan, and the candidate or political
committee provides documentation to show that the lending institution
has a perfected security interest in the collateral. Sources of
collateral include, but are not limited to, ownership in real estate,
personal property, goods, negotiable instruments, certificates of
deposit, chattel papers, stocks, accounts receivable and cash on
deposit.
(ii) Amounts guaranteed by secondary sources of repayment, such as
guarantors and cosigners, shall not exceed the contribution limits of 11
CFR part 110 or contravene the prohibitions of 11 CFR 110.4, 110.20,
part 114 and part 115; or
(2) 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 through part 9012, or part 9031 through part
9039, contributions, or interest income, provided that:
(i) The amount of the loan or loans obtained on the basis of such
funds does not exceed the amount of pledged funds;
(ii) Loan amounts are based on a reasonable expectation of the
receipt of pledged funds. To that end, the candidate or political
committee must furnish the lending institution documentation, i.e., cash
flow charts or other financial plans, that reasonably establish that
such future funds will be available;
(iii) A separate depository account is established at the lending
institution or the lender obtains an assignment from the candidate or
political committee to access funds in a committee account at another
depository institution that meets the requirements of 11 CFR 103.2, and
the committee has notified the other institution of this assignment;
(iv) The loan agreement requires the deposit of the public financing
payments, contributions and interest income pledged as collateral into
the separate depository account for the purpose of retiring the debt
according to the repayment requirements of the loan agreement; and
(v) In the case of public financing payments, the borrower
authorizes the Secretary of the Treasury to directly deposit the
payments into the depository account for the purpose of retiring the
debt.
(3) If the requirements set forth in this paragraph 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 that
assures repayment.
(f) This section shall not apply to loans described in 11 CFR
100.73.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.83 Brokerage loans and lines of credit to candidates.
(a) General provisions. Any loan of money derived from an advance on
a candidate's brokerage account, credit card, home equity line of
credit, or other line of credit available to the candidate, including an
overdraft made on a personal checking or savings account of a candidate,
provided that:
(1) Such loan is made in accordance with applicable law and under
commercially reasonable terms; and
(2) The person making such loan makes loans derived from an advance
on a candidate's brokerage account, credit card, home equity line of
credit, or other line of credit in the normal course of the person's
business.
(b) Endorsers and guarantors. Each endorser, guarantor, or co-signer
shall be
[[Page 66]]
deemed to have contributed that portion of the total amount of the loan
derived from an advance on a candidate's brokerage account, credit card,
home equity line of credit, or other line of credit available to the
candidate, for which he or she agreed to be liable in a written
agreement, including a loan used for the candidate's routine living
expenses. Any reduction in the unpaid balance of the loan, advance, or
line of credit 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, advance, or line of credit for which each endorser, guarantor, or
co-signer 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, guarantor, or co-signer bears to the total number of
endorsers or guarantors. However, if the spouse of the candidate is the
endorser, guarantor, or co-signer, the spouse shall not be deemed to
make a contribution if:
(1) For a secured loan, the value of the candidate's share of the
property used as collateral equals or exceeds the amount of the loan
that is used for the candidate's campaign; or
(2) For an unsecured loan, the amount of the loan used for in
connection with the candidate's campaign does not exceed one-half of the
available credit extended by the unsecured loan.
(c) Routine living expenses. (1) A loan derived from an advance on a
candidate's brokerage account, credit card, home equity line of credit,
or other line of credit available to the candidate, that is used by the
candidate solely for routine living expenses, as described in 11 CFR
100.153, does not need to be reported under 11 CFR part 104 provided
that the loan, advance, or line of credit is repaid exclusively from the
personal funds of the candidate or payments that would have been made
irrespective of the candidacy pursuant to 11 CFR 113.1(g)(6).
(2) Any repayment, in part or in whole, of the loan, advance, or
line of credit described in paragraph (c)(1) of this section by the
candidate's authorized committee constitutes the personal use of
campaign funds and is prohibited by 11 CFR 113.2.
(3) Any repayment or forgiveness, in part or in whole, of the loan,
advance, or line of credit described in paragraph (c)(1) of this section
by a third party (other than a third party whose payments are
permissible under 11 CFR 113.1(g)(6)) or the lending institution is a
contribution, subject to the limitations and prohibitions of 11 CFR
parts 110 and 114, and shall be reported under 11 CFR part 104.
(4) Notwithstanding paragraph (c)(1) of this section, the portion of
any loan or advance from a candidate's brokerage account, credit card
account, home equity line of credit, or other line of credit that is
used for the purpose of influencing the candidate's election for Federal
office shall be reported under 11 CFR part 104.
(d) Repayment. The candidate's authorized committee may repay a loan
from the candidate that is derived from an advance on a candidate's
brokerage account, credit card, home equity line of credit, or other
line of credit available to the candidate, directly to the candidate or
the original lender. The amount of the repayment shall not exceed the
amount of the principal used for the purpose of influencing the
candidate's election for Federal office and interest that has accrued on
that principal.
(e) Reporting. Loans derived from an advance on a candidate's
brokerage account, credit card, home equity line of credit, or other
line of credit available to the candidate shall be reported by the
candidate's principal campaign committee in accordance with 11 CFR part
104.
Sec. 100.84 Office building for State, local, or district party
committees or organizations.
A donation made to a non-Federal account of a State, local, or
district party committee or organization in accordance with 11 CFR
300.35 for the purchase or construction of an office building is not a
contribution. A donation includes a gift, subscription, loan, advance,
or deposit of money or anything of value.
[[Page 67]]
Sec. 100.85 Legal or accounting services to political party committees.
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 that directly further the election of any designated
candidate for Federal office. For purposes of this section, 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).
Sec. 100.86 Legal or accounting services to other political committees.
Legal or accounting services rendered to or on behalf of an
authorized committee of a candidate or any other political committee are
not contributions if the person paying for such services is the regular
employer of the individual rendering the services and if such services
are solely to ensure compliance with the Act or 26 U.S.C. 9001 et seq.
and 9031 et seq. For purposes of this section, a partnership shall be
deemed to be the regular employer of a partner. Amounts paid by the
regular employer for these services shall be reported by the committee
receiving such services in accordance with 11 CFR 104.3(h).
Sec. 100.87 Volunteer activity for party committees.
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 a contribution, provided
that the following conditions are met:
(a) Exemption not applicable to general public communication or
political advertising. 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 this paragraph, the term direct
mail means any mailing(s) by a commercial vendor or any mailing(s) made
from commercial lists.
(b) Allocation. The portion of the cost of such materials allocable
to Federal candidates must be paid from contributions subject to the
limitations and prohibitions of the Act. But see 11 CFR 100.24,
104.17(a), and part 300, subpart B for exempt activities that also
constitute Federal election activity.
(c) Contributions designated for particular Federal candidates. 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 this paragraph, a contribution shall not be
considered a designated contribution if the party committee disbursing
the funds makes the final decision regarding which candidate(s) shall
receive the benefit of such disbursement.
(d) Distribution of materials by volunteers. Such materials are
distributed by volunteers and not by commercial or for-profit
operations. For the purposes of this paragraph, payments by the party
organization for travel and subsistence or customary token payments to
volunteers do not remove such individuals from the volunteer category.
(e) Reporting. 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.
(f) State candidates and their campaign committees. 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.
(g) Exemption not applicable to campaign materials purchased by
national party committees. Campaign materials purchased by the national
committee of a political party and delivered to a
[[Page 68]]
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 109.32.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.88 Volunteer activity for candidates.
(a) 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 that include
information on or any reference to a candidate for Federal office and
that 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.
(b) 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 this
section, the term direct mail means any mailing(s) by commercial vendors
or mailing(s) made from lists that were not developed by the candidate.
But see 11 CFR 100.24, 104.17(a), and part 300, subparts D and E for
exempt activities that also constitute Federal election activity.
Sec. 100.89 Voter registration and get-out-the-vote activities for
Presidential candidates.
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 a contribution to such
candidate(s) provided that the following conditions are met:
(a) Exemption not applicable to general public communication or
political advertising. 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 this paragraph, the term direct mail means
any mailing(s) by a commercial vendor or any mailing(s) made from
commercial lists.
(b) Allocation. 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. But see 11 CFR 100.24,
104.17(a), and part 300, subpart B for exempt activities that also
constitute Federal election activity.
(c) Contributions designated for particular Federal candidates. 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 this paragraph, a contribution shall not be considered a designated
contribution if the party committee disbursing the funds makes the final
decision regarding which candidate(s) shall receive the benefit of such
disbursement.
(d) References to House or Senate candidates. For purposes of this
section, if such activities include references to any candidate(s) for
the House or Senate, the costs of such activities that 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.
(e) Phone banks. For purposes of this section, 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.
(f) Reporting of payments for voter registration and get-out-the-
vote activities. If
[[Page 69]]
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 100.78(d).
(g) Exemption not applicable to donations by a national committee of
a political party to a State or local party committee for voter
registration and get-out-the-vote activities. 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 109.32.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 69
FR 68238, Nov. 24, 2004]
Sec. 100.90 Ballot access fees.
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.
Sec. 100.91 Recounts.
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 110.20 and part 114
apply.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.92 Candidate debates.
Funds provided to defray costs incurred in staging candidate debates
in accordance with the provisions of 11 CFR 110.13 and 114.4(f) are not
contributions.
Sec. 100.93 Travel by airplane or other means of transportation.
(a) Scope and definitions. (1) This section applies to all campaign
travelers who use:
(i) An airplane not licensed by the Federal Aviation Administration
to operate for compensation or hire under 14 CFR part 121, 129, or 135;
(ii) Other means of transportation not operated for commercial
passenger service; or
(iii) An airplane or other means of transportation operated by a
Federal, State, or local government.
(2) Campaign travelers who use an airplane that is licensed by the
Federal Aviation Administration to operate for compensation or hire
under 14 CFR part 121, 129, or 135, or other means of transportation
that is operated for commercial passenger service, such as a commercial
airline flight, charter flight, taxi, or an automobile provided by a
rental company, are governed by 11 CFR 100.52(a) and (d), not this
section.
(3) For the purposes of this section:
(i) Campaign traveler means
(A) Any individual traveling in connection with an election for
Federal office on behalf of a candidate or political committee; or
(B) Any member of the news media traveling with a candidate.
(ii) Service provider means the owner of an airplane or other
conveyance, or a person who leases an airplane or other conveyance from
the owner or otherwise obtains a legal right to the use of an airplane
or other conveyance, and who uses the airplane or other conveyance to
provide transportation to a campaign traveler. For a jointly owned or
leased airplane or other conveyance, the service provider is the person
who makes the airplane or other conveyance available to the campaign
traveler.
