[Title 11 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2017 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 11

Federal Elections

                         Revised as of January 1, 2017

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2017
          With Ancillaries
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as 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
          Chapter II--Election Assistance Commission               365
  Finding Aids:
   Indexes to Regulations:
          Administrative Regulations, Parts 1-8; 200-201           403
          General, Parts 100-116                                   409
          General Election Financing, Parts 9001-9007 and 9012     471
          Federal Financing of Presidential Nominating 
          Conventions, Part 9008                                   483
          Presidential Primary Matching Fund, Parts 9031-9039      491
      Table of CFR Titles and Chapters........................     509
      Alphabetical List of Agencies Appearing in the CFR......     529
      Redesignation Table.....................................     539
      List of CFR Sections Affected...........................     541

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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.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

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    To determine whether a Code volume has been amended since its 
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OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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PAST PROVISIONS OF THE CODE

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``[RESERVED]'' TERMINOLOGY

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this volume.

[[Page vii]]

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    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    January 1, 2017.







[[Page ix]]



                               THIS TITLE

    Title 11--Federal Elections is composed of one volume. This volume 
contains Chapter I--Federal Election Commission and Chapter II--Election 
Assistance Commission. The contents of this volume represent all current 
regulations codified under this title of the CFR as of January 1, 2017.

    Indexes to regulations for ``parts 1-7,'' ``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, Michele Bugenhagen was Chief Editor. The Code of 
Federal Regulations publication is under the direction of John Hyrum 
Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                       TITLE 11--FEDERAL ELECTIONS




  --------------------------------------------------------------------
                                                                    Part

chapter i--Federal Election Commission......................           1

chapter ii--Election Assistance Commission..................        9405

[[Page 3]]



                 CHAPTER I--FEDERAL ELECTION COMMISSION




  --------------------------------------------------------------------
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 and Media 
                    Relations Division Documents............          23
6               Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Federal 
                    Election Commission.....................          26
7               Standards of conduct........................          32
8               Collection of administrative debts..........          34
                          SUBCHAPTER A--GENERAL
100             Scope and definitions (52 U.S.C. 30101).....          36
101             Candidate status and designations (52 U.S.C. 
                    30102(e))...............................          75
102             Registration, organization, and 
                    recordkeeping by political committees 
                    (52 U.S.C. 30103).......................          76
103             Campaign depositories (52 U.S.C. 30102(h))..          89
104             Reports by political committees and other 
                    persons (52 U.S.C. 30104)...............          91
105             Document filing (52 U.S.C. 30102(g))........         123
106             Allocations of candidate and committee 
                    activities..............................         125
107             Presidential nominating convention, 
                    registration and reports................         139
108             Filing copies of reports and statements with 
                    State officers (52 U.S.C. 30113)........         140
109             Coordinated and independent expenditures (52 
                    U.S.C. 30101(17), 30116(a) and (d), and 
                    Pub. L. 107-155 Sec. 214(C))............         142
110             Contribution and expenditure limitations and 
                    prohibitions............................         153
111             Compliance procedure(52 U.S.C. 30109, 
                    30107(a))...............................         180
112             Advisory opinions (52 U.S.C. 30108))........         198
113             Permitted and prohibited uses of campaign 
                    accounts................................         200
114             Corporate and labor organization activity...         204
115             Federal contractors.........................         228

[[Page 4]]

116             Debts owed by candidates and political 
                    committees..............................         230
                SUBCHAPTER B--ADMINISTRATIVE REGULATIONS
200             Petitions for rulemaking....................         239
201             Ex parte communications.....................         240
SUBCHAPTER C--BIPARTISAN CAMPAIGN REFORM ACT OF 2002--(BCRA) REGULATIONS
300             Non-Federal funds...........................         243
                         SUBCHAPTER D [RESERVED]
  SUBCHAPTER E--PRESIDENTIAL ELECTION CAMPAIGN FUND: GENERAL ELECTION 
                                FINANCING
9001            Scope.......................................         267
9002            Definitions.................................         267
9003            Eligibility for payments....................         270
9004            Entitlement of eligible candidates to 
                    payments; use of payments...............         280
9005            Certification by Commission.................         289
9006            Reports and recordkeeping...................         290
9007            Examinations and audits; repayments.........         291
9008            Federal financing of Presidential nominating 
                    conventions.............................         300
9009-9011

 [Reserved]

9012            Unauthorized expenditures and contributions.         316
SUBCHAPTER F--PRESIDENTIAL ELECTION CAMPAIGN FUND: PRESIDENTIAL PRIMARY 
                              MATCHING FUND
9031            Scope.......................................         318
9032            Definitions.................................         318
9033            Eligibility for payments....................         320
9034            Entitlements................................         328
9035            Expenditure limitations.....................         343
9036            Review of matching fund submissions and 
                    certification of payments by Commission.         346
9037            Payments and reporting......................         352
9038            Examinations and audits.....................         353
9039            Review and investigation authority..........         362
9040-9099

 [Reserved]

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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 52 U.S.C. 30109(a)(4)(C) and 
30111(a)(4)

[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980; 
79 FR 77843, Dec. 29, 2014]



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:
    Act means the Federal Election Campaign Act of 1971, as amended and 
chapters 95 and 96 of the Internal Revenue Code of 1954.
    Commission means the Federal Election Commission, its Commissioners 
and employees.
    Commissioner means an individual appointed to the Federal Election 
Commission pursuant to 52 U.S.C. 30106(a).
    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.
    Routine use means the use of such record for a purpose compatible 
with the purpose for which the information was collected.
    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.

[41 FR 43064, Sept. 29, 1976, as amended at 75 FR 30, Jan. 4, 2010; 79 
FR 77843, Dec. 29, 2014]



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

[[Page 6]]

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 determine which record system 
contains those records, may request assistance by mail or in person from 
the Chief Privacy Officer, 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; 
75 FR 31, Jan. 4, 2010]



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

[[Page 7]]

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 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

[[Page 8]]

    (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 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 52 U.S.C. 30107(a)(6) and (e); and to defend itself in actions 
filed against it under 52

[[Page 9]]

U.S.C. 30107(a)(6). Further the Commission has a duty to investigate 
violations of the Act under 52 U.S.C. 30109(a)(2); to conduct audits and 
investigations pursuant to 52 U.S.C. 30111(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 52 U.S.C. 30109(a)(5) and 
30107(a)(9). Information contained in FEC systems 2 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 52 
U.S.C. 30109(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; 75 FR 31, Jan. 4, 2010; 79 FR 77843, Dec. 29, 
2014]



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: 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 52 
U.S.C. 30106(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

[[Page 10]]

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 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; 79 FR 77844, Dec. 29, 2014]



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 52 U.S.C. 30109(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 52 U.S.C. 30109, 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:

[[Page 11]]

    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source,
    (v) Disclose investigative techniques and procedures, or
    (vi) Endanger the life or physical safety of law enforcement 
personnel;
    (6) Information the premature disclosure of which would be likely to 
have a considerable adverse effect on the implementation of a proposed 
Commission action, as long as the Commission has not already disclosed 
the content or nature of its proposed action, or is not required by law 
to disclose it prior to final action; or
    (7) Matters that specifically concern the Commission's participation 
in a civil action or proceeding, or an arbitration, or involving a 
determination on the record after opportunity for a hearing.
    (c) Nothwithstanding the applicability of any exemptions set forth 
in 11 CFR 2.4(b), the Commission may determine that the public interest 
requires a meeting to be open.

[50 FR 39972, Oct. 1, 1985, as amended at 75 FR 31, Jan. 4, 2010; 79 FR 
77844, Dec. 29, 2014]



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

[[Page 12]]

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 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.

[50 FR 39972, Oct. 1, 1985, as amended at 75 FR 31, Jan. 4, 2010]



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;

[[Page 13]]

    (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 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 52 U.S.C. 30106(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 and Media Relations Division of the Commission 
is that division which is responsible for, among other things, the 
processing of requests for public access to records

[[Page 14]]

which are submitted to the Commission pursuant to 52 U.S.C. 30108(d), 
30109(a)(4)(B)(ii), and 30111(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 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

[[Page 15]]

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; 79 FR 77844, Dec. 
29, 2014; 81 FR 92439, Dec. 23, 2016]



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 52 U.S.C. 30109 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.

[[Page 16]]

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 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; 79 FR 77844, Dec. 29, 2014]



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 withholding 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 work, 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 
Chief 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 Chief 
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 Chief 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 Chief 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

[[Page 17]]

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 52 U.S.C. 30109 are 
confidential by statute, the procedures outlined in Sec.  4.5(a)(4) (i) 
thru (v) are not applicable.
    (5) Inter-agency or intra-agency memoranda or letters which would 
not be available by law to a party in litigation with the Commission.
    (6) Personnel and medical files and similar files, the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy.
    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings;
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local, or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis, and, in the case of a record or information compiled 
by a criminal law enforcement authority in the course of a criminal 
investigation, or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source;
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (b) Whenever a request is made which involves access to records 
described in 11 CFR 4.5(a)(7); and
    (1) The investigation or proceeding involves a possible violation of 
criminal law; and
    (2) There is reason to believe that--
    (i) The subject of the investigation or proceeding is not aware of 
its pendency; and
    (ii) Disclosure of the existence of the records could reasonably be 
expected to interfere with enforcement proceedings;

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; 75 FR 31, Jan. 4, 2010; 79 FR 77844, Dec. 29, 2014]

[[Page 18]]



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 Chief FOIA Officer, Federal 
Election Commission, 999 E Street, NW., Washington, DC 20463. The 
request shall reasonably describe the records sought with sufficient 
specificity with respect to names, dates, and subject matter, to permit 
the records to be located. A requester will be promptly advised if the 
records cannot be located on the basis of the description given and that 
further identifying information must be provided before the request can 
be satisfied.
    (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

[[Page 19]]

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.
    (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; 75 FR 31, Jan. 4, 2010]



Sec.  4.8  Appeal of denial.

    (a) Any person who has been notified pursuant to Sec.  4.7(h) 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 twenty 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 Chief 
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; 75 
FR 31, Jan. 4, 2010; 79 FR 16663, Mar. 26, 2014; 81 FR 34863, June 1, 
2016]

[[Page 20]]



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 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

[[Page 21]]

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 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 persons 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).

[[Page 22]]

               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 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

[[Page 23]]

required by paragraph (f) (1) or (2) of this section.

[52 FR 39213, Oct. 21, 1987, as amended at 75 FR 31, Jan. 4, 2010]



PART 5_ACCESS TO PUBLIC DISCLOSURE AND MEDIA RELATIONS 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: 52 U.S.C. 30108(d), 30109(a)(4)(B)(ii), 30111(a); 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 52 U.S.C. 30109 6(a).
    (c) Request means to seek access to Commission materials subject to 
the 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 and Media Relations 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 52 U.S.C. 30109(a)(4)(B)(ii) and 30111(a).

[45 FR 31293, May 13, 1980, as amended at 65 FR 9207, Feb. 24, 2000; 79 
FR 77844, Dec. 29, 2014; 81 FR 94240, Dec. 23, 2016]



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 52 
U.S.C. 30108(d), 30109(a)(4)(B)(ii), and 30111(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.

[45 FR 31293, May 13, 1980, as amended at 79 FR 77844, Dec. 29, 2014]



Sec.  5.4  Availability of records.