(iii) Unreimbursed value means the difference between the value of
the transportation service provided, as set forth in this section, and
the amount of payment for that transportation service by the political
committee or campaign traveler to the service provider within the time
limits set forth in this section.
(b) General rule. (1) No contribution is made by a service provider
to a candidate or political committee if:
(i) Every candidate's authorized committee or other political
committee on behalf of which the travel is conducted
[[Page 70]]
pays the service provider, within the required time, for the full value
of the transportation, as determined in accordance with paragraphs (c),
(d) or (e) of this section, provided to all campaign travelers who are
traveling on behalf of that candidate or political committee; or
(ii) Every campaign traveler for whom payment is not made under
paragraph (b)(1)(i) of this section pays the service provider for the
full value of the transportation provided to that campaign traveler as
determined in accordance with paragraphs (c), (d) or (e) of this
section. See 11 CFR 100.79 and 100.139 for treatment of certain
unreimbursed transportation expenses incurred by individuals traveling
on behalf of candidates, authorized committees, and political committees
of political parties; and
(iii) Every member of the news media traveling with a candidate for
whom payment is not made under paragraph (b)(1)(i) of this section pays
the service provider for the full value of his or her transportation as
determined in accordance with paragraphs (c), (d) or (e) of this
section.
(2) Except as provided in 11 CFR 100.79, the unreimbursed value of
transportation provided to any campaign traveler, as determined in
accordance with paragraphs (c), (d) or (e) of this section, is an in-
kind contribution from the service provider to the candidate or
political committee on whose behalf, or with whom, the campaign traveler
traveled.
(c) Travel by airplane. If a campaign traveler uses an airplane not
licensed by the Federal Aviation Administration to operate for
compensation or hire under 14 CFR parts 121, 129, or 135, the campaign
traveler, or the political committee on whose behalf the travel is
conducted, must pay the service provider, no later than seven (7)
calendar days after the date the flight began, for each such campaign
traveler no less than the following amount for each leg of the trip:
(1) In the case of travel between cities served by regularly
scheduled first-class commercial airline service, the lowest
unrestricted and non-discounted first-class airfare;
(2) In the case of travel between a city served by regularly
scheduled coach commercial airline service, but not regularly scheduled
first-class commercial airline service, and a city served by regularly
scheduled coach commercial airline service (with or without first-class
commercial airline service), the lowest unrestricted and non-discounted
coach airfare; or
(3) In the case of travel to or from a city not served by regularly
scheduled commercial airline service, the normal and usual charter fare
or rental charge for a comparable commercial airplane of sufficient size
to accommodate all campaign travelers, including members of the news
media traveling with a candidate, and security personnel, if applicable.
(d) Other means of transportation. If a campaign traveler uses any
other means of transportation, including an automobile, train, or
helicopter, the campaign traveler, or the political committee on whose
behalf the travel is conducted, must pay the service provider within
thirty (30) calendar days after the date of receipt of the invoice for
such travel, but not later than sixty (60) calendar days after the date
the travel began, at the normal and usual fare or rental charge for a
comparable commercial conveyance of sufficient size to accommodate all
campaign travelers, including members of the news media traveling with a
candidate, and security personnel, if applicable.
(e) Government conveyances. (1) If a campaign traveler uses an
airplane that is provided by the Federal government, or by a State or
local government, the campaign traveler, or the political committee on
whose behalf the travel is conducted, must pay the governmental entity:
(i) For travel to or from a military airbase or other location not
accessible to the general public, the lowest unrestricted and non-
discounted first-class airfare to or from the city with regularly
scheduled first-class commercial airline service that is geographically
closest to the military airbase or other location actually used; or
(ii) For all other travel, in accordance with paragraph (c) of this
section.
(2) If a campaign traveler uses a conveyance, other than an
airplane, that
[[Page 71]]
is provided by the Federal Government, or by a State or local
government, the campaign traveler, or the political committee on whose
behalf the travel is conducted, must pay the government entity in
accordance with paragraph (d) of this section.
(f) Date and public availability of payment rate. For purposes of
paragraphs (c), (d) and (e) of this section, the payment rate must be
the rate available to the general public for the dates traveled or
within seven (7) calendar days thereof. The payment rate must be
determined by the time the payment is due under paragraph (c) or (d) of
this section.
(g) Preemption. In all respects, State or local laws are preempted
with respect to travel in connection with a Federal election to the
extent they purport to supplant the rates or timing requirements of 11
CFR 100.93.
(h) Reporting. (1) In accordance with 11 CFR 104.13, a political
committee on whose behalf the unreimbursed travel is conducted must
report the receipt of an in-kind contribution and the making of an
expenditure under paragraph (b)(2) of this section.
(2) When reporting a disbursement for travel services in accordance
with this section, a political committee on whose behalf the travel is
conducted must report the actual dates of travel for which the
disbursement is made in the ``purpose of disbursement'' field.
(i) Recordkeeping. (1) For travel by airplane between cities served
by regularly scheduled first-class or coach commercial airline service,
or for travel to or from a military base on a government airplane, the
political committee on whose behalf the travel is conducted shall
maintain documentation of:
(i) The service provider and tail number (or other unique identifier
for military airplanes) of the airplane used;
(ii) An itinerary showing the departure and arrival cities and the
date(s) of departure and arrival, a list of all passengers on such trip,
along with a designation of which passengers are and which are not
campaign travelers; and
(iii) The lowest unrestricted non-discounted airfare available in
accordance with paragraphs (c), (e) and (f) of this section, including
the airline offering that fare, flight number, travel service, if any,
providing that fare, and the dates on which the rates are based.
(2) For travel by airplane to or from a city not served by regularly
scheduled commercial airline service, the political committee on whose
behalf the travel is conducted shall maintain documentation of:
(i) The service provider and the size, model, make and tail number
(or other unique identifier for military airplanes) of the airplane
used;
(ii) An itinerary showing the departure and arrival cities and the
date(s) of departure and arrival, a list of all passengers on such trip,
along with a designation of which passengers are and which are not
campaign travelers or security personnel; and
(iii) The rate for the comparable charter airplane available in
accordance with paragraph (c), (e) and (f) of this section, including
the airline, charter or air taxi operator, and travel service, if any,
offering that fare to the public, and the dates on which the rates are
based.
(3) For travel by other conveyances, the political committee on
whose behalf the travel is conducted shall maintain documentation of:
(i) The service provider and the size, model and make of the
conveyance used;
(ii) An itinerary showing the departure and destination locations
and the date(s) of departure and arrival, a list of all passengers on
such trip, along with a designation of which passengers are and which
are not campaign travelers or security personnel; and
(iii) The commercial fare or rental charge available in accordance
with paragraph (d) and (f) of this section for a comparable commercial
conveyance of sufficient size to accommodate all campaign travelers
including members of the news media traveling with a candidate, and
security personnel, if applicable.
[68 FR 69593, Dec. 15, 2003]
[[Page 72]]
Subpart D_Definition of Expenditure (2 U.S.C. 431(9))
Source: 67 FR 50585, Aug. 5, 2002, unless otherwise noted.
Sec. 100.110 Scope.
(a) The term expenditure includes payments, gifts or other things of
value described in this subpart.
(b) For the purpose of this subpart, 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.
Sec. 100.111 Gift, subscription, loan, advance or deposit of money.
(a) A purchase, payment, distribution, loan (except for a loan made
in accordance with 11 CFR 100.113 and 100.114), advance, deposit, or
gift of money or anything of value, made by any person for the purpose
of influencing any election for Federal office is an expenditure.
(b) For purposes of this section, the term payment includes payment
of any interest on an obligation and any guarantee or endorsement of a
loan by a candidate or a political committee.
(c) For purposes of this section, the term payment does not include
the repayment by a political committee of the principal of an
outstanding obligation that is owed by such committee, except that the
repayment shall be reported as disbursements in accordance with 11 CFR
104.3(b).
(d) For purposes of this section, the term money includes currency
of the United States or of any foreign nation, checks, money orders, or
any other negotiable instrument payable on demand.
(e)(1) For purposes of this section, the term anything of value
includes all in-kind contributions. Unless specifically exempted under
11 CFR part 100, subpart E, the provision of any goods or services
without charge or at a charge that is less than the usual and normal
charge for the goods or services is an expenditure. Examples of such
goods or services include, but are not limited to: Securities,
facilities, equipment, supplies, personnel, advertising services,
membership lists, and mailing lists. If goods or services are provided
at less than the usual and normal charge, the amount of the expenditure
is the difference between the usual and normal charge for the goods or
services at the time of the expenditure and the amount charged the
candidate or political committee.
(2) For the purposes of paragraph (e)(1) of this section, usual and
normal charge for goods means the price of those goods in the market
from which they ordinarily would have been purchased at the time of the
expenditure; and usual and normal charge for services, other than those
provided by an unpaid volunteer, means the hourly or piecework charge
for the services at a commercially reasonable rate prevailing at the
time the services were rendered.
Sec. 100.112 Contracts, promises, and agreements to make expenditures.
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.
Sec. 100.113 Independent expenditures.
An independent expenditure that 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.
Sec. 100.114 Office building or facility for national party committees.
A payment, distribution, loan, advance, or deposit of money or
anything of value made by, or on behalf of, a national party committee
for the purchase or construction of an office building or facility is an
expenditure.
Subpart E_Exceptions to Expenditures
Source: 67 FR 50585, Aug. 5, 2002, unless otherwise noted.
[[Page 73]]
Sec. 100.130 Scope.
(a) The term expenditure does not include payments, gifts, or other
things of value described in this subpart.
(b) For the purpose of this subpart, 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.
Sec. 100.131 Testing the waters.
(a) General exemption. 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.
(b) Exemption not applicable to individuals who have decided to
become candidates. 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:
(1) The individual uses general public political advertising to
publicize his or her intention to campaign for Federal office.
(2) 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.
(3) The individual makes or authorizes written or oral statements
that refer to him or her as a candidate for a particular office.
(4) The individual conducts activities in close proximity to the
election or over a protracted period of time.
(5) The individual has taken action to qualify for the ballot under
State law.
Sec. 100.132 News story, commentary, or editorial by the media.
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:
(a) That represents a bona fide news account communicated in a
publication of general circulation or on a licensed broadcasting
facility; and
(b) That is part of a general pattern of campaign-related news
account that give reasonably equal coverage to all opposing candidates
in the circulation or listening area, is not an expenditure.