    (a) In accordance with 52 U.S.C. 30111(a), the Commission shall make 
the following material available for public inspection and copying 
through the Commission's Public Disclosure and Media Relations 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 52 U.S.C. 30109 investigatory 
materials

[[Page 24]]

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 and Media Relations Division other than copies 
of such records obtained in accordance with the provisions of this part.
    (d) Release of records under this section is subject to the 
provisions of 5 U.S.C. 552a.

[45 FR 31293, May 13, 1980, as amended at 65 FR 9207, Feb. 24, 2000; 79 
FR 77844, Dec. 29, 2014; 81 FR 94240, Dec. 23, 2016]



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 
and Media Relations 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 and Media Relations Division shall be addressed to the Chief 
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 and Media Relations 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; 75 
FR 31, Jan. 4, 2010; 81 FR 94240, Dec. 23, 2016]



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

[[Page 25]]

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.
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

[[Page 26]]

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.

    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--

[[Page 27]]

    (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;
    (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.

[[Page 28]]



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 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

[[Page 29]]

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.



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

[[Page 30]]

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 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

[[Page 31]]

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 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.

[[Page 32]]

    (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



Sec.
7.1 Scope.
7.2 Definitions.
7.3 Interpretation and guidance.
7.4 Reporting suspected violations.
7.5 Corrective action.
7.6 Outside employment and activities by Commissioners.
7.7 Prohibition against making complaints and investigations public.
7.8 Ex parte communications in enforcement actions.

    Authority: 52 U.S.C. 30106, 30107, and 30111; 5 U.S.C. 7321 et seq. 
and app. 3.

    Source: 76 FR 70330, Nov. 14, 2011, unless otherwise noted.



Sec.  7.1  Scope.

    (a) The regulations in this part apply to members and employees of 
the Federal Election Commission (``Commission'').
    (b) In addition, members and employees of the Commission are subject 
to the following regulations:
    (1) 5 CFR part 735 (Employee Responsibilities and Conduct);
    (2) 5 CFR part 2634 (Executive Branch Financial Disclosure, 
Qualified Trusts, and Certificates of Divestiture);
    (3) 5 CFR part 2635 (Standards of Ethical Conduct for Employees of 
the Executive Branch); and
    (4) 5 CFR part 4701 (Supplemental Standards of Ethical Conduct for 
Employees of the Federal Election Commission).



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 member of the Federal Election Commission, 
in accordance with 52 U.S.C. 30106.
    (c) Designated Agency Ethics Official means the employee designated 
by the Commission to administer the provisions of the Ethics in 
Government Act of 1978 (5 U.S.C. appendix), as amended, and includes a 
designee of the Designated Agency Ethics Official. The General Counsel 
serves as the Commission's Designated Agency Ethics Official.
    (d) Employee means an employee of the Federal Election Commission 
and includes a special Government employee as defined in 18 U.S.C. 
202(a).
    (e) Ex parte communication means any written or oral communication 
by any person outside the agency to any Commissioner or any member of 
any Commissioner's staff, but not to any other Commission employee, that 
imparts information or argument regarding prospective Commission action 
or potential action concerning any pending enforcement matter.
    (f) Inspector General means the individual appointed by the 
Commission to administer the provisions of the Inspector General Act of 
1978, as amended (5 U.S.C. appendix), and includes any designee of the 
Inspector General.

[76 FR 70330, Nov. 14, 2011, as amended at 79 FR 77844, Dec. 29, 2014]



Sec.  7.3  Interpretation and guidance.

    (a) A Commissioner or employee seeking advice and guidance on 
matters covered by this part or 5 CFR parts 735, 2634, 2635, 2640, or 
4701 may consult with the Designated Agency Ethics Official. The 
Designated Agency Ethics Official should be consulted before undertaking 
any action that might violate this part or 5 CFR parts 735, 2634,

[[Page 33]]

2635, 2640, or 4701 governing the conduct of Commissioners or employees.
    (b) The Designated Agency Ethics Official, a Commissioner, or an 
employee may request an opinion from the Director of the Office of 
Government Ethics regarding an interpretation of 5 CFR parts 2634, 2635, 
or 2640.



Sec.  7.4  Reporting suspected violations.

    Commissioners and employees shall disclose immediately any suspected 
violation of a statute or of a rule set forth in this part or of a rule 
set forth in 5 CFR parts 735, 2634, 2635, 2640, or 4701 to the 
Designated Agency Ethics Official, the Office of Inspector General, or 
other appropriate law enforcement authorities.



Sec.  7.5  Corrective action.

    A violation of this part or 5 CFR parts 735, 2634, 2635, 2640, or 
4701 by an employee may be cause for appropriate corrective, 
disciplinary, or adverse action in addition to any penalty prescribed by 
law.



Sec.  7.6  Outside employment and activities by Commissioners.

    No member of the Commission may 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 will appropriately limit such activity no later 
than 90 days after beginning to serve as such a member.



Sec.  7.7  Prohibition against making complaints and investigations public.

    (a) Commission employees are subject to criminal penalties if they 
discuss or otherwise make public any matters pertaining to a complaint 
or investigation under 52 U.S.C. 30109, without the written permission 
of the person complained against or being investigated. Such 
communications are prohibited by 52 U.S.C. 30109(a)(12)(A).
    (b) Section 30109(a)(12)(B) of Title 52 of the United States Code 
provides as follows: ``Any member or employee of the Commission, or any 
other person, who violates the provisions of [52 U.S.C. 30109(a)(12)(A)] 
shall be fined not more than $2,000. Any such member, employee, or other 
person who knowingly and willfully violates the provisions of [52 U.S.C. 
30109(a)(12)(A)] shall be fined not more than $5,000.''

[79 FR 77844, Dec. 29, 2014]



Sec.  7.8  Ex parte communications in enforcement actions.

    In order to avoid the possibility of prejudice, real or apparent, to 
the public interest in enforcement actions pending before the Commission 
pursuant to 52 U.S.C. 30109:
    (a) Except to the extent required for the disposition of enforcement 
matters as required by law (as, for example, during the normal course of 
an investigation or a conciliation effort), no Commissioner or member of 
any Commissioner's staff 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 52 U.S.C. 30109(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 52 U.S.C. 30109(a)(2), and such 
prohibition 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 General Counsel, who shall place the 
communication in the case file.
    (d) A Commissioner or member of any Commissioner's staff involved in 
handling enforcement actions who receives an offer to make an oral 
communication 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, the

[[Page 34]]

Commissioner or any member of any Commissioner's staff shall prepare a 
statement setting forth the substance and circumstances of the 
communication and shall deliver the statement to the General Counsel for 
placing in the file in the manner set forth in paragraph (c) of this 
section.
    (e) Additional rules governing ex parte communications made in 
connection with Commission enforcement actions are found at 11 CFR 
111.22. Rules governing ex parte communications made in connection with 
public funding, Commission audits, litigation, rulemakings, and advisory 
opinions are found at 11 CFR part 201.

[76 FR 70330, Nov. 14, 2011 , as amended at 79 FR 77844, Dec. 29, 2014]



PART 8_COLLECTION OF ADMINISTRATIVE DEBTS--Table of Contents



Sec.
8.1 Purpose and scope.
8.2 Debts that are covered.
8.3 Administrative collection of claims.
8.4 Bankruptcy claims.
8.5 Interest, penalties, and administrative costs.

    Authority: 31 U.S.C. 3701, 3711, and 3716-3720A, as amended; 52 
U.S.C. 30101 et seq.; 31 CFR parts 285 and 900-904.

    Source: 75 FR 19875, Apr. 16, 2010, unless otherwise noted.



Sec.  8.1  Purpose and scope.

    This part prescribes standards and procedures under which the 
Commission will collect and dispose of certain debts owed to the United 
States, as described in 11 CFR 8.2. The regulations in this part 
implement the Debt Collection Improvement Act of 1996, 31 U.S.C. 3701, 
3711, and 3716-3720A, as amended; and the Federal Claims Collection 
Standards, 31 CFR parts 900-904. The activities covered include: the 
collection of claims of any amount; compromising claims; suspending or 
terminating the collection of claims; referring debts to the U.S. 
Department of the Treasury for collection action; and referring debts 
under this part 8 of more than $100,000 (exclusive of any interest and 
charges) to the Department of Justice for litigation.



Sec.  8.2  Debts that are covered.

    (a) The procedures covered by this part apply to debts that are 
either owed by current and former Commission employees, or arise from 
the provision of goods or services by contractors or vendors doing 
business with the Commission.
    (b) The procedures covered by this part do not apply to any of the 
following debts:
    (1) Debts that are covered by 11 CFR 111.51, regarding debts arising 
from compliance matters, administrative fines, alternative dispute 
resolution, repayments, and court judgments arising under the statutes 
specified in 11 CFR 111.51(a).
    (2) Debts involving criminal actions of fraud, the presentation of a 
false claim, or misrepresentation on the part of the debtor or any other 
person having an interest in the claim.
    (3) Debts based in whole or in part on conduct in violation of the 
antitrust laws.
    (4) Debts under the Internal Revenue Code of 1986.
    (5) Debts between the Commission and another Federal agency. The 
Commission will attempt to resolve interagency claims by negotiation in 
accordance with Executive Order 12146, 3 CFR pp. 409-12 (1980 Comp.).
    (6) Debts that have become subject to salary offset under 5 U.S.C. 
5514.



Sec.  8.3  Administrative collection of claims.

    (a) The Commission shall act to collect all claims or debts. These 
collection activities will be undertaken promptly and follow up action 
will be taken as appropriate in accordance with 31 CFR 901.1.
    (b) The Commission may take any and all appropriate collection 
actions authorized and required by the Debt Collection Act of 1982, as 
amended by the Debt Collection Improvement Act of 1996, 31 U.S.C. 3701 
et seq. The U.S. Department of the Treasury regulations at 31 CFR 285.2, 
285.4, 285.7 and 285.11, and the Federal Claims Collection Standards 
issued jointly by the Department of Justice and the U.S. Department of 
the Treasury at 31 CFR

[[Page 35]]

parts 900-904 also apply. The Commission has adopted these regulations 
by cross-reference.
    (c) The Commission will refer to the Dept. of Treasury all debt that 
has been delinquent for more than 180 days, and may refer to the Dept. 
of Treasury any debt that has been delinquent for 180 days or less. On 
behalf of the Commission, the U.S. Department of the Treasury will 
attempt to collect the debt, in accordance with the statutory and 
regulatory requirements and authorities applicable to the debt and 
action. This may include referral to another debt collection center, a 
private collection contractor, or the Department of Justice for 
litigation. See 31 CFR 285.12 (Transfer of debts to Treasury for 
collection). This requirement does not apply to any debt that:
    (1) Is in litigation or foreclosure;
    (2) Will be disposed of under an approved asset sale program;
    (3) Has been referred to a private collection contractor for a 
period of time acceptable to the U.S. Department of the Treasury; or
    (4) Will be collected under internal offset procedures within three 
years after the debt first became delinquent.
    (d) The U.S. Department of the Treasury is authorized to charge a 
fee for services rendered regarding referred or transferred debts. The 
Commission will add the fee to the debt as an administrative cost, in 
accordance with 11 CFR 8.5.



Sec.  8.4  Bankruptcy claims.