Sec. 100.133 Voter registration and get-out-the-vote activities.
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). See also 11 CFR 114.3(c)(4).
Sec. 100.134 Internal communications by corporations, labor
organizations, and membership organizations.
(a) General provision. Any cost incurred for any communication by a
membership organization, including a labor organization, to its members,
or any cost incurred for any communication by a corporation to its
stockholders or executive or administrative
[[Page 74]]
personnel, is not an expenditure, except that the costs directly
attributable to such a communication that expressly advocates 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.
(b) Definition of labor organization. For purposes of this section,
labor organization means an organization of any kind (any local,
national, or international union, or any local or State central body of
a federation of unions is each considered a separate labor organization
for purposes of this section) or any agency or employee representative
committee or plan, in which employees participate and that exists for
the purpose, in whole or in part, of dealing with employers concerning
grievances, labor disputes, wages, rates of pay, hours of employment, or
conditions of work.
(c) Definition of stockholder. For purposes of this section,
stockholder means a person who has a vested beneficial interest in
stock, has the power to direct how that stock shall be voted, if it is
voting stock, and has the right to receive dividends.
(d) Definition of executive or administrative personnel. For
purposes of this section, executive or administrative personnel means
individuals employed by a corporation who are paid on a salary rather
than hourly basis and who have policymaking, managerial, professional,
or supervisory responsibilities.
(1) This definition includes--
(i) 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 not include--
(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, such as
consultants, but who are not employees, within the meaning of 26 CFR
31.3401(c)-(1), of the corporation for the purpose of the collection of,
and liability for, employee tax under 26 CFR 1.3402(a)-(1).
(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 the collection of, and liability for,
employee tax under 26 CFR 31.3402(a)-(1).
(4) The Fair Labor Standards Act, 29 U.S.C. 201, et seq. and the
regulations issued pursuant to such Act, 29 CFR part 541, may serve as a
guideline in determining whether individuals have policymaking,
managerial, professional, or supervisory responsibilities.
(e) Definition of membership organization. For purposes of this
section membership organization means an unincorporated association,
trade association, cooperative, corporation without capital stock, or a
local, national, or international labor organization that:
(1) Is composed of members, some or all of whom are vested with the
power and authority to operate or administer the organization, pursuant
to the organization's articles, bylaws, constitution or other formal
organizational documents;
(2) Expressly states the qualifications and requirements for
membership in its articles, bylaws, constitution or other formal
organizational documents;
(3) Makes its articles, bylaws, constitution or other formal
organizational documents available to its members;
(4) Expressly solicits persons to become members;
(5) Expressly acknowledges the acceptance of membership, such as by
sending a membership card or including the member's name on a membership
newsletter list; and
(6) Is not organized primarily for the purpose of influencing the
nomination for election, or election, of any individual for Federal
office.
[[Page 75]]
(f) Definition of members. For purposes of this section, the term
members includes all persons who are currently satisfying the
requirements for membership in a membership organization, affirmatively
accept the membership organization's invitation to become a member, and
either:
(1) Have some significant financial attachment to the membership
organization, such as a significant investment or ownership stake; or
(2) Pay membership dues at least annually, of a specific amount
predetermined by the organization; or
(3) Have a significant organizational attachment to the membership
organization that includes: affirmation of membership on at least an
annual basis and direct participatory rights in the governance of the
organization. For example, such rights could include the right to vote
directly or indirectly for at least one individual on the membership
organization's highest governing board; the right to vote on policy
questions where the highest governing body of the membership
organization is obligated to abide by the results; the right to approve
the organization's annual budget; or the right to participate directly
in similar aspects of the organization's governance.
(g) Additional considerations in determining membership.
Notwithstanding the requirements of paragraph (f) of this section, the
Commission may determine, on a case-by-case basis, that persons who do
not precisely meet the requirements of the general rule, but have a
relatively enduring and independently significant financial or
organizational attachment to the organization, may be considered members
for purposes of this section. For example, student members who pay a
lower amount of dues while in school, long term dues paying members who
qualify for lifetime membership status with little or no dues
obligation, and retired members may be considered members of the
organization.
(h) Members of local unions. Notwithstanding the requirements of
paragraph (f) 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
international union is affiliated.
(i) National federation structures. In the case of a membership
organization that has a national federation structure or has several
levels, including, for example, national, state, regional and/or local
affiliates, a person who qualifies as a member of any entity within the
federation or of any affiliate by meeting the requirements of paragraphs
(f)(1), (2), or (3) of this section shall also qualify as a member of
all affiliates for purposes of paragraphs (d) through (i) of this
section. The factors set forth at 11 CFR 100.5(g)(2), (3) and (4) shall
be used to determine whether entities are affiliated for purposes of
this paragraph.
(j) Non-applicability of state law in determining status of
membership organizations. The status of a membership organization, and
of members, for purposes of this section, shall be determined pursuant
to paragraphs (d) through (i) of this section and not by provisions of
state law governing unincorporated associations, trade associations,
cooperatives, corporations without capital stock, or labor
organizations.
(k) Definition of election. For purposes of this section, election
means two separate processes in a calendar year, to each of which the
$2,000 threshold described above applies separately. The first process
is comprised of all primary elections for Federal office, whenever and
wherever held; the second process is comprised of all general elections
for Federal office, whenever and wherever held. 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)).
(l) Definition of corporation. For purposes of this section,
corporation means any separately incorporated entity, whether or not
affiliated.
(m) Reporting. When the aggregate costs under this section 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.
[[Page 76]]
Sec. 100.135 Use of a volunteer's real or personal property.
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. For the purposes of this section, 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 an expenditure.
Sec. 100.136 Use of a church or a community room.
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.
Sec. 100.137 Invitations, food, and beverages.
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 100.106 and 100.107
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.
Sec. 100.138 Sale of food and beverages by vendor.
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.
Sec. 100.139 Unreimbursed payment for transportation and subsistence
expenses.
(a) Transportation expenses. 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:
(1) 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
(2) On behalf of all political committees of each political party
does not exceed $2,000 in a calendar year.
(b) Subsistence expenses. Any unreimbursed payment from a
volunteer's personal funds for usual and normal subsistence expenses
incident to volunteer activity is not an expenditure.
Sec. 100.140 Slate cards and sample ballots.
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
[[Page 77]]
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. But see 11 CFR 100.24, 104.17(a), and
part 300, subpart B for exempt activities that also constitute Federal
election activity.
Sec. 100.141 Payment by corporations and labor organizations.
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.
Sec. 100.142 Bank loans.
(a) General provisions. Repayment of a loan of money to a candidate
or a political committee 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 or the National Credit Union
Administration is not an expenditure 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:
(1) Bears the usual and customary interest rate of the lending
institution for the category of loan involved;
(2) Is made on a basis that assures repayment;
(3) Is evidenced by a written instrument; and
(4) Is subject to a due date or amortization schedule.
(b) Reporting. Such loans shall be reported by the political
committee in accordance with 11 CFR 104.3(a) and (d).
(c) Endorsers and guarantors. 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 100.52(b)(4) 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 the loan agreement does not stipulate the
portion of the loan for which each endorser or guarantor is liable, the
loan shall be considered an expenditure 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) Overdrafts. For the purpose of this section, repayment of an
overdraft made on a checking or savings account of a political committee
shall be considered an expenditure unless:
(1) The overdraft is made on an account that is subject to automatic
overdraft protection; and
(2) The overdraft is subject to a definite interest rate and a
definite repayment schedule.
(e) Made on a basis that assures repayment. A loan, including a line
of credit, shall be considered made on a basis that assures repayment if
it is obtained using either of the sources of repayment described in
paragraphs (e)(1) or (2) of this section, or a combination of paragraphs
(e)(1) or (2) of this section:
(1)(i) The lending institution making the loan has perfected a
security interest in collateral owned by the candidate or political
committee receiving the loan; the fair market value of the collateral is
equal to or greater than the loan amount and any senior liens as
determined on the date of the loan; and the candidate or political
committee provides documentation to show that the lending institution
has a perfected security interest in the collateral. Sources of
collateral include, but
[[Page 78]]
are not limited to, ownership in real estate, personal property, goods,
negotiable instruments, certificates of deposit, chattel papers, stocks,
accounts receivable and cash on deposit.
(ii) Amounts guaranteed by secondary sources of repayment, such as
guarantors and cosigners, shall not exceed the contribution limits of 11
CFR part 110 or contravene the prohibitions of 11 CFR 110.4, 110.20,
part 114 and part 115; or
(2) 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 through part 9012 or part 9031 through 9039,
contributions, or interest income, provided that:
(i) The amount of the loan(s) obtained the basis of such funds does
not exceed the amount of pledged funds;
(ii) Loan amounts are based on a reasonable expectation of the
receipt of pledged funds. To that end, the candidate or political
committee must furnish the lending institution documentation, i.e., cash
flow charts or other financial plans, that reasonably establish that
such future funds will be available;
(iii) A separate depository account is established at the lending
institution or the lender obtains an assignment from the candidate or
political committee to access funds in a committee account at another
depository institution that meets the requirements of 11 CFR 103.2, and
the committee has notified the other institution of this assignment;
(iv) The loan agreement requires the deposit of the public financing
payments, contributions, interest or other income pledged as collateral
into the separate depository account for the purpose of retiring the
debt according to the repayment requirements of the loan; and
(v) In the case of public financing payments, the borrower
authorizes the Secretary of the Treasury to directly deposit the
payments into the depository account for the purpose of retiring the
debt.
(3) If the requirements set forth in paragraph (e) 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 that assures repayment.
(f) This section shall not apply to loans described in 11 CFR 100.83
and 100.143.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.143 Brokerage loans and lines of credit to candidates.
Repayment of a loan of money derived from an advance on a
candidate's brokerage account, credit card, home equity line of credit,
or other line of credit available to the candidate, as described in 11
CFR 100.83, is not an expenditure.
Sec. 100.144 Office building for State, local, or district party
committees or organizations.
A payment, distribution, loan, advance, or deposit of money or
anything of value, made by, or on behalf of, a State, local, or district
party committee or organization for the purchase or construction of an
office building in accordance with 11 CFR 300.35 is not an expenditure.
Sec. 100.145 Legal or accounting services to political party committees.
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 that directly further the election of any designated
candidate for Federal office. For purposes of this section, 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).
Sec. 100.146 Legal or accounting services to other political committees.
Legal or accounting services rendered to or on behalf of an
authorized committee of a candidate or any other
[[Page 79]]
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 et seq. and 9032 et seq. For purposes of this
section, a partnership shall be deemed to be the regular employer of a
partner. Amounts paid by the regular employer for these services shall
be reported by the committee receiving such services in accordance with
11 CFR 104.3(h). Expenditures for these services by a candidate
certified to receive Primary Matching Funds under 11 CFR part 9034 do
not count against such candidate's expenditure limitations under 11 CFR
part 9035 or 11 CFR 110.8. Unless paid for with federal funds received
pursuant to 11 CFR part 9005, disbursements for these services by a
candidate who is certified to receive payments from the Presidential
Election Campaign Fund under 11 CFR part 9005 do not count against that
candidate's expenditure limitations under 11 CFR 110.8.
Sec. 100.147 Volunteer activity for party committees.
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:
(a) Exemption does not apply to general public communications or
political advertising. 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 this paragraph, the term direct mail
means any mailing(s) by a commercial vendor or any mailing(s) made from
commercial lists.
(b) Allocation. 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. But see 11 CFR part 300 for
exempt activities that also constitute Federal election activity.
(c) Contributions designated for Federal candidates. 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 this paragraph, a contribution shall not be considered a
designated contribution if the party committee disbursing the funds
makes the final decision regarding which candidate(s) shall receive the
benefit of such disbursement.
(d) Distribution of materials by volunteers. Such materials are
distributed by volunteers and not by commercial or for-profit
operations. For the purposes of this paragraph, payments by the party
organization for travel and subsistence or customary token payments to
volunteers do not remove such individuals from the volunteer category.
(e) Reporting. 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.
(f) State candidates and their campaign committees. 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.
(g) Exemption not applicable to campaign materials purchased by
national party committees. 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 109.32.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
[[Page 80]]
Sec. 100.148 Volunteer activity for candidate.
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 that include information on or
any reference to a candidate for Federal office and that 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 this section, the term direct mail means mailings by
commercial vendors or mailings made from lists that were not developed
by the candidate. But see 11 CFR 100.24, 104.17(a), and part 300,
subparts D and E for exempt activities that also constitute Federal
election activity.
Sec. 100.149 Voter registration and get-out-the-vote activities for
Presidential candidates.
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:
(a) Exemption not applicable to general public communication or
political advertising. 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 this paragraph, the term direct mail means
any mailing(s) by a commercial vendor or any mailing(s) made from
commercial lists.
(b) Allocation. 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. But see 11 CFR 100.24,
104.17(a), and part 300, subpart B for exempt activities that also
constitute Federal election activity.
(c) Contributions designated for Federal candidates. 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 this paragraph, a contribution shall not be considered a designated
contribution if the party committee disbursing the funds makes the final
decision regarding which candidate(s) shall receive the benefit of such
disbursement.
(d) References to House or Senate candidates. For purposes of this
section, if such activities include references to any candidate(s) for
the House or Senate, the costs of such activities that 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.
(e) Phone banks. For purposes of this section, 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.
(f) Reporting of payments for voter registration and get-out-the-
vote activities. 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 paragraph (d) of this section.
[[Page 81]]
(g) Exemption not applicable to donations by a national committee of
a political party to a State or local party committee for voter
registration and get-out-the-vote activities. 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 109.32.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 69
FR 68238, Nov. 24, 2004]
Sec. 100.150 Ballot access fees.
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.
Sec. 100.151 Recounts.
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
110.20 and part 114 apply.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.152 Fundraising costs for Presidential candidates.
(a) Costs incurred in connection with the solicitation of
contributions. 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.
(b) Definition of in connection with the solicitation of
contributions. 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), in
connection with the solicitation of contributions means any cost
reasonably related to fundraising activity, including the costs of
printing and postage, the production of and space or air time for,
advertisements used for fundraising, and the costs of meals, beverages,
and other costs associated with a fundraising reception or dinner.
(c) Limitation on costs that may be exempted. 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:
(1) All amounts excluded from the state expenditure limitations for
exempt fundraising activities under 11 CFR 110.8(c)(2), plus
(2) 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.
Sec. 100.153 Routine living expenses.
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 that
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.
[[Page 82]]
Sec. 100.154 Candidate debates.
Funds used to defray costs incurred in staging candidate debates in
accordance with the provisions of 11 CFR 110.13 and 114.4(f) are not
expenditures.
PART 101_CANDIDATE STATUS AND DESIGNATIONS (2 U.S.C. 432(e))--Table
of Contents
Sec.
101.1 Candidate designations (2 U.S.C. 432(e)(1)).
101.2 Candidate as agent of authorized committee (2 U.S.C. 432(e)(2)).
101.3 Funds received or expended prior to becoming a candidate (2 U.S.C.
432(e)(2)).
Authority: 2 U.S.C. 432(e), 434(a)(11), 438(a)(8).
Sec. 101.1 Candidate designations (2 U.S.C. 432(e)(1)).
(a) Principal campaign committee. Within 15 days after becoming a
candidate under 11 CFR 100.3, each candidate, other than a nominee for
the office of Vice President, shall designate in writing, a principal
campaign committee in accordance with 11 CFR 102.12. A candidate shall
designate his or her principal campaign committee by filing a Statement
of Candidacy on FEC Form 2, or, if the candidate is not required to file
electronically under 11 CFR 104.18, by filing a letter containing the
same information (that is, the individual's name and address, party
affiliation, and office sought, the District and State in which Federal
office is sought, and the name and address of his or her principal
campaign committee at the place of filing specified at 11 CFR part 105).
Candidates for the Senate and the House of Representatives must also
state, on their Statements of Candidacy on FEC Form 2 (or, if the
candidate is not required to file electronically under 11 CFR 104.18, on
his or her letter containing the same information), the amount by which
the candidate intends to exceed the threshold amount as defined in 11
CFR 400.9. Each principal campaign committee shall register, designate a
depository, and report in accordance with 11 CFR parts 102, 103, and
104.
(b) Authorized committees. A candidate may designate additional
political committees in accordance with 11 CFR 102.13 to serve as
committees which will be authorized to accept contributions or make
expenditures on behalf of the candidate. For each such authorized
committee, other than a principal campaign committee, the candidate
shall file a written designation with his or her principal campaign
committee. The principal campaign committee shall file such designations
at the place of filing specified at 11 CFR part 105.
[45 FR 15103, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 65
FR 38422, June 21, 2000; 68 FR 3995, Jan. 27, 2003]
Sec. 101.2 Candidate as agent of authorized committee (2 U.S.C. 432(e)(2)).
(a) Any candidate who receives a contribution as defined at 11 CFR
part 100, subparts B and C 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).
[45 FR 15103, Mar. 7, 1980, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 101.3 Funds received or expended prior to becoming a candidate
(2 U.S.C. 432(e)(2)).
When an individual becomes a candidate, all funds received or
payments made in connection with activities conducted under 11 CFR
100.72(a) and 11 CFR 100.131(a) 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
[[Page 83]]
individual's campaign prior to becoming a candidate.
[50 FR 9995, Mar. 13, 1985, as amended at 67 FR 78680, Dec. 26, 2002]
PART 102_REGISTRATION, ORGANIZATION, AND RECORDKEEPING BY POLITICAL
COMMITTEES (2 U.S.C. 433)--Table of Contents
Sec.
102.1 Registration of political committees (2 U.S.C. 433(a)).
102.2 Statement of organization: Forms and committee identification
number (2 U.S.C. 433 (b), (c)).
102.3 Termination of registration (2 U.S.C. 433(d)(1)).
102.4 Administrative termination (2 U.S.C. 433(d)(2)).
102.5 Organizations financing political activity in connection with
Federal and non-Federal elections, other than through
transfers and joint fundraisers: Accounts and accounting.
102.6 Transfers of funds; collecting agents.
102.7 Organization of political committees (2 U.S.C. 432(a)).
102.8 Receipt of contributions (2 U.S.C. 432(b)).
102.9 Accounting for contributions and expenditures (2 U.S.C. 432(c)).
102.10 Disbursement by check (2 U.S.C. 432(h)(1)).
102.11 Petty cash fund (2 U.S.C. 432(h)(2)).
102.12 Designation of principal campaign committee (2 U.S.C. 432(e) (1)
and (3)).
102.13 Authorization of political committees (2 U.S.C. 432(e) (1) and
(3)).
102.14 Names of political committees (2 U.S.C. 432(e) (4) and (5)).
102.15 Commingled funds (2 U.S.C. 432(a)(3)).
102.16 Notice: Solicitation of contributions (2 U.S.C. 441d).
102.17 Joint fundraising by committees other than separate segregated
funds.
Authority: 2 U.S.C. 432, 433, 434(a)(11), 438(a)(8), 441d.
Source: 45 FR 15104, Mar. 7, 1980, unless otherwise noted.
Sec. 102.1 Registration of political committees (2 U.S.C. 433(a)).
(a) Principal campaign committees. Each principal campaign committee
shall file a Statement of Organization in accordance with 11 CFR 102.2
no later than 10 days after designation pursuant to 11 CFR 101.1. In
addition, each principal campaign committee shall file all designations,
statements and reports which are filed with such committee at the place
of filing specified at 11 CFR part 105.
(b) Authorized committees. Each authorized committee(s) shall file
only one Statement of Organization in accordance with 11 CFR 102.2 no
later than 10 days after designation pursuant to 11 CFR 101.1. Such
Statement(s) shall be filed with the principal campaign committee of the
authorizing candidate.
(c) Separate segregated funds. Each separate segregated fund
established under 2 U.S.C. 441b(b)(2)(C) shall file a Statement of
Organization with the Federal Election Commission no later than 10 days
after establishment. This requirement shall not apply to a fund
established solely for the purpose of financing political activity in
connection with State or local elections. Examples of establishment
events after which a fund would be required to register include, but are
not limited to: A vote by the board of directors or comparable governing
body of an organization to create a separate segregated fund to be used
wholly or in part for federal elections; selection of initial officers
to administer such a fund; or payment of the initial operating expenses
of such a fund.
(d) Other political committees. All other committees shall file a
Statement of Organization no later than 10 days after becoming a
political committee within the meaning of 11 CFR 100.5. Such
statement(s) shall be filed at the place of filing specified at 11 CFR
part 105.
Sec. 102.2 Statement of organization: Forms and committee identification
number (2 U.S.C. 433 (b), (c)).