    When the Commission learns that a bankruptcy petition has been filed 
by a debtor, before proceeding with further collection action, the 
Commission will take any necessary action in accordance with the 
provision of 31 CFR 901.2(h).



Sec.  8.5  Interest, penalties, and administrative costs.

    (a) The Commission shall assess interest, penalties, and 
administrative costs on debts owed to the United States Government in 
accordance with 31 U.S.C. 3717 and 31 CFR 901.9.
    (b) The Commission shall waive collection of interest and 
administrative costs on a debt or any portion of the debt that is paid 
in full within thirty days after the date on which the interest begins 
to accrue.
    (c) The Commission may waive collection of interest, penalties, and 
administrative costs if it:
    (1) Determines that collection is against equity and good conscience 
or not in the best interest of the United States, including when an 
administrative offset or installment agreement is in effect; or
    (2) Determines that waiver is appropriate under the criteria for 
compromise of debts set forth at 31 CFR 902.2(a).
    (d) The Commission is authorized to impose interest and related 
charges on debts not subject to 31 U.S.C. 3717, in accordance with 
common law.

[[Page 36]]



                          SUBCHAPTER A_GENERAL





PART 100_SCOPE AND DEFINITIONS (52 U.S.C. 30101)--Table of Contents



                      Subpart A_General Definitions

Sec.
100.1 Scope.
100.2 Election (52 U.S.C. 30101(1)).
100.3 Candidate (52 U.S.C. 30101(2)).
100.4 Federal office (52 U.S.C. 30101(3)).
100.5 Political committee (52 U.S.C. 30101(4), (5), and (6)).
100.6 Connected organization (52 U.S.C. 30101(7)).
100.7-100.8 [Reserved]
100.9 Commission (52 U.S.C. 30101(10)).
100.10 Person (52 U.S.C. 30101(11)).
100.11 State (52 U.S.C. 30101(12)).
100.12 Identification (52 U.S.C. 30101(13)).
100.13 National committee (52 U.S.C. 30101(14)).
100.14 State Committee, subordinate committee, district, or local 
          committee (52 U.S.C. 30101(15)).
100.15 Political party (52 U.S.C. 30101(16)).
100.16 Independent expenditure (52 U.S.C. 30101(17)).
100.17 Clearly identified (52 U.S.C. 30101(18)).
100.18 Act (52 U.S.C. 30101(19)).
100.19 File, filed, or filing (52 U.S.C. 30104(a)).
100.20 Occupation (52 U.S.C. 30101(13)).
100.21 Employer (52 U.S.C. 30101(13)).
100.22 Expressly advocating (52 U.S.C. 30101(17)).
100.23 [Reserved]
100.24 Federal election activity (52 U.S.C. 30101(20)).
100.25 Generic campaign activity (52 U.S.C. 30101(21)).
100.26 Public communication (52 U.S.C. 30101(22)).
100.27 Mass mailing (52 U.S.C. 30101(23)).
100.28 Telephone bank (52 U.S.C. 30101(24)).
100.29 Electioneering communication (52 U.S.C. 30104(f)(3)).
100.30-100.32 [Reserved]
100.33 Personal funds.
100.34-100.50 [Reserved]

        Subpart B_Definition of Contribution (52 U.S.C. 30101(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 [Reserved]

                  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 aircraft or other means of transportation.
100.94 Uncompensated Internet activity by individuals that is not a 
          contribution.

        Subpart D_Definition of Expenditure (52 U.S.C. 30101(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.

[[Page 37]]

100.135 Use of a volunteer's real or personal property.
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.
100.155 Uncompensated Internet activity by individuals that is not an 
          expenditure.

    Authority: 52 U.S.C. 30101, 30104, 30111(a)(8), and 30114(c).

    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, as amended, 52 
U.S.C. 30101 et seq.

[79 FR 16663, Mar. 26, 2014, as amended at 79 FR 77844, Dec. 29, 2014]



Sec.  100.2  Election (52 U.S.C. 30101(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.

[[Page 38]]

    (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 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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(4), (5), and (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 52 U.S.C. 
30118(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

[[Page 39]]

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 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).)
    (6) Leadership PAC. Leadership PAC means a political committee that 
is directly or indirectly established, financed, maintained or 
controlled by a candidate for Federal office or an individual holding 
Federal office but which is not an authorized committee of the candidate 
or individual and which is not affiliated with an authorized committee 
of the candidate or individual, except that leadership PAC does not 
include a political committee of a political party.
    (7) Lobbyist/Registrant PAC. See 11 CFR 104.22(a)(3).
    (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;

[[Page 40]]

    (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 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.

[[Page 41]]

    (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; 74 FR 7302, Feb. 17, 2009; 79 FR 77844, Dec. 29, 
2014]



Sec.  100.6  Connected organization (52 U.S.C. 30101(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 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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(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

[[Page 42]]

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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(17)).

    (a) The term independent expenditure means an expenditure by a 
person for a 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 (52 U.S.C. 30101(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 (52 U.S.C. 30101(19)).

    Act means the Federal Election Campaign Act of 1971, as amended, 52 
U.S.C. 30101 et. seq.

[79 FR 77845, Dec. 29, 2014]



Sec.  100.19  File, filed, or filing (52 U.S.C. 30104(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) Where to deliver reports. 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. (1) A document, other than those addressed in 
paragraphs (c) through (f) of this section, is timely filed if:
    (i) Deposited:
    (A) As registered or certified mail in an established U.S. Post 
Office;
    (B) As Priority Mail or Express Mail, with a delivery confirmation, 
in an established U.S. Post Office; or

[[Page 43]]

    (C) With an overnight delivery service and scheduled to be delivered 
the next business day after the date of deposit and recorded in the 
overnight delivery service's on-line tracking system; and
    (ii) The postmark on the document must be dated no later than 11:59 
p.m. Eastern Standard/Daylight Time on the filing date, except that pre-
election reports must have a postmark dated no later than 11:59 p.m. 
Eastern Standard/Daylight Time on the fifteenth day before the date of 
the election.
    (2) Documents, other than those addressed in paragraphs (c) through 
(f) of this section, sent by first class mail or by any means other than 
those listed in paragraph (b)(1)(i) of this section must be received by 
the close of business on the prescribed filing date to be timely filed.
    (3) As used in this paragraph (b) of this section and in 11 CFR 
104.5,
    (i) Overnight delivery service means a private delivery service 
business of established reliability that offers an overnight (i.e., next 
business day) delivery option.
    (ii) Postmark means a U.S. Postal Service postmark or the verifiable 
date of deposit with an overnight delivery service.
    (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 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.

[67 FR 12839, Mar. 20, 2002, as amended at 68 FR 416, Jan. 3, 2003; 68 
FR 3995, Jan. 27, 2003; 70 FR 13091, Mar. 18, 2005; 73 FR 79601, Dec. 
30, 2008]



Sec.  100.20  Occupation (52 U.S.C. 30101(13)).

    Occupation means the principal job title or position of an 
individual and whether or not self-employed.

[[Page 44]]



Sec.  100.21  Employer (52 U.S.C. 30101(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 (52 U.S.C. 30101(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--
    (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 (52 U.S.C. 30101(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) 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.
    (i) Voter registration activity means:
    (A) Encouraging or urging potential voters to register to vote, 
whether by mail (including direct mail), e-mail, in person, by telephone 
(including pre-recorded telephone calls, phone banks and messaging such 
as SMS and MMS), or by any other means;
    (B) Preparing and distributing information about registration and 
voting;
    (C) Distributing voter registration forms or instructions to 
potential voters;
    (D) Answering questions about how to complete or file a voter 
registration form, or assisting potential voters in completing or filing 
such forms;
    (E) Submitting or delivering a completed voter registration form on 
behalf of a potential voter;
    (F) Offering or arranging to transport, or actually transporting 
potential voters to a board of elections or county clerk's office for 
them to fill out voter registration forms; or
    (G) Any other activity that assists potential voters to register to 
vote.
    (ii) Activity is not voter registration activity solely because it 
includes a brief exhortation to register to vote, so long as the 
exhortation is incidental to a communication, activity, or event. 
Examples of brief exhortations incidental to a communication, activity, 
or event include:
    (A) A mailer praises the public service record of mayoral candidate 
X and/or discusses his campaign platform.

[[Page 45]]

The mailer concludes by reminding recipients, ``Don't forget to register 
to vote for X by October 1st.''
    (B) A phone call for a State party fundraiser gives listeners 
information about the event, solicits donations, and concludes by 
reminding listeners, ``Don't forget to register to vote.''
    (3) Get-out-the-vote activity.
    (i) Get-out-the-vote activity means:
    (A) Encouraging or urging potential voters to vote, whether by mail 
(including direct mail), e-mail, in person, by telephone (including pre-
recorded telephone calls, phone banks and messaging such as SMS and 
MMS), or by any other means;
    (B) Informing potential voters, whether by mail (including direct 
mail), e-mail, in person, by telephone (including pre-recorded telephone 
calls, phone banks and messaging such as SMS and MMS), or by any other 
means, about:
    (1) Times when polling places are open;
    (2) The location of particular polling places; or
    (3) Early voting or voting by absentee ballot;
    (C) Offering or arranging to transport, or actually transporting, 
potential voters to the polls; or
    (D) Any other activity that assists potential voters to vote.
    (ii) Activity is not get-out-the-vote activity solely because it 
includes a brief exhortation to vote, so long as the exhortation is 
incidental to a communication, activity, or event. Examples of brief 
exhortations incidental to a communication, activity, or event include:
    (A) A mailer praises the public service record of mayoral candidate 
X and/or discusses his campaign platform. The mailer concludes by 
reminding recipients, ``Vote for X on November 4th.''
    (B) A phone call for a State party fundraiser gives listeners 
information about the event, solicits donations, and concludes by 
reminding listeners, ``Don't forget to vote on November 4th.''
    (4) Voter identification means acquiring information about potential 
voters, including, but not limited to, obtaining voter lists and 
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. The date a voter list is 
acquired shall govern whether a State, district, or local party 
committee has obtained a voter list within the meaning of this section.
    (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.
    (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:

[[Page 46]]

    (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.
    (5) Voter identification activity that is conducted solely in 
connection with a non-Federal election held on a date on which no 
Federal election is held, and which is not used in a subsequent election 
in which a Federal candidate appears on the ballot.
    (6) Get-out-the-vote activity that is conducted solely in connection 
with a non-Federal election held on a date on which no Federal election 
is held, provided that any communications made as part of such activity 
refer exclusively to:
    (i) Non-Federal candidates participating in the non-Federal 
election, if the non-Federal candidates are not also Federal candidates;
    (ii) Ballot referenda or initiatives scheduled for the date of the 
non-Federal election; or
    (iii) The date, polling hours, and locations of the non-Federal 
election.
    (7) De minimis costs associated with the following:
    (i) On the Web site of a party committee or an association of State 
or local candidates, posting a hyperlink to a state or local election 
board's web page containing information on voting or registering to 
vote;
    (ii) On the Web site of a party committee or an association of State 
or local candidates, enabling visitors to download a voter registration 
form or absentee ballot application;
    (iii) On the Web site of a party committee or an association of 
State or local candidates, posting information about voting dates and/or 
polling locations and hours of operation; or
    (iv) Placing voter registration forms or absentee ballot 
applications obtained from the board of elections at the office of a 
party committee or an association of State or local candidates.