(a) Forms. (1) The Statement of Organization shall be filed in
accordance with 11 CFR part 105 on Federal Election Commission Form 1,
which may be obtained from the Federal Election Commission, 999 E
Street, NW., Washington, DC 20463. The Statement shall be signed by the
treasurer and shall include the following information:
(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);
[[Page 84]]
(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;
(vii) The Internet address of the committee's official web site, if
such a web site exists. If the committee is required to file
electronically under 11 CFR 104.18, its electronic mail address, if such
an address exists; and
(viii) If the committee is a principal campaign committee of a
candidate for the Senate or the House of Representatives, the principal
campaign committee's facsimile number, if available, and electronic mail
address.
(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, if the political committee is not required
to file electronically under 11 CFR 104.18, by filing a letter noting
the change(s). The amendment need list only the name of the political
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 no later than ten (10)
calendar days after qualifying for multicandidate committee status.
(b) For purposes of 11 CFR 102.2(a)(1)(ii), political committees
shall disclose the names of any connected organization(s) or affiliated
committee(s) in accordance with 11 CFR 102.2(b) (1) and (2).
(1) Affiliated committee includes any committee defined in 11 CFR
100.5(g), 110.3(a) or (b), or 110.14(j) or (k).
(i) A principal campaign committee is required to disclose the names
and addresses of all other authorized committees that have been
authorized by its candidate. Authorized committees 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) Connected organization includes any organization defined at 11
CFR 100.6.
(c) Committee identification number. Upon receipt of a Statement of
Organization under 11 CFR part 102 by the Commission, an identification
number shall be assigned to the committee, receipt shall be
acknowledged, and the political committee shall be notified of the
number assigned. This identification number shall be entered by the
political committee on all subsequent reports or statements filed under
the Act, as well as on all communications concerning reports and
statements.
[45 FR 15104, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 54
FR 34109, Aug. 17, 1989; 54 FR 48580, Nov. 24, 1989; 58 FR 42173, Aug.
6, 1993; 65 FR 38422, June 21, 2000; 68 FR 3995, Jan. 27, 2003; 68 FR
64516, Nov. 14, 2003; 68 FR 67018, Dec. 1, 2003]
[[Page 85]]
Sec. 102.3 Termination of registration (2 U.S.C. 433(d)(1)).
(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.
[45 FR 15104, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 56
FR 34126, July 25, 1991]
Sec. 102.4 Administrative termination (2 U.S.C. 433(d)(2)).
(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;
[[Page 86]]
(3) It does not appear from evidence available that a contribution
in violation of 11 CFR parts 110 and 114 will result.
[45 FR 15104, Mar. 7, 1980, as amended at 60 FR 64273, Dec. 14, 1995]
Sec. 102.5 Organizations financing political activity in connection
with Federal and non-Federal elections, other than through transfers
and joint
fundraisers: Accounts and accounting.
(a) Organizations that are political committees under the Act, other
than national party committees. (1) Each organization, including a
State, district, or local party committee, that finances political
activity in connection with both Federal and non-Federal elections and
that 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 that must 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. See 11 CFR 103.3. All disbursements,
contributions, expenditures, and transfers by the committee in
connection with any Federal election shall be made from its Federal
account, except as otherwise permitted for State, district and local
party committees by 11 CFR part 300 and paragraph (a)(5) of this
section. 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 by
11 CFR 300.33, 300.34, 106.6(c), 106.6(f), and 106.7(f). Administrative
expenses for political committees other than party committees shall be
allocated pursuant to 11 CFR 106.6(c) between such Federal account and
any other account maintained by such committee for the purpose for
financing activity in connection with non-Federal elections.
Administrative expenses for State, district, and local party committees
are subject to 11 CFR 106.7 and 11 CFR part 300; or
(ii) Establish a political committee that 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 elections. Such organization shall register as a
political committee and comply with the requirements of the Act.
(2) Only contributions meeting any of the conditions set forth in
paragraphs (a)(2)(i), (ii), or (iii) of this section may be deposited in
a Federal account established under paragraph (a)(1)(i) of this section,
see 11 CFR 103.3, or may be received by a political committee
established under paragraph (a)(1)(ii) of this section:
(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; or
(iii) Contributions from contributors who are informed that all
contributions are subject to the prohibitions and limitations of the
Act.
(3) State, district, and local party committees that intend to
expend Levin funds raised pursuant to 11 CFR 300.31 for activities
identified in 11 CFR 300.32(b)(1) must either:
(i) Establish one or more separate Levin accounts pursuant to 11 CFR
300.30(c)(2); or
(ii) Demonstrate through a reasonable accounting method approved by
the Commission (including any method embedded in software provided or
approved by the Commission) that whenever such organization makes a
payment that organization has received sufficient funds subject to the
limitations and prohibitions of the Act or the requirements of 11 CFR
300.30(c)(1) or (3) to make such payment. Such organization shall keep
records of amounts received or expended under this paragraph and, upon
request, shall make such records available for examination by the
Commission.
(4) Solicitations by Federal candidates and Federal officeholders
for State, district, and local party committees are subject to the
restrictions
[[Page 87]]
in 11 CFR 300.31(e) and 11 CFR part 300, subpart D.
(5) State, district, and local party committees and organizations
may establish one or more separate allocation accounts to be used for
activities allocable pursuant to 11 CFR 106.7 and 11 CFR 300.33.
(b) Organizations that are not political committees under the Act.
(1) Any organization that makes contributions, expenditures, and
exempted payments under 11 CFR 100.80, 100.87 and 100.89 and 11 CFR
100.140, 100.147 and 100.149, but that does not qualify as a political
committee under 11 CFR 100.5, must keep records of receipts and
disbursements and, upon request, must make such records available for
examination by the Commission. The organization must demonstrate through
a reasonable accounting method that, whenever such an organization makes
a contribution or expenditure, or payment, the organization has received
sufficient funds subject to the limitations and prohibitions of the Act
to make such contribution, expenditure, or payment.
(2) Any State, district, or local party organization that makes
payments for certain Federal election activities under 11 CFR 300.32(b)
must either:
(i) Establish one or more Levin accounts pursuant to 11 CFR
300.30(b) into which only funds solicited pursuant to 11 CFR 300.31 may
be deposited and from which payments must be made pursuant to 11 CFR
300.32 and 300.33. See 11 CFR 300.30(c)(2)(i); or
(ii) Demonstrate through a reasonable accounting method approved by
the Commission (including any method embedded in software provided or
approved by the Commission) that whenever such organization makes a
payment that organization has received sufficient funds subject to the
limitations and prohibitions of the Act or the requirements of 11 CFR
300.31 to make such payment. Such organization shall keep records of
amounts received or expended under this paragraph and, upon request,
shall make such records available for examination by the Commission. See
11 CFR 300.30(c)(2)(ii).
(3) All such party organizations shall keep records of deposits to
and disbursements from such Federal and Levin accounts, and upon
request, shall make such records available for examination by the
Commission.
(c) National party committees. Between November 6, 2002, and
December 31, 2002, paragraphs (a) and (b) of this section apply to
national party committees. After December 31, 2002, national party
committees are prohibited from raising and spending non-Federal funds.
Therefore, this section does not apply to national party committees
after December 31, 2002.
[67 FR 49111, July 29, 2002, as amended at 67 FR 78680, Dec. 26, 2002;
69 FR 68067, Nov. 23, 2004]
Sec. 102.6 Transfers of funds; collecting agents.
(a) Transfers of funds; registration and reporting required--(1) Who
may make transfers under this section. (i) Transfers of funds may be
made without limit on amount between affiliated committees whether or
not they are political committees under 11 CFR 100.5.
(ii) Subject to the restrictions set forth at 11 CFR 300.10(a),
300.31 and 300.34(a) and (b), 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) When registration and reporting required. Except as provided in
11 CFR 102.6(b), organizations or committees making transfers under 11
CFR 102.6(a)(1) shall count such transfers against the reporting
thresholds of the Act for determining whether an organization or
committee is a political committee under 11 CFR 100.5.
[[Page 88]]
(b) Fundraising by collecting agents; No reporting required--(1)
Definition of collecting agent. A collecting agent is an organization or
committee that collects and transmits contributions to one or more
separate segregated funds to which the collecting agent is related. A
collecting agent may be either:
(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. See 11 CFR 114.1(e).
(2) Collecting agent not required to report. A collecting agent that
is an unregistered organization and that follows the procedures of 11
CFR 102.6(c) is not required to register and report as a political
committee under 11 CFR parts 102 and 104, provided that the organization
does not engage in other activities such as making contributions or
expenditures for the purpose of influencing federal elections.
(3) Who is not a collecting agent--(i) Commercial fundraising firm.
A separate segregated fund or a collecting agent may hire a commercial
fundraising firm to assist in fundraising; however, the commercial
fundraising firm shall not be considered as a collecting agent for the
purpose of this section. Rather, the commercial fundraising firm shall
be considered to be the agent of the separate segregated fund or
collecting agent.
(ii) Individuals. An individual who collects contributions for a
separate segregated fund shall not be considered a collecting agent for
the purpose of this section. Individuals who collect contributions are
subject to the requirements of 11 CFR 102.8 and the provisions of 11 CFR
part 110.
(4) Separate segregated fund may collect contributions. Nothing in
this section shall preclude a separate segregated fund from soliciting
and collecting contributions on its own behalf.
(c) Procedures for collecting agents--(1) Separate segregated fund
responsible for acts of collecting agent. The separate segregated fund
shall be responsible for ensuring that the recordkeeping, reporting and
transmittal requirements of this section are met.
(2) Solicitation for contributions. A collecting agent may include a
solicitation for voluntary contributions to a separate segregated fund
in a bill for membership dues or other payments such as conference
registration fees or a solicitation for contributions to the collecting
agent. The collecting agent may only solicit contributions from those
persons permitted to be solicited under 11 CFR part 114. The
solicitation for contributions must meet all of the requirements for
proper solicitations under 11 CFR 114.5.
(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) Checks combining contributions with other payments. A
contributor may write a check that represents both a contribution and
payment of dues or other fees. The check must be drawn on the
contributor's personal checking account or on a non-repayable corporate
drawing account of the individual contributor. Under a payroll deduction
plan, an employer may write a check on behalf of its employees to a
union or its agent, which check represents a combined payment of
voluntary contributions to the union's separate segregated fund and
union dues or other employee deductions.
(4) Transmittal of contributions. The full amount of each
contribution collected by a collecting agent on behalf of a separate
segregated fund shall be
[[Page 89]]
transmitted to that fund within 10 or 30 days as required by 11 CFR
102.8.
(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) Contributor information. The collecting agent shall comply with
the requirements of 11 CFR 102.8 regarding transmittal of contributions
and contributor information to the separate segregated fund, except that
if contributions of $50 or less are received at a mass collection, a
record shall be kept of the date, the total amount collected, and the
name of the function at which the collection was made.
(6) Retention of records. The collecting agent shall retain all
records of contribution deposits and transmittals under this section for
a period of three years and shall make these records available to the
Commission on request. The separate segregated fund shall keep a record
of all transmittals of contributions received from collecting agents
under this section, and shall retain these records for a period of three
years.
(7) Reporting of funds received through collecting agents. A
separate segregated fund receiving contributions collected by a
collecting agent shall report the full amount of each contribution
received as a contribution from the original contributor to the extent
required by 11 CFR 104.3(a).
[48 FR 26300, June 7, 1983, as amended at 68 FR 451, Jan. 3, 2003; 69 FR
63920, Nov. 3, 2004]
Sec. 102.7 Organization of political committees (2 U.S.C. 432(a)).
(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
part 100, subparts B and D, 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).
[45 FR 15104, Mar. 7, 1980, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 102.8 Receipt of contributions (2 U.S.C. 432(b)).
(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
[[Page 90]]
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. Date of receipt shall be the
date such person obtains possession 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.
Sec. 102.9 Accounting for contributions and expenditures (2 U.S.C. 432(c)).
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.
(4) In addition to the account to be kept under paragraph (a)(1) of
this section, for contributions in excess of $50, the treasurer of a
political committee or an agent authorized by the treasurer shall
maintain:
(i) A full-size photocopy of each check or written instrument; or
(ii) A digital image of each check or written instrument. The
political committee or other person shall provide the computer equipment
and software needed to retrieve and read the digital images, if
necessary, at no cost to the Commission.
(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), purpose has the same
meaning given the term at 11 CFR 104.3(b)(3)(i)(A).
(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), payee means the person
who
[[Page 91]]
provides the goods or services to the committee or agent thereof in
return for payment, except for an advance of $500 or less for travel and
subsistence to an individual who will be the recipient of the goods or
services.
(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 was paid by the
credit union is also retained.
(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)(1) If the candidate, or his or her authorized committee(s),
receives contributions that are designated for use in connection with
the general election pursuant to 11 CFR 110.1(b) prior to the date of
the primary 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 accounting methods include, but are not
limited to:
(i) The designation of separate accounts for each election, caucus
or convention; or
(ii) The establishment of separate books and records for each
election.
(2) Regardless of the method used under paragraph (e)(1) of this
section, an authorized committee's records must demonstrate that, prior
to the primary election, recorded cash on hand was at all times equal to
or in excess of the sum of general election contributions received less
the sum of general election disbursements made.
(3) 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.
[45 FR 15104, Mar. 7, 1980, as amended at 52 FR 773, Jan. 9, 1987; 67 FR
69946, Nov. 19, 2002]
Sec. 102.10 Disbursement by check (2 U.S.C. 432(h)(1)).
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.
Sec. 102.11 Petty cash fund (2 U.S.C. 432(h)(2)).
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
[[Page 92]]
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.
Sec. 102.12 Designation of principal campaign committee
(2 U.S.C. 432(e) (1) and (3)).
(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 principal campaign committee,
except that, after nomination, a candidate for the office of President
of the United States nominated by a political party may designate the
national committee of such political party as his or her principal
campaign committee. A national committee which is so designated shall
maintain separate books of account with respect to its function as a
principal campaign committee.
(2) For purposes of 11 CFR 102.12(c), the term support does not
include contributions by an authorized committee in amounts aggregating
$1,000 or less per election to an authorized committee of any other
candidate, except that the national committee of a political party which
has been designated as the principal campaign committee of that party's
Presidential candidate may contribute to another candidate in accordance
with 11 CFR part 110.
Sec. 102.13 Authorization of political committees (2 U.S.C. 432(e) (1)
and (3)).
(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 part 109, subpart D.
(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 support does not
include contributions by an authorized committee in amounts aggregating
$1,000 or less per election to an authorized committee of any other
candidate, except that the national committee of a political party which
has been designated as the principal campaign committee of that party's
Presidential candidate may contribute to another candidate in accordance
with 11 CFR part 109, subpart D and 11 CFR part 110.
[45 FR 15104, Mar. 7, 1980, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 102.14 Names of political committees (2 U.S.C. 432(e) (4) and (5)).
(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,
[[Page 93]]
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 delegate(s) in its name and may also include in its
name the name of the presidential candidate which the delegate committee
supports.
(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 109.11 and 110.11. The fund may make
contributions using its acronym or abbreviated name. A fund established
by a corporation which has a number of subsidiaries need not include the
name of each subsidiary in its name. Similarly, a separate segregated
fund established by a subsidiary need not include in its name the name
of its parent or another subsidiary of its parent.
[45 FR 15104, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 57
FR 31426, July 15, 1992; 59 FR 17269, Apr. 12, 1994; 59 FR 35785, July
13, 1994; 67 FR 78680, Dec. 26, 2002]
Sec. 102.15 Commingled funds (2 U.S.C. 432(a)(3)).
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.
Sec. 102.16 Notice: Solicitation of contributions (2 U.S.C. 441d).
Each political committee shall comply with the notice requirements
for solicitation of contributions set forth at 11 CFR 110.11.
Sec. 102.17 Joint fundraising by committees other than separate
segregated funds.
(a) General. Nothing in this section shall supersede 11 CFR part
300, which prohibits any person from soliciting, receiving, directing,
transferring, or spending any non-Federal funds, or from transferring
Federal funds for Federal election activities.
(1)(i) Political committees may engage in joint fundraising with
other political committees or with unregistered committees or
organizations. The participants in a joint fundraising effort under this
section shall either establish a separate committee or select a
participating committee, to act as fundraising representative for all
participants. The fundraising representative shall be a reporting
political committee and an authorized committee of each candidate for
federal office participating in the joint fundraising activity. If the
participants establish a separate committee to act as the fundraising
representative, the separate committee shall not be a participant in any
other joint fundraising effort, but the separate committee may conduct
more than one joint fundraising effort for the participants.
(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
[[Page 94]]
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) Fundraising representatives--(1) Separate fundraising committee
as fundraising representative. Participating committees may establish a
separate political committee to act as fundraising representative for
all participants. This separate committee shall be a reporting political
committee and shall collect contributions, pay fundraising costs from
gross proceeds and from funds advanced by participants, and disburse net
proceeds to each participant.
(2) Participating committee as fundraising representative. All
participating committees may select one participant to act as
fundraising representative for all participants. The fundraising
representative must be a political committee as defined in 11 CFR 100.5.
The fundraising representative and any other participating committees
may collect contributions; however, all contributions received by other
participants shall be forwarded to the fundraising representative as
required by 11 CFR 102.8. The fundraising representative shall pay
fundraising costs from gross proceeds and from funds advanced by
participants and shall disburse net proceeds to each participant.
(3) Funds advanced for fundraising costs. (i) Except as provided in
11 CFR 102.17(b) (3)(ii) and (iii), the amount of funds advanced by each
participant for fundraising costs shall be in proportion to the
allocation formula agreed upon under 11 CFR 102.17 (c)(1).
(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) and part 110.
(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) Joint fundraising procedures. The requirements of 11 CFR
102.17(c)(1) through (8) shall govern joint fundraising activity
conducted under this section.
(1) Written agreement. The participants in a joint fundraising
activity shall enter into a written agreement, whether or not all
participants are political committees under 11 CFR 100.5. The written
agreement shall identify the fundraising representative and shall state
a formula for the allocation of fundraising proceeds. The formula shall
be stated as the amount or percentage of each contribution received to
be allocated to each participant. The fundraising representative shall
retain the written agreement for a period of three years and shall make
it available to the Commission on request.
(2) Fundraising notice. In addition to any notice required under 11
CFR 110.11, a joint fundraising notice shall be included with every
solicitation for contributions.
(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:
[[Page 95]]
(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) Separate depository account. (i) The participants or the
fundraising representative shall establish a separate depository account
to be used solely for the receipt and disbursement of the joint
fundraising proceeds. All contributions deposited into the separate
depository account must be permissible under the Act. Each political
committee shall amend its Statement of Organization to reflect the
account as an additional depository. If one or more participants can
lawfully accept contributions that are prohibited under the Act, the
participants may either establish a second depository account for
contributions received from prohibited sources or they may forward such
contributions directly to the nonfederal participants.
(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 102.17(c)(8) when such funds are
received from the fundraising representative.
(4) Recordkeeping requirements. (i) The fundraising representative
and participating committees shall screen all contributions received to
insure that the prohibitions and limitations of 11 CFR parts 110 and 114
are observed. Participating political committees shall make their
contributor records available to the fundraising representative to
enable the fundraising representative to carry out its duty to screen
contributions.
(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) Contribution limitations. Except to the extent that the
contributor has previously contributed to any of the participants, a
contributor may make a contribution to the joint fundraising effort
which contribution represents the total amount that the contributor
could contribute to all of the participants under the applicable limits
of 11 CFR 110.1 and 110.2.
(6) Allocation of gross proceeds. (i) The fundraising representative
shall allocate proceeds according to the formula stated in the
fundraising agreement. If distribution according to the allocation
formula extinguishes the debts of one or more participants and results
in a surplus for those participants or if distribution under the formula
results in a violation of the contribution limits of 11 CFR 110.1(a),
the fundraising representative may reallocate the exesss funds.
Reallocation shall be based upon the remaining participants'
proportionate shares under the allocation formula. If reallocation
results in a violation of a contributor's limit
[[Page 96]]
under 11 CFR 110.1, the fundraising representative shall return to the
contributor the amount of the contribution that exceeds the limit.
(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) Allocation of expenses and distribution of net proceeds. (i) If
participating committees are not affiliated as defined in 11 CFR 110.3
prior to the joint fundraising activity and are not committees of the
same political party;
(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) Reporting of receipts and disbursements--(i) Reporting receipts.
(A) The fundraising representative shall report all funds received in
the reporting period in which they are received. The fundraising
representative shall report the total amount of contributions received
from prohibited sources during the reporting period, if any, as a memo
entry. Each Schedule A filed by the fundraising representative under
this section shall clearly indicate that the contributions reported on
that schedule represent joint fundraising proceeds.
(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) Reporting disbursements. The fundraising representative shall
report all disbursements in the reporting period in which they are made.
[48 FR 26301, June 7, 1983, as amended at 56 FR 35909, July 29, 1991; 67
FR 49112, July 29, 2002]
PART 103_CAMPAIGN DEPOSITORIES (2 U.S.C. 432(h))--Table of Contents
Sec.