[67 FR 49110, July 29, 2002, as amended at 71 FR 8932, Feb. 22, 2006; 71 
FR 14360, Mar. 22, 2006; 75 FR 55267, Sept. 10, 2010]



Sec.  100.25  Generic campaign activity (52 U.S.C. 30101(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 (52 U.S.C. 30101(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 general public political advertising shall not 
include communications over the Internet, except for communications 
placed for a fee on another person's Web site.

[71 FR 18612, Apr. 12, 2006]



Sec.  100.27  Mass mailing (52 U.S.C. 30101(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

[[Page 47]]

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 (52 U.S.C. 30101(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 (52 U.S.C. 30104(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 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 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

[[Page 48]]

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 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

[[Page 49]]

    (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 communication was publicly distributed could not be 
received by 50,000 persons or more.
    (c) The following communications are exempt from the definition of 
electioneering communication. 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; or
    (5) Is paid for by a candidate for State or local office in 
connection with an election to State or local office, provided that the 
communication does not promote, support, attack or oppose any Federal 
candidate. See 11 CFR 300.71 for communications paid for by a candidate 
for State or local office that promotes, supports, attacks or opposes a 
Federal candidate.

[67 FR 65210, 65217, Oct. 23, 2002, as amended at 70 FR 75717, Dec. 21, 
2005; 79 FR 16663, Mar. 26, 2014]



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, of 
the candidate, including:
    (1) A salary and other earned income that the candidate earns from 
bona fide employment;

[[Page 50]]

    (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;
    (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; 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.

[73 FR 79601, Dec. 30, 2008]



Sec. Sec.  100.34-100.50  [Reserved]



        Subpart B_Definition of Contribution (52 U.S.C. 30101(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 100.82 and 100.83), 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 52 U.S.C. 
30116 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

[[Page 51]]

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 110.20 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 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; 79 
FR 16663, Mar. 26, 2014; 79 FR 77845, Dec. 29, 2014]



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 100.85 and 100.86, 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.

[67 FR 50585, Aug. 5, 2002, as amended at 81 FR 34863, June 1, 2016]



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

[[Page 52]]

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  [Reserved]



                  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), Web site, newspaper, magazine, or 
other periodical publication, including any Internet or electronic 
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:
    (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

[[Page 53]]

all opposing candidates in the circulation or listening area, is not a 
contribution.

[67 FR 50585, Aug. 5, 2002, as amended at 71 FR 18613, Apr. 12, 2006]



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 $1,000 with respect to a single 
election; and

[[Page 54]]

    (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;
    (2) The overdraft is subject to a definite interest rate that is 
usual and customary; and

[[Page 55]]

    (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 
100.83.

[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 79 
FR 16663, Mar. 26, 2014]



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 deemed to have contributed that portion of the total amount of 
the loan derived from an advance on a candidate's

[[Page 56]]

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 57]]



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 58]]

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 52 U.S.C. 30116(d) and 11 CFR 109.32.

[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 79 
FR 77845, Dec. 29, 2014]



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 59]]

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 paragraph (d) of this section.
    (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 52 U.S.C. 30116(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; 75 FR 31, Jan. 4, 2010; 79 FR 77845, Dec. 29, 
2014]



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 aircraft or other means of transportation.

    (a) Scope and definitions. (1) This section applies to all campaign 
travelers who use non-commercial travel.
    (2) Campaign travelers who use commercial travel, 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 candidate traveling in connection with an election for 
Federal office or 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 aircraft or other 
conveyance, or a person who leases an aircraft or other conveyance from 
the owner or otherwise obtains a legal right to the use of an aircraft 
or other conveyance, and who uses the aircraft or other conveyance to 
provide transportation to a campaign traveler. For a jointly owned or 
leased aircraft or other conveyance, the service provider is the person 
who makes the aircraft 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.
    (iv) Commercial travel means travel aboard:
    (A) An aircraft operated by an air carrier or commercial operator 
certificated by the Federal Aviation Administration, provided that the 
flight is required to be conducted under Federal Aviation Administration 
air carrier safety rules, or, in the case of travel which is abroad, by 
an air carrier or commercial operator certificated by an appropriate 
foreign civil aviation authority, provided that the flight is required 
to be conducted under air carrier safety rules; or
    (B) Other means of transportation operated for commercial passenger 
service.
    (v) Non-commercial travel means travel aboard any conveyance that is 
not

[[Page 60]]

commercial travel, as defined in paragraph (a)(3)(iv) of this section.
    (vi) Comparable aircraft means an aircraft of similar make and model 
as the aircraft that actually makes the trip, with similar amenities as 
that aircraft.
    (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 pays the service 
provider, within the required time, for the full value of the 
transportation, as determined in accordance with paragraphs (c), (d), 
(e) or (g) 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), (e) or (g) 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.
    (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. Contributions are subject to the reporting requirements, 
limitations and prohibitions of the Act.
    (3) When a candidate is accompanied by a member of the news media, 
or by security personnel provided by any Federal or State government, 
the news media or government security provider may reimburse the 
political committee paying for the pro-rata share of the travel by the 
member of the media or security personnel, or may pay the service 
provider directly for that pro-rata share, up to the applicable amount 
set forth in paragraphs (c)(1), (c)(3), (d), (e), or (g) of this 
section. A payment made directly to the service provider may be 
subtracted from the amount for which the political committee is 
otherwise responsible without any contribution resulting. No 
contribution results from reimbursement by the media or a government 
security provider to a political committee in accordance with this 
paragraph.
    (c) Travel on aircraft. When a campaign traveler uses aircraft for 
non-commercial travel, other than a government aircraft described in 
paragraph (e) of this section or a candidate or family owned aircraft 
described in paragraph (g) of this section, reimbursement must be 
provided no later than seven (7) calendar days after the date the flight 
began at one of the following rates to avoid the receipt of an in-kind 
contribution:
    (1) Travel by or on behalf of Senate, presidential, or vice-
presidential candidates. A Senate, presidential, or vice-presidential 
candidate traveling on his own behalf, or any person traveling on behalf 
of such candidate or the candidate's authorized committee must pay the 
pro rata share per campaign traveler of the normal and usual charter 
fare or rental charge for travel on a comparable aircraft of comparable 
size. The pro rata share shall be calculated by dividing the normal and 
usual charter fare or rental charge by the number of campaign travelers 
on the flight that are traveling on behalf of such candidates or their 
authorized committees, including members of the news media, and security 
personnel traveling with a candidate. No portion of the normal and usual 
charter fare or rental charge may be attributed to any campaign 
travelers that are not traveling on behalf of such candidates or their 
authorized committees, or any other passengers, except as permitted 
under paragraph (b)(3) of this section.
    (2) Travel by or on behalf of House candidates and their leadership 
PACs. Except as otherwise provided in paragraphs (e) and (g) of this 
section, a campaign traveler who is a candidate for election for the 
office of Representative in, or Delegate or Resident Commissioner to, 
the Congress, or a person traveling on behalf of any such candidate or 
any authorized committee or leadership PAC of such candidate, is

[[Page 61]]

prohibited from non-commercial travel on behalf of any such candidate or 
any authorized committee or leadership PAC of such candidate.
    (3) Other campaign travelers. When a candidate's authorized 
committee pays for a flight pursuant to paragraph (c)(1) of this 
section, no payment is required from other campaign travelers on that 
flight. Otherwise, a campaign traveler not covered by paragraphs (c)(1) 
or (c)(2) of this section, including persons traveling on behalf of a 
political party committee, separate segregated fund, nonconnected 
political committee, or a leadership PAC other than a leadership PAC of 
a candidate for election for the office of Representative in, or 
Delegate or Resident Commissioner to, the Congress, must pay the service 
provider no less than the following for each leg of the trip:
    (i) 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;
    (ii) 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
    (iii) 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 aircraft of 
sufficient size to accommodate all campaign travelers, and security 
personnel, if applicable.
    (d) Other means of transportation. If a campaign traveler uses any 
means of transportation other than an aircraft, including an automobile, 
or train, or boat, 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) Travel by or on behalf of 
candidates, their authorized committees, or House candidate Leadership 
PACs. If a campaign traveler traveling on behalf of a candidate, an 
authorized committee, or the leadership PAC of a House candidate uses an 
aircraft 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 government entity, 
within the time specified by that government entity, either:
    (i) The pro rata share per campaign traveler of the normal and usual 
charter fare or rental charge for the flight on a comparable aircraft of 
sufficient size to accommodate all campaign travelers. The pro rata 
share shall be calculated by dividing the normal and usual charter fare 
or rental charge by the number of campaign travelers on the flight that 
are traveling on behalf of candidates, authorized committees, or House 
candidate leadership PACs, including members of the news media, and 
security personnel, if applicable. No portion of the normal and usual 
charter fare or rental charge may be attributed to any other campaign 
travelers or any other passengers, except as permitted under paragraph 
(b)(3) of this section. For purposes of this paragraph, the comparable 
aircraft need not accommodate any government-required personnel and 
equipment; or
    (ii) The private traveler reimbursement rate, as specified by the 
governmental entity providing the aircraft, per campaign traveler.
    (2) Other campaign travelers. When a candidate's authorized 
committee, or a House candidate's leadership PAC pays for a flight 
pursuant to paragraph (e)(1) of this section, no payment is required 
from any other campaign travelers on that flight. Otherwise, a campaign 
traveler not covered by paragraph (e)(1) of this section, including 
persons traveling on behalf of a political party committee, separate 
segregated fund, nonconnected political committee, or a

[[Page 62]]

leadership PAC other than a leadership PAC of a candidate for the office 
of Representative in, or Delegate or Resident Commissioner to, the 
Congress, must pay the government entity, within the time specified by 
that government entity, either:
    (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)(3) of 
this section.
    (3) If a campaign traveler uses a conveyance, other than an 
aircraft, 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 government entity in 
accordance with paragraph (d) of this section.
    (f) Date and public availability of payment rate. For purposes of 
paragraphs (c), (d), (e), and (g) 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), (d), (e) 
or (g) of this section.
    (g) Aircraft owned or leased by a candidate or a candidate's 
immediate family member. (1) For non-commercial travel by a candidate, 
or a person traveling on behalf of a candidate, on an aircraft owned or 
leased by that candidate or an immediate family member of that 
candidate, the candidate's authorized committee must pay:
    (i) In the case of travel on an aircraft that is owned or leased 
under a shared-ownership or other time-share arrangement, where the 
travel does not exceed the candidate's or immediate family member's 
proportional share of the ownership interest in the aircraft, the 
hourly, mileage, or other applicable rate charged the candidate, 
immediate family member, or other service provider for the costs of the 
travel; or
    (ii) In the case of travel on an aircraft that is owned or leased 
under a shared-ownership or other time-share arrangement, where the 
travel exceeds the candidate's or immediate family member's proportional 
share of the ownership interest in the aircraft, the rate specified in 
paragraph (c) of this section (House candidates are prohibited from 
engaging in such travel); or
    (iii) In the case of travel on an aircraft that is not owned or 
leased under a shared-ownership or other time-share arrangement, the pro 
rata share per campaign traveler of the costs associated with the trip. 
Associated costs include, but are not limited to, the cost of fuel and 
crew, and a proportionate share of maintenance costs.
    (2) A candidate, or an immediate family member of the candidate, 
will be considered to own or lease an aircraft under paragraph (g)(1) of 
this section if the candidate or the immediate family member of the 
candidate has an ownership interest in an entity that owns the aircraft, 
provided that the entity is not a corporation with publicly traded 
shares.
    (3) A proportional share of the ownership interest in an aircraft 
means the amount of use to which the candidate or immediate family 
member is entitled under an ownership or lease agreement. Prior to each 
flight, the candidate's committee must obtain a certification from the 
service provider that the candidate's planned use of the aircraft will 
not exceed the candidate's or immediate family member's proportional 
share of use under the ownership or lease agreement. See paragraph (j) 
of this section for related recordkeeping requirements.
    (4) For the purposes of this section, an ``immediate family member'' 
of a candidate is the father, mother, son, daughter, brother, sister, 
husband, wife, father-in-law, or mother-in-law of the candidate.
    (h) Preemption. In all respects, State and 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.
    (i) Reporting. (1) In accordance with 11 CFR 104.13, a political 
committee on whose behalf the unreimbursed travel