103.1 Notification of the commission.
103.2 Depositories (2 U.S.C. 432(h)(1)).
103.3 Deposit of receipts and disbursements (2 U.S.C. 432(h)(1)).
103.4 Vice Presidential candidate campaign depositories.
Authority: 2 U.S.C. 432(h), 438(a)(8).
Source: 45 FR 15108, Mar. 7, 1980, unless otherwise noted.
[[Page 97]]
Sec. 103.1 Notification of the commission.
Each committee shall notify the Commission of the campaign
depository(ies) it has designated, pursuant to 11 CFR 101.1 and 103.2.
Sec. 103.2 Depositories (2 U.S.C. 432(h)(1)).
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.
Sec. 103.3 Deposit of receipts and disbursements (2 U.S.C. 432(h)(1)).
(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
[[Page 98]]
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.
[52 FR 774, Jan. 9, 1987]
Sec. 103.4 Vice Presidential candidate campaign depositories.
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.
PART 104_REPORTS BY POLITICAL COMMITTEES AND OTHER PERSONS (2 U.S.C. 434)
--Table of Contents
Sec.
104.1 Scope (2 U.S.C. 434(a)).
104.2 Forms.
104.3 Contents of reports (2 U.S.C. 434(b), 439a).
104.4 Independent expenditures by political committees (2 U.S.C. 434(b),
(d), and (g)).
104.5 Filing dates (2 U.S.C. 434(a)(2)).
104.6 Form and content of internal communications reports (2 U.S.C.
431(9)(B)(iii)).
104.7 Best efforts (2 U.S.C. 432(i)).
104.8 Uniform reporting of receipts.
104.9 Uniform reporting of disbursements.
104.10 Reporting by separate segregated funds and nonconnected
committees of expenses allocated among candidates and
activities.
104.11 Continuous reporting of debts and obligations.
104.12 Beginning cash on hand for political committees.
104.13 Disclosure of receipt and consumption of in-kind contributions.
104.14 Formal requirements regarding reports and statements.
104.15 Sale or use restriction (2 U.S.C. 438(a)(4)).
104.16 Audits (2 U.S.C. 438(b)).
104.17 Reporting of allocable expenses by party committees.
104.18 Electronic filing of reports (2 U.S.C. 432(d) and 434(a)(11)).
104.19 Special reporting requirements for principal campaign committees
of candidates for election to the United States Senate or
United States House of Representatives.
104.20 Reporting electioneering communications (2 U.S.C. 434(f)).
104.21 Reporting by inaugural committees.
Authority: 2 U.S.C. 431(1), 431(8), 431(9), 432(i), 434, 438(a)(8)
and (b), 439a, 441a, and 36 U.S.C. 510.
Source: 45 FR 15108, Mar. 7, 1980, unless otherwise noted.
Sec. 104.1 Scope (2 U.S.C. 434(a)).
(a) Who must report. Each treasurer of a political committee
required to register under 11 CFR part 102 shall report in accordance
with 11 CFR part 104.
(b) Who may report. An individual seeking federal office who has not
attained candidate status under 11 CFR 100.3, the committee of such an
individual or any other committee may voluntarily register and report in
accordance with 11 CFR parts 102 and 104. An individual shall not become
a candidate solely by voluntarily filing a report, nor shall such
individual, the individual's committee, nor any other committee be
required to file all reports under 11 CFR 104.5, unless the individual
becomes a candidate under 11
[[Page 99]]
CFR 100.3 or unless the committee becomes a political committee under 11
CFR 100.5.
Sec. 104.2 Forms.
(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) Presidential committees. The authorized committees of a
candidate for President or Vice President shall file on FEC Form 3-P.
(2) Congressional candidate committees. The authorized committees of
a candidate for the Senate or the House of Representatives shall file on
FEC Form 3.
(3) Political Committees Other than Authorized Committees. Political
committees other than authorized committees shall file reports on FEC
Form 3-X.
[45 FR 15108, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 50
FR 50778, Dec. 12, 1985]
Sec. 104.3 Contents of reports (2 U.S.C. 434(b), 439a).
(a) Reporting of receipts. Each report filed under Sec. 104.1 shall
disclose the total amount of receipts for the reporting period and for
the calendar year (or for the election cycle, in the case of an
authorized committee) and shall disclose the information set forth at
paragraphs (a)(1) through (a)(4) of this section. The first report filed
by a political committee shall also include all amounts received prior
to becoming a political committee under Sec. 100.5 of this chapter,
even if such amounts were not received during the current reporting
period.
(1) Cash on hand. The amount of cash on hand at the beginning of the
reporting period, including: currency; balance on deposit in banks,
savings and loan institutions, and other depository institutions;
traveler's checks owned by the committee; certificates of deposit,
treasury bills and any other committee investments valued at cost.
(2) Categories of receipts for all political committees other than
authorized committees. All committees other than authorized committees
shall report the total amount of receipts received during the reporting
period and, except for itemized and unitemized breakdowns, during the
calendar year for each of the following categories:
(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);
[[Page 100]]
(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) Categories of receipts for authorized committees. An authorized
committee of a candidate for Federal office shall report the total
amount of receipts received during the reporting period and, except for
itemized and unitemized breakdowns, during the election cycle in each of
the following categories:
(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 part 109, subpart D (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 including loans derived from a bank loan to the
candidate or from an advance on a candidate's brokerage account, credit
card, home equity line of credit, or other lines of credit described in
11 CFR 100.7(b)(22) and 100.8(b)(24); and
(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) Itemization of receipts for all political committees including
authorized and unauthorized committees. The identification (as defined
at Sec. 100.12 of this chapter) of each contributor and the aggregate
year-to-date (or aggregate election-cycle-to-date, in the case of an
authorized committee) total for such contributor in each of the
following categories shall be reported.
(i) Each person, other than any political committee, who makes a
contribution to the reporting political committee during the reporting
period, whose contribution or contributions aggregate in excess of $200
per calendar year (or per election cycle in the case of an authorized
committee), together with the date of receipt and amount of
[[Page 101]]
any such contributions, except that the reporting political 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 political committee in an
aggregate amount or value in excess of $200 within the calendar year (or
within the election cycle, in the case of an authorized committee),
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 political committee in an aggregate value or
amount in excess of $200 within the calendar year (or within the
election cycle, in the case of an authorized committee), together with
the date and amount of any such receipt.
(b) Reporting of disbursements. Each report filed under Sec. 104.1
shall disclose the total amount of all disbursements for the reporting
period and for the calendar year (or for the election cycle, in the case
of an authorized committees) and shall disclose the information set
forth at paragraphs (b)(1) through (b)(4) of this section. The first
report filed by a political committee shall also include all amounts
disbursed prior to becoming a political committee under Sec. 100.5 of
this chapter, even if such amounts were not disbursed during the current
reporting period.
(1) Categories of disbursements for political committees other than
authorized committees. All political committees other than authorized
committees shall report the total amount of disbursements made during
the reporting period and, except for itemized and unitemized breakdowns,
during the calendar year in each of the following categories:
(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 part 109, subpart D (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.
[[Page 102]]
(2) Categories of disbursements for authorized committees. An
authorized committee of a candidate for Federal office shall report the
total amount of disbursements made during the reporting period and,
except for itemized and unitemized breakdowns, during the election cycle
in each of the following categories:
(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, guaranteed, or endorsed by the
candidate to his or her authorized committee including loans derived
from a bank loan to the candidate or from an advance on a candidate's
brokerage account, credit card, home equity line of credit, or other
lines of credit described in 11 CFR 100.7(b)(22) and 100.8(b)(24);
(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) Itemization of disbursements by political committees other than
authorized committees. Each political committee, other than an
authorized committee, shall report the full name and address of each
person in each of the following categories, as well as the information
required by each category;
(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), purpose means a brief statement
or decription of why the disbursement was made.
(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 advance, election day
expenses, other expenses, expenses, expense reimbursement,
miscellaneous, outside services, get-out-the-vote and voter registration
would not meet the requirements of 11 CFR 104.3(b)(3) for reporting the
purpose of an expenditure.
(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 committees are affiliated, 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 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;
[[Page 103]]
(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 part 109, subpart D (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) Itemization of disbursements by authorized committees. Each
authorized committee shall report the full name and address of each
person in each of the following categories, as well as the information
required by each category.
(i) Each person to whom an expenditure in an aggregate amount or
value in excess of $200 within the election cycle is made by the
reporting authorized committee to meet the authorized committee's
operating expenses, together with the date, amount and purpose of each
expenditure.
(A) As used in this paragraph, purpose means a brief statement or
description of why the disbursement was made. Examples of statements or
descriptions which meet the requirements of this paragraph 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 advance, election day
expenses, other expenses, expenses, expense reimbursement,
miscellaneous, outside services, get-out-the-vote and voter registration
would not meet the requirements of this paragraph for reporting the
purpose of an expenditure.
(B) In addition to reporting the purpose described in paragraph
(b)(4)(i)(A) of this section, 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, including a
repayment of a loan of money derived from an advance on a candidate's
brokerage account, credit card, home equity line of credit, or other
lines of credit described in 11 CFR 100.7(b)(22) and 100.8(b)(24), from
the reporting committee during the reporting period, together with the
date and amount of such loan repayment;
(iv) [Reserved]
[[Page 104]]
(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 paragraph (b)(4) of this section to whom the aggregate
amount or value of such disbursements exceeds $200 within the election
cycle, together with the date, amount, and purpose of any such
disbursement.
(c) Summary of contributions and operating expenditures. Each report
filed pursuant to Sec. 104.1 shall disclose for both the reporting
period and the calendar year (or the election cycle, in the case of the
authorized committee):
(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) Reporting debts and obligations. Each report filed under 11 CFR
104.1 shall, on Schedule C or D, as appropriate, disclose the amount and
nature of outstanding debts and obligations owed by or to the reporting
committee. Loans, including a loan of money derived from an advance on a
candidate's brokerage account, credit card, home equity line of credit,
or other lines of credit described in 11 CFR 100.7(b)(22), obtained by
an individual prior to becoming a candidate for use in connection with
that individual's campaign shall be reported as an outstanding loan owed
to the lender by the candidate's principal campaign committee, if such
loans are outstanding at the time the individual becomes a candidate.
Where such debts and obligations are settled for less than their
reported amount or value, each report filed under 11 CFR 104.1 shall
contain a statement as to the circumstances and conditions under which
such debts or obligations were extinguished and the amount paid. See 11
CFR 116.7.