[[Page 63]]

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.
    (j) Recordkeeping. (1) For travel on non-commercial aircraft 
conducted under paragraphs (c)(1), (c)(3)(iii), (e)(1), or (g) of this 
section, 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 aircraft) of the aircraft 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)(A) The rate for the comparable charter aircraft available in 
accordance with paragraphs (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; or
    (B) The private traveler reimbursement rate available in accordance 
with paragraph (e)(1)(ii) of this section, and the dates on which the 
rate is based.
    (iv) Where the travel is aboard an aircraft owned in part by the 
candidate or an immediate family member of the candidate, the ownership 
or lease agreement specifying the amount of use of the aircraft 
corresponding to the candidate's or an immediate family member's 
ownership interest in the aircraft, as required by paragraph (g)(1)(i) 
and (ii) and (g)(3) of this section, and the certification required by 
paragraph (g)(3) of this section.
    (2) For travel on non-commercial aircraft conducted under paragraph 
(c)(3)(i), (c)(3)(ii), or (e)(2)(i) of this section, 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 aircraft) of the aircraft 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)(3), (e)(2)(i), 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.
    (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 paragraphs (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.

[74 FR 63964, Dec. 7, 2009]



Sec.  100.94  Uncompensated Internet activity by individuals that is
not a contribution.

    (a) When an individual or a group of individuals, acting 
independently or in coordination with any candidate, authorized 
committee, or political party committee, engages in Internet activities 
for the purpose of influencing a Federal election, neither of the 
following is a contribution by that individual or group of individuals:
    (1) The individual's uncompensated personal services related to such 
Internet activities;

[[Page 64]]

    (2) The individual's use of equipment or services for uncompensated 
Internet activities, regardless of who owns the equipment and services.
    (b) Internet activities. For the purposes of this section, the term 
``Internet activities'' includes, but is not limited to: Sending or 
forwarding electronic messages; providing a hyperlink or other direct 
access to another person's Web site; blogging; creating, maintaining, or 
hosting a Web site; paying a nominal fee for the use of another person's 
Web site; and any other form of communication distributed over the 
Internet.
    (c) Equipment and services. For the purposes of this section, the 
term ``equipment and services'' includes, but is not limited to: 
Computers, software, Internet domain names, Internet Service Providers 
(ISP), and any other technology that is used to provide access to or use 
of the Internet.
    (d) Paragraph (a) of this section also applies to any corporation 
that is wholly owned by one or more individuals, that engages primarily 
in Internet activities, and that does not derive a substantial portion 
of its revenues from sources other than income from its Internet 
activities.
    (e) This section does not exempt from the definition of 
contribution:
    (1) Any payment for a public communication (as defined in 11 CFR 
100.26) other than a nominal fee;
    (2) Any payment for the purchase or rental of an e-mail address list 
made at the direction of a political committee; or
    (3) Any payment for an e-mail address list that is transferred to a 
political committee.

[71 FR 18613, Apr. 12, 2006, as amended at 81 FR 94240, Dec. 23, 2016]



        Subpart D_Definition of Expenditure (52 U.S.C. 30101(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.

[[Page 65]]

    (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.



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 news story, commentary, 
or

[[Page 66]]

editorial by any broadcasting station (including a cable television 
operator, programmer or producer), Web site, newspaper, magazine, or 
other periodical publication, including any Internet or electronic 
publication, is not an expenditure unless the facility is owned or 
controlled by any political party, political committee, or candidate, in 
which case the cost 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.

[67 FR 50585, Aug. 5, 2002, as amended at 71 FR 18613, Apr. 12, 2006]



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 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 31.3402(a)-(1).
    (3) Individuals on commission may be considered executive or 
administrative

[[Page 67]]

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.
    (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

[[Page 68]]

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.

[67 FR 50585, Aug. 5, 2002, as amended at 79 FR 16663, Mar. 26, 2014]



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 100.135 and 100.136 
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.

[67 FR 50585, Aug. 5, 2002, as amended at 79 FR 77845, Dec. 29, 2014]

[[Page 69]]



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 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

[[Page 70]]

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 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.

[[Page 71]]

    (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 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

[[Page 72]]

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 52 U.S.C. 30116(d) 
and 11 CFR 109.32.

[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 79 
FR 77845, Dec. 29, 2014]



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

[[Page 73]]

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.
    (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 52 U.S.C. 30116(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; 79 FR 77845, Dec. 29, 2014]



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

[[Page 74]]

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 100.33, 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.

[67 FR 50585, Aug. 5, 2002, as amended at 73 FR 79601, Dec. 30, 2008]



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.



Sec.  100.155  Uncompensated Internet activity by individuals that is not
an expenditure.

    (a) When an individual or a group of individuals, acting 
independently or in coordination with any candidate, authorized 
committee, or political party committee, engages in Internet activities 
for the purpose of influencing a Federal election, neither of the 
following is an expenditure by that individual or group of individuals:
    (1) The individual's uncompensated personal services related to such 
Internet activities;
    (2) The individual's use of equipment or services for uncompensated 
Internet activities, regardless of who owns the equipment and services.
    (b) Internet activities. For the purposes of this section, the term 
``Internet activities'' includes, but is not limited to: Sending or 
forwarding electronic messages; providing a hyperlink or other direct 
access to another person's website; blogging; creating, maintaining, or 
hosting a website; paying a nominal fee for the use of another person's 
website; and any other form of communication distributed over the 
Internet.
    (c) Equipment and services. For the purposes of this section, the 
term ``equipment and services'' includes, but is not limited to: 
Computers, software, Internet domain names, Internet Service Providers 
(ISP), and any other technology that is used to provide access to or use 
of the Internet.
    (d) Paragraph (a) of this section also applies to any corporation 
that is wholly owned by one or more individuals, that engages primarily 
in Internet activities, and that does not derive a substantial portion 
of its revenues from sources other than income from its Internet 
activities.
    (e) This section does not exempt from the definition of expenditure:
    (1) Any payment for a public communication (as defined in 11 CFR 
100.26) other than a nominal fee;
    (2) Any payment for the purchase or rental of an e-mail address list 
made at the direction of a political committee; or

[[Page 75]]

    (3) Any payment for an e-mail address list that is transferred to a 
political committee.

[71 FR 18613, Apr. 12, 2006, as amended at 81 FR 94240, Dec. 23, 2016]



PART 101_CANDIDATE STATUS AND DESIGNATIONS (52 U.S.C. 30102(e))
--Table of Contents



Sec.
101.1 Candidate designations (52 U.S.C. 30102(e)(1)).
101.2 Candidate as agent of authorized committee (52 U.S.C. 
          30102(e)(2)).
101.3 Funds received or expended prior to becoming a candidate (52 
          U.S.C. 30102(e)(2)).

    Authority: 52 U.S.C. 30102(e), 30104(a)(11), and 30111(a)(8).



Sec.  101.1  Candidate designations (52 U.S.C. 30102(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). 
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; 73 FR 79601, Dec. 
30, 2008]



Sec.  101.2  Candidate as agent of authorized committee 
(52 U.S.C. 30102(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
(52 U.S.C. 30102(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 100.72 and 11 CFR 100.131 or the 
individual's campaign prior to becoming a candidate.

[50 FR 9995, Mar. 13, 1985, as amended at 67 FR 78680, Dec. 26, 2002; 75 
FR 31, Jan. 4, 2010]

[[Page 76]]



PART 102_REGISTRATION, ORGANIZATION, AND RECORDKEEPING BY POLITICAL 
COMMITTEES (52 U.S.C. 30103)--Table of Contents



Sec.
102.1 Registration of political committees (52 U.S.C. 30103(a)).
102.2 Statement of organization: Forms and committee identification 
          number (52 U.S.C. 30103(b), (c)).
102.3 Termination of registration (52 U.S.C. 30103(d)(1)).
102.4 Administrative termination (52 U.S.C. 30103(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 (52 U.S.C. 30102(a)).
102.8 Receipt of contributions (52 U.S.C. 30102(b)).
102.9 Accounting for contributions and expenditures (52 U.S.C. 
          30102(c)).
102.10 Disbursement by check (52 U.S.C. 30102(h)(1)).
102.11 Petty cash fund (52 U.S.C. 30102(h)(2)).
102.12 Designation of principal campaign committee (52 U.S.C. 
          30102(e)(1) and (3)).
102.13 Authorization of political committees (52 U.S.C. 30102(e)(1) and 
          (3)).
102.14 Names of political committees (52 U.S.C. 30102(e)(4) and (5)).
102.15 Commingled funds (52 U.S.C. 30102(b)(3)).
102.16 Notice: Solicitation of contributions (52 U.S.C. 30120).
102.17 Joint fundraising by committees other than separate segregated 
          funds.

    Authority: 52 U.S.C. 30102, 30103, 30104(a)(11), 30111(a)(8), and 
30120.

    Source: 45 FR 15104, Mar. 7, 1980, unless otherwise noted.



Sec.  102.1  Registration of political committees (52 U.S.C. 30103(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 52 U.S.C. 30118(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.

[45 FR 15104, Mar. 7, 1980, as amended at 79 FR 77845, Dec. 29, 2014]



Sec.  102.2  Statement of organization: Forms and committee identification
number (52 U.S.C. 30103(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 77]]

    (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 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; 73 FR 79601, Dec. 30, 
2008]

[[Page 78]]



Sec.  102.3  Termination of registration (52 U.S.C. 30103(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 (52 U.S.C. 30103(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 79]]

    (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 80]]

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 81]]

    (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 82]]

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 (52 U.S.C. 30102(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 (52 U.S.C. 30102(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 83]]

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
(52 U.S.C. 30102(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 84]]

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(l), concerning designations, redesignations, reattributions 
and the dates of contributions. If the treasurer does not maintain this 
documentation, 11 CFR 110.1(l)(5) shall apply.

[45 FR 15104, Mar. 7, 1980, as amended at 52 FR 773, Jan. 9, 1987; 67 FR 
69946, Nov. 19, 2002;79 FR 16663, Mar. 26, 2014]



Sec.  102.10  Disbursement by check (52 U.S.C. 30102 (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 (52 U.S.C. 30102(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

[[Page 85]]

disbursements. This written journal shall include the name and address 
of every person to whom any disbursement is made, as well as the date, 
amount, and purpose of such disbursement. In addition, if any 
disbursement is made for a candidate, the journal shall include the name 
of that candidate and the office (including State and Congressional 
district) sought by such candidate.



Sec.  102.12  Designation of principal campaign committee
(52 U.S.C. 30102(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 than 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 
$2,000 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.

[45 FR 15104, Mar. 7, 1980, as amended at 71 FR 54899, Sept. 20, 2006]



Sec.  102.13  Authorization of political committees
(52 U.S.C. 30102(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 
$2,000 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; 71 
FR 54899, Sept. 20, 2006]



Sec.  102.14  Names of political committees
(52 U.S.C. 30102(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

[[Page 86]]

of any candidate in its name. For purposes of this paragraph, ``name'' 
includes any name under which a committee conducts activities, such as 
solicitations or other communications, including a special project name 
or other designation.
    (b)(1) A delegate committee, as defined at 11 CFR 100.5(e)(5), shall 
include the word 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 (52 U.S.C. 30102(b)(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 52 U.S.C. 30118.

[45 FR 15104, Mar. 7, 1980, as amended at 79 FR 77846, Dec. 29, 2014]



Sec.  102.16  Notice: Solicitation of contributions (52 U.S.C. 30120).

    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.

[[Page 87]]

    (2) The procedures in 11 CFR 102.17(c) will govern all joint 
fundraising activity conducted under this section. The participants in 
joint fundraising activity may include political party committees 
(whether or not they are political committees under 11 CFR 100.5), 
candidate committees, multicandidate committees, and unregistered 
organizations which do not qualify as collecting agents under 11 CFR 
102.6(b).
    (3) A fundraising representative conducting joint fundraising under 
this section is distinguished from an unregistered organization acting 
as a collecting agent under 11 CFR 102.6(b). If a separate segregated 
fund or an unregistered organization qualifies and acts as a collecting 
agent under 11 CFR 102.6(b), the provisions of 11 CFR 102.17 will not 
apply to that fundraising activity.
    (b) 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

[[Page 88]]

    (D) A statement informing contributors that the allocation formula 
may change if a contributor makes a contribution which would exceed the 
amount that contributor may give to any participant.
    (ii) In the following situations, the notice shall include the 
following additional information:
    (A) If one or more participants engage in the joint fundraising 
activity solely to satisfy outstanding debts, a statement informing 
contributors that the allocation formula may change if a participant 
receives sufficient funds to pay its outstanding debts; and
    (B) If one or more participants can lawfully accept contributions 
that are prohibited under the Act, a statement informing contributors 
that contributions from prohibited sources will be distributed only to 
those participants that can accept them.
    (3) 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

[[Page 89]]

representative may reallocate the excess 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 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 affiliated as defined in 11 CFR 
110.3 prior to the joint fundraising activity or if participants are 
party committees of the same political party, expenses need not be 
allocated among those participants. Payment of such expenses by an 
unregistered committee or organization on behalf of an affiliated 
political committee may cause the unregistered organization to become a 
political committee.
    (iii) Payment of expenses may be made from gross proceeds by the 
fundraising representative.
    (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 (52 U.S.C. 30102(h))--Table of Contents



Sec.
103.1 Notification of the commission.
103.2 Depositories (52 U.S.C. 30102(h)(1)).
103.3 Deposit of receipts and disbursements (52 U.S.C. 30102(h)(1)).
103.4 Vice Presidential candidate campaign depositories.

    Authority: 52 U.S.C. 30102(h), 30111(a)(8).

[[Page 90]]


    Source: 45 FR 15108, Mar. 7, 1980, unless otherwise noted.



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 (52 U.S.C. 30102(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 (52 U.S.C. 30102(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

[[Page 91]]

the net debts outstanding provisions of 11 CFR 110.1(b)(3) and 
110.2(b)(3) may be either deposited into a campaign depository under 11 
CFR 103.3(a) or returned to the contributor. If any such contribution is 
deposited, the treasurer may request redesignation or reattribution of 
the contribution by the contributor in accordance with 11 CFR 110.1(b), 
110.1(k) or 110.2(b), as appropriate. If a redesignation or 
reattribution is not obtained, the treasurer shall, within sixty days of 
the treasurer's receipt of the contribution, refund the contribution to 
the contributor.
    (4) Any contribution which appears to be illegal under 11 CFR 
103.3(b) (1) or (3), and which is deposited into a campaign depository 
shall not be used for any disbursements by the political committee until 
the contribution has been determined to be legal. The political 
committee must either establish a separate account in a campaign 
depository for such contributions or maintain sufficient funds to make 
all such refunds.
    (5) If a contribution which appears to be illegal under 11 CFR 
103.3(b) (1) or (3) is deposited in a campaign depository, the treasurer 
shall make and retain a written record noting the basis for the 
appearance of illegality. A statement noting that the legality of the 
contribution is in question shall be included in the report noting the 
receipt of the contribution. If a contribution is refunded to the 
contributor because it cannot be determined to be legal, the treasurer 
shall note the refund on the report covering the reporting period in 
which the refund is made.

[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
(52 U.S.C. 30104)--Table of Contents



Sec.
104.1 Scope (52 U.S.C. 30104(a)).
104.2 Forms.
104.3 Contents of reports (52 U.S.C. 30104(b), 30114).
104.4 Independent expenditures by political committees (52 U.S.C. 
          30104(b), (d), and (g)).
104.5 Filing dates (52 U.S.C. 30104(a)(2)).
104.6 Form and content of internal communications reports (52 U.S.C. 
          30101(9)(B)(iii)).
104.7 Best efforts (52 U.S.C. 30102(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 (52 U.S.C. 30111(a)(4)).
104.16 Audits (52 U.S.C. 30111(b)).
104.17 Reporting of allocable expenses by party committees.
104.18 Electronic filing of reports (52 U.S.C. 30102(d) and 
          30104(a)(11)).
104.19 [Reserved]
104.20 Reporting electioneering communications (2 U.S.C. 434(f)).
104.21 Reporting by inaugural committees.
104.22 Disclosure of bundling by Lobbyist/Registrants and Lobbyist/
          Registrant PACs (52 U.S.C. 30104(i)).

    Authority: 52 U.S.C. 30101(1), 30101(8), 30101(9), 30102(i), 30104, 
30111(a)(8) and (b), 30114, 30116, 36 U.S.C. 510.

    Source: 45 FR 15108, Mar. 7, 1980, unless otherwise noted.



Sec.  104.1  Scope (52 U.S.C. 30104(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.

[[Page 92]]

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 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 (52 U.S.C. 30104(b), 30114).

    (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;

[[Page 93]]

    (vii) Offsets to operating expenditures;
    (A) Itemized offsets to operating expenditures (such as rebates and 
refunds);
    (B) Unitemized offsets to operating expenditures (such as rebates 
and refunds);
    (C) Total offsets to operating expenditures;
    (viii) Other receipts:
    (A) Itemized other receipts (such as dividends and interest);
    (B) Unitemized other receipts (such as dividends and interest);
    (C) The total sum of all other receipts.
    (ix) The total sum of all receipts.
    (3) 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 (52 U.S.C. 
30116(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 100.83 and 100.143; 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.

[[Page 94]]

    (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 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;

[[Page 95]]

    (vii) Independent expenditures made by the reporting committee;
    (viii) Expenditures made under 11 CFR part 109, subpart D (52 U.S.C. 
30116(d)), See 11 CFR 104.3(a)(3)(iii);
    (ix) Other disbursements;
    (A) Itemized other disbursements;
    (B) Unitemized other disbursements;
    (C) Total other disbursements;
    (x) Total disbursements.
    (2) 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 100.83 and 100.143;
    (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 
(52 U.S.C. 30116(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 description 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,

[[Page 96]]

in the case of a contribution to an authorized committee, the 
candidate's name and office sought (including State and Congressional 
district, if applicable);
    (vi) Each person who has received a loan from the reporting 
committee during the reporting period, together with the date and amount 
or value of such loan;
    (vii) (A) Each person who receives any disbursement during the 
reporting period in an aggregate amount or value in excess of $200 
within the calendar year in connection with an independent expenditure 
by the reporting committee, together with the date, amount, and purpose 
of any such independent expenditure(s);
    (B) For each independent expenditure reported, the committee must 
also provide a statement which indicates whether such independent 
expenditure is in support of, or in opposition to a particular 
candidate, as well as the name of the candidate and office sought by 
such candidate (including State and Congressional district, when 
applicable), and a certification, under penalty of perjury, as to 
whether such independent expenditure is made in cooperation, 
consultation or concert with, or at the request or suggestion of, any 
candidate or any authorized committee or agent of such committee;
    (C) The information required by 11 CFR 104.3(b)(3)(vii) (A) and (B) 
shall be reported on Schedule E as part of a report covering the 
reporting period in which the aggregate disbursements for any 
independent expenditure to any person exceed $200 per calendar year. 
Schedule E shall also include the total of all such expenditures of $200 
or less made during the reporting period.
    (viii) Each person who receives any expenditure from the reporting 
committee during the reporting period in connection with an expenditure 
under 11 CFR part 109, subpart D (52 U.S.C. 30116(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,

[[Page 97]]

credit card, home equity line of credit, or other lines of credit 
described in 11 CFR 100.83 and 100.143, from the reporting committee 
during the reporting period, together with the date and amount of such 
loan repayment;
    (iv) [Reserved]
    (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 100.83, 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

[[Page 98]]

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 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 
100.83 and 100.143 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

[[Page 99]]

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 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]

    Editorial Note: For Federal Register citations affecting Sec.  
104.3, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec.  104.4  Independent expenditures by political committees 
(52 U.S.C. 30104(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. For each election in 
which a political committee makes independent expenditures, the 
political committee shall aggregate its independent expenditures made in 
each calendar year to determine its reporting obligation. When a 
committee makes independent expenditures aggregating less than $10,000 
for an election in any calendar year, up to and including the 20th day 
before an election, the committee must report those independent 
expenditures on Schedule E of FEC Form 3X, at the time of its regular 
reports in accordance with 11 CFR 104.3, 104.5, and 104.9.
    (2) Independent expenditures aggregating $10,000 or more in a 
calendar year. For each election in which a political committee makes 
independent expenditures, the political committee shall aggregate its 
independent expenditures made in each calendar year to determine its 
reporting obligation. When a committee makes independent expenditures 
aggregating $10,000 or more for an election in any calendar year, up to 
and including the 20th day before an election, it must report those 
independent expenditures on Schedule E of FEC Form 3X. Political 
committees

[[Page 100]]

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 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.

[[Page 101]]

    (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 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, as amended at 81 FR 34863, June 1, 2016]



Sec.  104.5  Filing dates (52 U.S.C. 30104(a)(2)).