(1) In addition, when a political committee obtains a loan from, or
establishes a line of credit at, a lending institution as described in
11 CFR 100.82(a) through (d) and 100.142(a) through (d), it shall
disclose in the report covering the period when the loan was obtained,
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 100.82(e)(1) and (2) and 100.142(e)(1) and (2); 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 to other borrowers of comparable credit
worthiness; and that the lending institution is aware of the requirement
that a loan or a line of credit must be made on a basis which assures
repayment and that the lending institution has complied with Commission
regulations at 11 CFR 100.82(a) through (d) and 100.142(a) through (d).
(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. This paragraph
(d)(2) shall not apply to any Schedule C-1 or C-P-1 that is filed
pursuant to paragraph (d)(4) of this section.
(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
[[Page 105]]
line of credit, and each time a loan or line of credit is restructured
to change the terms of repayment. This paragraph (d)(3) shall not apply
to any Schedule C-1 or C-P-1 that is filed pursuant to paragraph (d)(4)
of this section.
(4) When a candidate obtains a bank loan or loan of money derived
from an advance on the candidate's brokerage account, credit card, home
equity line of credit, or other line of credit described in 11 CFR
100.7(b)(22) and 100.8(b)(24) for use in connection with the candidate's
campaign, the candidate's principal campaign committee shall disclose in
the report covering the period when the loan was obtained, the following
information on Schedule C-1 or C-P-1:
(i) The date, amount, and interest rate of the loan, advance, or
line of credit;
(ii) The name and address of the lending institution; and
(iii) The types and value of collateral or other sources of
repayment that secure the loan, advance, or line of credit, if any.
(e) Use of pseudonyms. (1) To determine whether the names and
addresses of its contributors are being used in violation of 11 CFR
104.15 to solicit contributions or for commercial purposes, a political
committee may submit up to ten (10) pseudonyms on each report filed.
(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,
Unitemized contributions from individual persons other than political
committees. Thus, the committee will, for this purpose only, be
overstating the amount of itemized contributions received and
understating the amount of unitemized contributions received.
(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) Consolidated reports. Each principal campaign committee shall
consolidate in each report those reports required to be filed with it.
Such consolidated reports shall include: (1) Reports submitted to it by
any authorized committees and (2) the principal campaign committee's own
report. Such consolidation shall be made on FEC Form 3-Z and shall be
submitted with the reports of the principal campaign committee and with
the reports, or applicable portions thereof, of the committees shown on
the consolidation.
(g) Building funds. (1) A political party committee must report
gifts, subscriptions, loans, advances, deposits of money, or anything of
value that are used by the political party committee's Federal accounts
to defray the costs of construction or purchase of the committee's
office building. See 11 CFR 300.35. Such a receipt is a contribution
subject to the limitations and prohibitions of the Act and reportable as
a contribution, regardless of whether the contributor has designated the
funds or things of value for such purpose and regardless of whether such
funds are deposited in a separate Federal account dedicated to that
purpose.
(2) Gifts, subscriptions, loans, advances, deposits of money, or
anything of value that are donated to a non-Federal account of a State
or local party committee and are used by that party
[[Page 106]]
committee for the purchase or construction of its office building are
not contributions subject to the reporting requirements of the Act. The
reporting of such funds or things of value is subject to State law.
(3) Gifts, subscriptions, loans, advances, deposits of money, or
anything of value that are used by a national committee of a political
party to defray the costs of construction or purchase of the national
committee's office building are contributions subject to the
requirements of paragraph (g)(1) of this section.
(h) Legal and accounting services. A committee which receives legal
or accounting services pursuant to 11 CFR 100.85 and 100.86 shall report
as a memo entry, on Schedule A, the amounts paid for these services by
the regular employer of the person(s) providing such services; the
date(s) such services were performed; and the name of each person
performing such services.
(i) Cumulative reports. The reports required to be filed under Sec.
104.5 shall be cumulative for the calendar year (or for the election
cycle, in the case of an authorized committee) to which they relate, but
if there has been no change in a category reported in a previous report
during that year (or during that election cycle, in the case of an
authorized committee), only the amount thereof need be carried forward.
(j) Earmarked contributions. Earmarked contributions shall be
reported in accordance with 11 CFR 110.6. See also 11 CFR 102.8(c).
(k) Reporting Election Cycle Activity Occurring Prior to January 1,
2001. The aggregate of each category of receipt listed in paragraph
(a)(3) of this section, except those in paragraphs (a)(3)(i)(A) and (B)
of this section, and for each category of disbursement listed in
paragraph (b)(2) of this section shall include amounts received or
disbursed on or after the day after the last general election for the
seat or office for which the candidate is running through December 31,
2000.
[45 FR 15108, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 50
FR 50778, Dec. 12, 1985; 55 FR 26386, June 27, 1990; 56 FR 67124, Dec.
27, 1991; 60 FR 7874, Feb. 9, 1995; 61 FR 3549, Feb. 1, 1996; 65 FR
42623, July 11, 2000; 66 FR 59680, Nov. 30, 2001; 67 FR 38360, June 4,
2002; 67 FR 78680, Dec. 26, 2002; 68 FR 417, Jan. 3, 2003; 68 FR 611,
Jan. 6, 2003; 68 FR 2871, Jan. 22, 2003; 68 FR 417, Jan. 3, 2003]
Sec. 104.4 Independent expenditures by political committees
(2 U.S.C. 434(b), (d), and (g)).
(a) Regularly scheduled reporting. Every political committee that
makes independent expenditures must report all such independent
expenditures on Schedule E in accordance with 11 CFR 104.3(b)(3)(vii).
Every person that is not a political committee must report independent
expenditures in accordance with paragraphs (e) and (f) of this section
and 11 CFR 109.10.
(b) Reports of independent expenditures made at any time up to and
including the 20th day before an election. (1) Independent expenditures
aggregating less than $10,000 in a calendar year. Political committees
must report on Schedule E of FEC Form 3X at the time of their regular
reports in accordance with 11 CFR 104.3, 104.5 and 104.9, all
independent expenditures aggregating less than $10,000 with respect to a
given election any time during the calendar year up to and including the
20th day before an election.
(2) Independent expenditures aggregating $10,000 or more in a
calendar year. Political committees must report on Schedule E of FEC
Form 3X all independent expenditures aggregating $10,000 or more with
respect to a given election any time during the calendar year up to and
including the 20th day before an election. Political committees must
ensure that the Commission receives these reports by 11:59 p.m. Eastern
Standard/Daylight Time on the second day following the date on which a
communication that constitutes an independent expenditure is publicly
distributed or otherwise publicly disseminated. Each time subsequent
independent expenditures relating to the same election aggregate an
additional $10,000 or more, the political
[[Page 107]]
committee must ensure that the Commission receives a new 48-hour report
of the subsequent independent expenditures by 11:59 p.m. Eastern
Standard/Daylight Time on the second day following the date on which the
communication is publicly distributed or otherwise publicly
disseminated. (See paragraph (f) of this section for aggregation.) Each
48-hour report must contain the information required by 11 CFR
104.3(b)(3)(vii) indicating whether the independent expenditure is made
in support of, or in opposition to, the candidate involved. In addition
to other permissible means of filing, a political committee may file the
48-hour reports under this section by any of the means permissible under
11 CFR 100.19(d)(3).
(c) Reports of independent expenditures made less than 20 days, but
more than 24 hours before the day of an election. Political committees
must ensure that the Commission receives reports of independent
expenditures aggregating $1,000 or more with respect to a given
election, after the 20th day, but more than 24 hours before 12:01 a.m.
of the day of the election, by 11:59 p.m. Eastern Standard/Daylight Time
on the day following the date on which a communication is publicly
distributed or otherwise publicly disseminated. Each time subsequent
independent expenditures relating to the same election aggregate an
additional $1,000 or more, the political committee must ensure that the
Commission receives a new 24-hour report of the subsequent independent
expenditures by 11:59 p.m. Eastern Standard/Daylight Time on the day
following the date on which a communication that constitutes an
independent expenditure is publicly distributed or otherwise publicly
disseminated. (See paragraph (f) of this section for aggregation.) Each
24-hour report shall contain the information required by 11 CFR
104.3(b)(3)(vii) indicating whether the independent expenditure is made
in support of, or in opposition to, the candidate involved. Political
committees may file reports under this section by any of the means
permissible under 11 CFR 100.19(d)(3).
(d) Verification. Political committees must verify reports of
independent expenditures filed under paragraph (b) or (c) of this
section by one of the methods stated in paragraph (d)(1) or (2) of this
section. Any report verified under either of these methods shall be
treated for all purposes (including penalties for perjury) in the same
manner as a document verified by signature.
(1) For reports filed on paper (e.g., by hand-delivery, U.S. Mail or
facsimile machine), the treasurer of the political committee that made
the independent expenditure must certify, under penalty of perjury, the
independence of the expenditure by handwritten signature immediately
following the certification required by 11 CFR 104.3(b)(3)(vii).
(2) For reports filed by electronic mail, the treasurer of the
political committee that made the independent expenditure shall certify,
under penalty of perjury, the independence of the expenditure by typing
the treasurer's name immediately following the certification required by
11 CFR 104.3(b)(3)(vii).
(e) Where to file. Reports of independent expenditures under this
section and 11 CFR 109.10(b) shall be filed as follows:
(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:
(i) For regularly scheduled reports, with the Secretary of the
Senate and the Secretary of State for the State in which the candidate
is seeking election; or
(ii) For 24-hour and 48-hour reports, with the Commission 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 Commission and
the Secretary of State for the State in which the candidate is seeking
election.
(4) Notwithstanding the requirements of paragraphs (e)(1), (2), and
(3) of this section, political committees and other persons shall not be
required to file reports of independent expenditures with
[[Page 108]]
the Secretary of State if that State has obtained a waiver under 11 CFR
108.1(b).
(f) Aggregating independent expenditures for reporting purposes. For
purposes of determining whether 24-hour and 48-hour reports must be
filed in accordance with paragraphs (b) and (c) of this section and 11
CFR 109.10(c) and (d), aggregations of independent expenditures must be
calculated as of the first date on which a communication that
constitutes an independent expenditure is publicly distributed or
otherwise publicly disseminated, and as of the date that any such
communication with respect to the same election is subsequently publicly
distributed or otherwise publicly disseminated. Every person must
include in the aggregate total all disbursements during the calendar
year for independent expenditures, and all enforceable contracts, either
oral or written, obligating funds for disbursements during the calendar
year for independent expenditures, where those independent expenditures
are made with respect to the same election for Federal office.
[68 FR 417, Jan. 3, 2003]