    (a) Principal campaign committee of House of Representatives or 
Senate candidate. Each treasurer of a principal campaign committee of a 
candidate for the House of Representatives or for the Senate must file 
quarterly reports on the dates specified in paragraph (a)(1) of this 
section in both election years and non-election years, and must file 
additional reports on the dates specified in paragraph (a)(2) of this 
section in election years.
    (1) Quarterly reports. (i) Quarterly reports must be filed no later 
than the 15th day following the close of the immediately preceding 
calendar quarter (on April 15, July 15, and October 15), except that the 
report for the final calendar quarter of the year must be filed no later 
than January 31 of the following calendar year.
    (ii) The report must be complete as of the last day of each calendar 
quarter.
    (iii) The requirement for a quarterly report shall be waived if, 
under paragraph (a)(2) of this section, a pre-election report is 
required to be filed during the period beginning on the 5th day after 
the close of the calendar quarter and ending on the 15th day after the 
close of the calendar quarter.
    (2) Additional reports in the election year. (i) Pre-election 
reports. (A) Pre-election reports for the primary and general election 
must be filed no later than 12 days before any primary or general 
election in which the candidate seeks election. If sent by registered or 
certified mail, Priority Mail or Express Mail with a delivery 
confirmation, or with an overnight delivery service and scheduled to be 
delivered the next business day after the date of deposit and recorded 
in the overnight delivery service's on-line tracking system, the 
postmark on the report must be dated no later than the 15th day before 
any election.
    (B) The pre-election report must disclose all receipts and 
disbursements as of the 20th day before a primary or general election.
    (ii) Post-general election report. (A) The post-general election 
report must be filed no later than 30 days after any general election in 
which the candidate seeks election.
    (B) The post-general election report must be complete as of the 20th 
day after the general election.
    (b) Principal campaign committee of Presidential candidate. Each 
treasurer of a principal campaign committee of a candidate for President 
shall file reports on the dates specified at 11 CFR 104.5(b) (1) and 
(2).
    (1) Election year reports. (i) If on January 1 of the election year, 
the committee has received or anticipates receiving contributions 
aggregating

[[Page 102]]

$100,000 or more, or has made or anticipates making expenditures 
aggregating $100,000 or more, it shall file monthly reports.
    (A) Each report shall be filed no later than the 20th day after the 
last day of each month.
    (B) The report shall be complete as of the last day of each month.
    (C) In lieu of the monthly reports due in November and December, a 
pre-election report shall be filed as prescribed at paragraph (a)(2)(i) 
of this section, a post-general election report shall be filed as 
prescribed at paragraph (a)(2)(ii) of this section, and a year-end 
report shall be filed no later than January 31 of the following calendar 
year.
    (ii) If on January 1 of the election year, the committee does not 
anticipate receiving and has not received contributions aggregating 
$100,000 and does not anticipate making and has not made expenditures 
aggregating $100,000, the committee shall file a preelection report or 
reports, a post general election report, and quarterly reports, as 
prescribed in paragraphs (a)(1) and (2) of this section.
    (iii) If during the election year, a committee filing under 11 CFR 
104.5(b)(1)(ii) receives contributions aggregating $100,000 or makes 
expenditures aggregating $100,000, the treasurer shall begin filing 
monthly reports at the next reporting period.
    (2) Non-election year reports. During a non-election year, the 
treasurer shall file either monthly reports as prescribed by paragraph 
(b)(1)(i) of this section or quarterly reports as prescribed by 
paragraph (a)(1) of this section. A principal campaign committee of a 
Presidential candidate may elect to change the frequency of its 
reporting from monthly to quarterly or vice versa during a non-election 
year only after notifying the Commission in writing of its intention at 
the time it files a required report under its pre-existing filing 
frequency. The committee will then be required to file the next required 
report under its new filing frequency. The committee may change its 
filing frequency no more than once per calendar year.
    (c) Political committees that are not authorized committees of 
candidates. Except as provided in paragraph (c)(4) of this section, each 
political committee that is not the authorized committee of a candidate 
must file either: Election year and non-election year reports in 
accordance with paragraphs (c)(1) and (2) of this section; or monthly 
reports in accordance with paragraph (c)(3) of this section. A political 
committee reporting under paragraph (c) of this section may elect to 
change the frequency of its reporting from monthly to quarterly and 
semi-annually or vice versa. A political committee reporting under this 
paragraph (c) may change the frequency of its reporting only after 
notifying the Commission in writing of its intention at the time it 
files a required report under its current filing frequency. Such 
political committee will then be required to file the next required 
report under its new filing frequency. A political committee may change 
its filing frequency no more than once per calendar year.
    (1) Election year reports--(i) Quarterly reports. (A) Quarterly 
reports shall be filed no later than the 15th day following the close of 
the immediately preceding calendar quarter, (on April 15, July 15, and 
October 15), except that the report for the final calendar quarter of 
the year shall be filed on January 31 of the following calendar year.
    (B) The reports shall be complete as of the last day of the calendar 
quarter for which the report is filed.
    (C) The requirement for a quarterly report shall be waived if under 
11 CFR 104.5(c)(1)(ii) a pre-election report is required to be filed 
during the period beginning on the fifth day after the close of the 
calendar quarter and ending on the fifteenth day after the close of the 
calendar quarter.
    (ii) Pre-election reports. (A) Pre-election reports for the primary 
and general election shall be filed by a political committee which makes 
contributions or expenditures in connection with any such election if 
such disbursements have not been previously disclosed. Pre-election 
reports shall be filed no later than 12 days before any primary or 
general election. If sent by registered or certified mail, Priority Mail 
or Express Mail with a delivery confirmation, or with an overnight 
delivery service and scheduled to be delivered the next business day 
after the

[[Page 103]]

date of deposit and recorded in the overnight delivery service's on-line 
tracking system, the postmark on the report shall be dated no later than 
the 15th day before any election.
    (B) The report shall disclose all receipts and disbursements as of 
the 20th day before a primary or general election.
    (iii) Post-general election reports. (A) A post-general election 
report shall be filed no later than 30 days after any general election.
    (B) The report shall be complete as of the 20th day after the 
general election.
    (2) Non-election year reports--(i) Semi-annual reports. (A) The 
first report shall cover January 1 through June 30, and shall be filed 
no later than July 31.
    (B) The second report shall cover July 1 through December 31, and 
shall be filed no later than January 31 of the following year.
    (3) Monthly reports. (i) Except as provided at 11 CFR 
104.5(c)(3)(ii), monthly reports shall be filed no later than 20 days 
after the last day of the month.
    (ii) In lieu of the monthly reports due in November and December, in 
any year in which a regularly scheduled general election is held, a pre-
election report shall be filed as prescribed at 11 CFR 104.5(a)(2)(i), a 
post general election report shall be filed as prescribed at 11 CFR 
104.5(a)(2)(ii), and a year-end report shall be filed no later than 
January 31 of the following calendar year.
    (4) National party committee reporting. Notwithstanding anything to 
the contrary in this paragraph, a national committee of a political 
party, including a national Congressional campaign committee, must 
report monthly in accordance with paragraph (c)(3) of this section in 
both election and non-election years.
    (d) Committees supporting Vice Presidential candidates. The 
treasurer of a committee supporting a candidate for the office of Vice 
President (other than a nominee of a political party) shall file reports 
on the same basis that the principal campaign committee of a 
Presidential candidate must file reports under 11 CFR 104.5(b).
    (e) Date of filing. A designation, report or statement, other than 
those addressed in paragraphs (f), (g), and (j) of this section, sent by 
registered or certified mail, Priority Mail or Express Mail with a 
delivery confirmation, or with an overnight delivery service and 
scheduled to be delivered the next business day after the date of 
deposit and recorded in the overnight delivery service's on-line 
tracking system, shall be considered filed on the date of the postmark 
except that a twelve day pre-election report sent by such mail or 
overnight delivery service must have a postmark dated no later than the 
15th day before any election. Designations, reports or statements, other 
than those addressed in paragraphs (f), (g), and (j) of this section, 
sent by first class mail, or by any means other than those listed in 
this paragraph (e), must be received by the close of business on the 
prescribed filing date to be timely filed. Designations, reports or 
statements electronically filed must be received and validated at or 
before 11:59 p.m., eastern standard/daylight time on the prescribed 
filing date to be timely filed.
    (f) 48-hour notification of contributions. If any contribution of 
$1,000 or more is received by any authorized committee of a candidate 
after the 20th day, but more than 48 hours, before 12:01 a.m. of the day 
of the election, the principal campaign committee of that candidate 
shall notify the Commission, the Secretary of the Senate and the 
Secretary of State, as appropriate, within 48 hours of receipt of the 
contribution. The notification shall be in writing and shall include the 
name of the candidate and office sought by the candidate, the 
identification of the contributor, and the date of receipt and amount of 
the contribution. The notification shall be filed in accordance with 11 
CFR 100.19. The notification shall be in addition to the reporting of 
these contributions on the post-election report.
    (g) Reports of independent expenditures--(1) 48-hour reports of 
independent expenditures. Every person that must file a 48-hour report 
under 11 CFR 104.4(b) must ensure the Commission receives the report 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

[[Page 104]]

distributed or otherwise publicly disseminated. Each time subsequent 
independent expenditures by that person relating to the same election as 
that to which the previous report relates aggregate $10,000 or more, 
that person 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 
$10,000 threshold is reached or exceeded. (See 11 CFR 104.4(f) for 
aggregation.)
    (2) 24-hour reports of independent expenditures. Every person that 
must file a 24-hour report under 11 CFR 104.4(c) must ensure that the 
Commission receives the report 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. Each time subsequent independent 
expenditures by that person relating to the same election as that to 
which the previous report relates aggregate $1,000 or more, that person 
must ensure that the Commission receives a 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 the $1,000 
threshold is reached or exceeded. (See 11 CFR 104.4(f) for aggregation.)
    (3) Each 24-hour or 48-hour report of independent expenditures filed 
under this section 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.
    (4) For purposes of this part and 11 CFR part 109, a communication 
that is mailed to its intended audience is publicly disseminated when it 
is relinquished to the U.S. Postal Service.
    (h) Special election reports. (1) Within 5 days of the setting of a 
special election, the Commission shall set filing dates for reports to 
be filed by principal campaign committees of candidates seeking 
election, or nomination for election, in special elections and for 
political committees, other than authorized committees, which make 
contributions to or expenditures on behalf of a candidate or candidates 
in special elections. The Commission shall publish such reporting dates 
in the Federal Register and shall notify the principal campaign 
committees of all candidates in such election of the reporting dates. 
The Commission shall not require such committees to file more than one 
pre-election report for each election and one post-election report for 
the election which fills the vacancy.
    (2) Reports required to be filed under 11 CFR 104.5(a) or (c) may be 
waived by the Commission for committees filing special election reports 
if a report under 11 CFR 104.5(a) or (c) is due within 10 days of the 
date a special election report is due. The Commission shall notify all 
appropriate committees of reports so waived.
    (i) Committees should retain proof of mailing or other means of 
transmittal of the reports to the Commission.
    (j) 24-hour statements of electioneering communications. Every 
person who has made a disbursement or who has executed a contract to 
make a disbursement for the direct costs of producing or airing 
electioneering communications as defined in 11 CFR 100.29 aggregating in 
excess of $10,000 during any calendar year shall file a statement with 
the Commission by 11:59 p.m. Eastern Standard/Daylight Time on the day 
following the disclosure date. The statement shall be filed under 
penalty of perjury and in accordance with 11 CFR 104.20.

[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996; 65 
FR 31794, May 19, 2000; 65 FR 38423, June 21, 2000; 67 FR 12839, Mar. 
20, 2002; 68 FR 418, Jan. 3, 2003; 68 FR 47414, Aug. 8, 2003; 69 FR 
68238, Nov. 24, 2004; 70 FR 13091, Mar. 18, 2005; 79 FR 16663, Mar. 26, 
2014]



Sec.  104.6  Form and content of internal communications reports
(52 U.S.C. 30101(9)(B)(iii)).

    (a) Form. Every membership organization or corporation which makes 
disbursements for communications pursuant to 11 CFR 100.134(a) and 114.3 
shall report to the Commission on FEC Form 7 such costs which are 
directly attributable to any communication expressly advocating the 
election or defeat of a clearly identified candidate (other than a 
communication primarily

[[Page 105]]

devoted to subjects other than the election or defeat of a clearly 
identified candidate), if such costs exceed $2,000 for any election.
    (1) For the purposes of 11 CFR 104.6(a), 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, wherever and whenever held; 
the second process is comprised of all general elections for federal 
office, wherever and whenever held.
    (2) The term election shall also include each special election held 
to fill a vacancy in a Federal office (11 CFR 100.2(f)) or each runoff 
election (11 CFR 100.2(d)).
    (b) Filing dates. Organizations required to report under 11 CFR 
104.6(a) shall file such reports during a calendar year in which a 
regularly scheduled general election is held. Such reports shall be 
filed quarterly in accordance with 11 CFR 104.5(a)(1) and, with respect 
to any general election, in accordance with 11 CFR 104.5(a)(2)(i). The 
organization shall be required to file reports beginning with the first 
reporting period during which the aggregate cost for such communications 
exceeds $2,000 per election as defined in 11 CFR 104.6(a)(1), and for 
each quarter thereafter in which the organization makes additional 
disbursements in connection with the same election.
    (c) Each report filed under 11 CFR 104.6 shall include, for each 
communication:
    (1) The type of communication (such as direct mail, telephone or 
telegram);
    (2) The date(s) of the communication;
    (3) The name of the candidate, the office sought (and the district 
and state of the office, if applicable), and whether the communication 
was for the primary or general election;
    (4) Whether the communication was in support of or in opposition to, 
a particular candidate; and
    (5) The cost of the communication.

[45 FR 15108, Mar. 7, 1980, as amended at 67 FR 78680, Dec. 26, 2002; 79 
FR 16663, Mar. 26, 2014]



Sec.  104.7  Best efforts (52 U.S.C. 30102(i)).

    (a) When the treasurer of a political committee shows that best 
efforts have been used to obtain, maintain and submit the information 
required by the Act for the political committee, any report of such 
committee shall be considered in compliance with the Act.
    (b) With regard to reporting the identification as defined at 11 CFR 
100.12 of each person whose contribution(s) to the political committee 
and its affiliated political committees aggregate in excess of $200 in a 
calendar year (or in an election cycle in the case of an authorized 
committee) (pursuant to 11 CFR 104.3(a)(4)), the treasurer and the 
political committee will only be deemed to have exercised best efforts 
to obtain, maintain and report the required information if:
    (1)(i) All written solicitations for contributions include a clear 
request for the contributor's full name, mailing address, occupation and 
name of employer, and include an accurate statement of Federal law 
regarding the collection and reporting of individual contributor 
identifications.
    (A) The following are examples of acceptable statements for 
unauthorized committees, but are not the only allowable statements: 
``Federal law requires us to use our best efforts to collect and report 
the name, mailing address, occupation and name of employer of 
individuals whose contributions exceed $200 in a calendar year;'' and 
``To comply with Federal law, we must use best efforts to obtain, 
maintain, and submit the name, mailing address, occupation and name of 
employer of individuals whose contributions exceed $200 per calendar 
year.''
    (B) The following are examples of acceptable statements for 
authorized committees, but are not the only allowable statements: 
``Federal law requires us to use our best efforts to collect and report 
the name, mailing address, occupation and name of employer of 
individuals whose contributions exceed $200 in an election cycle;'' and 
``To comply with Federal law, we must use best efforts to obtain, 
maintain, and submit the name, mailing address, occupation and name of 
employer of individuals whose contributions exceed $200 per election 
cycle.''

[[Page 106]]

    (ii) The request and statement shall appear in a clear and 
conspicuous manner on any response material included in a solicitation. 
The request and statement are not clear and conspicuous if they are in 
small type in comparison to the solicitation and response materials, or 
if the printing is difficult to read or if the placement is easily 
overlooked.
    (2) For each contribution received aggregating in excess of $200 per 
calendar year (or per election cycle, in the case of an authorized 
committee) which lacks required contributor information, such as the 
contributor's full name, mailing address, occupation or name of 
employer, the treasurer makes at least one effort after the receipt of 
the contribution to obtain the missing information. Such effort shall 
consist of either a written request sent to the contributor or an oral 
request to the contributor documented in writing. The written or oral 
request must be made no later than thirty (30) days after receipt of the 
contribution. The written or oral request shall not include material on 
any other subject or any additional solicitation, except that it may 
include language solely thanking the contributor for the contribution. 
The request must clearly ask for the missing information, and must 
include the statement set forth in paragraph (b)(1) of this section. 
Written requests must include this statement in a clear and conspicuous 
manner. If the request is written, it shall be accompanied by a pre-
addressed return post card or envelope for the response material;
    (3) The treasurer reports all contributor information not provided 
by the contributor, but in the political committee's possession, or in 
its connected organization's possession, regarding contributor 
identifications, including information in contributor records, 
fundraising records and previously filed reports, in the same two-year 
election cycle in accordance with 11 CFR 104.3; and
    (4)(i) If any of the contributor information is received after the 
contribution has been disclosed on a regularly scheduled report, the 
political committee shall either:
    (A) File with its next regularly scheduled report, an amended memo 
Schedule A listing all contributions for which contributor 
identifications have been received during the reporting period covered 
by the next regularly scheduled report together with the dates and 
amounts of the contribution(s) and an indication of the previous 
report(s) to which the memo Schedule A relates; or
    (B) File on or before its next regularly scheduled reporting date, 
amendments to the report(s) originally disclosing the contribution(s), 
which include the contributor identifications together with the dates 
and amounts of the contribution(s).
    (ii) Amendments must be filed for all reports that cover the two-
year election cycle in which the contribution was received and that 
disclose itemizable contributions from the same contributor. However, 
political committees are not required to file amendments to reports 
covering previous election cycles.

[45 FR 15108, Mar. 7, 1980, as amended at 58 FR 57729, Oct. 27, 1993; 62 
FR 23336, Apr. 30, 1997; 65 FR 42624, July 11, 2000]



Sec.  104.8  Uniform reporting of receipts.

    (a) A reporting political committee shall disclose the 
identification of each individual who contributes an amount in excess of 
$200 to the political committee's federal account(s). This 
identification shall include the individual's name, mailing address, 
occupation, the name of his or her employer, if any, and the date of 
receipt and amount of any such contribution. If an individual 
contributor's name is known to have changed since an earlier 
contribution reported during the calendar year (or during the election 
cycle, in the case of an authorized committee), the exact name or 
address previously used shall be noted with the first reported 
contribution from that contributor subsequent to the name change.
    (b) In each case where a contribution received from an individual in 
a reporting period is added to previously unitemized contributions from 
the same individual and the aggregate exceeds $200 in a calendar year 
(or in an election cycle, in the case of an authorized committee) the 
reporting political

[[Page 107]]

committee shall disclose the identification of such individual along 
with the date of receipt and amount of any such contribution. Except for 
contributions by payroll deduction, each additional contribution from 
the individual shall be separately itemized. In the case of a political 
committee other than an authorized committee which receives 
contributions through a payroll deduction plan, such committee is not 
required to separately itemize each additional contribution received 
from the contributor during the reporting period. In lieu of separate 
itemization, such committee may report: the aggregate amount of 
contributions received from the contributor through the payroll 
deduction plan during the reporting period; the identification of the 
individual; and a statement of the amount deducted per pay period.
    (c) Absent evidence to the contrary, any contribution made by check, 
money order, or other written instrument shall be reported as a 
contribution by the last person signing the instrument prior to delivery 
to the candidate or committee.
    (d)(1) If an itemized contribution is made by more than one person 
in a single written instrument, the treasurer shall report the amount to 
be attributed to each contributor.
    (2)(i) If a contribution is redesignated by a contributor, in 
accordance with 11 CFR 110.1(b) or 110.2(b), the treasurer of the 
authorized political committee receiving the contribution shall report 
the redesignation in a memo entry on Schedule A of the report covering 
the reporting period in which the redesignation is received. The memo 
entry for each redesignated contribution shall be reported in the 
following manner--
    (A) The first part of the memo entry shall disclose all of the 
information for the contribution as it was originally reported on 
Schedule A;
    (B) The second part of the memo entry shall disclose all of the 
information for the contribution as it was redesignated by the 
contributor, including the election for which the contribution was 
redesignated and the date on which the redesignation was received.
    (ii) If a contribution from a political committee is redesignated by 
the contributing political committee in accordance with 11 CFR 110.1(b) 
or 110.2(b), the treasurer of such political committee shall report the 
redesignation in a memo entry on Schedule B of the report covering the 
reporting period in which the redesignation is made. The memo entry for 
each redesignated contribution shall be reported in the following 
manner--
    (A) The first part of the memo entry shall disclose all of the 
information for the contribution as it was originally reported on 
Schedule B;
    (B) The second part of the memo entry shall disclose all of the 
information for the contribution as it was redesignated by the 
contributing political committee, including the election for which the 
contribution was redesignated and the date on which the redesignation 
was made.
    (3) If an itemized contribution is reattributed by the 
contributor(s) in accordance with 11 CFR 110.1(k), the treasurer shall 
report the reattribution in a memo entry on Schedule A of the report 
covering the reporting period in which the reattribution is received. 
The memo entry for each reattributed contribution shall be reported in 
the following manner--
    (i) The first part of the memo entry shall disclose all of the 
information for the contribution as it was originally reported on 
Schedule A;
    (ii) The second part of the memo entry shall disclose all of the 
information for the contribution as it was reattributed by the 
contributors, including the date on which the reattribution was 
received.
    (4) If a contribution is refunded to the contributor, the treasurer 
of the political committee making the refund shall report the refund on 
Schedule B of the report covering the reporting period in which the 
refund is made, in accordance with 11 CFR 103.3(b)(5) and 104.3(b). If a 
contribution is refunded to a political committee, the treasurer of the 
political committee receiving the refund shall report the refund on 
Schedule A of the report covering the reporting period in which the 
refund is received, in accordance with 11 CFR 104.3(a).
    (e) For reports covering activity on or before December 31, 2002, 
national party committees shall disclose in a

[[Page 108]]

memo Schedule A information about each individual, committee, 
corporation, labor organization, or other entity that donates an 
aggregate amount in excess of $200 in a calendar year to the committee's 
non-Federal account(s). This information shall include the donating 
individual's or entity's name, mailing address, occupation or type of 
business, and the date of receipt and amount of any such donation. If a 
donor's name is known to have changed since an earlier donation reported 
during the calendar year, the exact name or address previously used 
shall be noted with the first reported donation from that donor 
subsequent to the name change. The memo entry shall also include, where 
applicable, the information required by paragraphs (b) through (d) of 
this section.
    (f) For reports covering activity on or before December 31, 2002, 
national party committees shall also disclose in a memo Schedule A 
information about each individual, committee, corporation, labor 
organization, or other entity that donates an aggregate amount in excess 
of $200 in a calendar year to the committee's building fund account(s). 
This information shall include the donating individual's or entity's 
name, mailing address, occupation or type of business, and the date of 
receipt and amount of any such donation. If a donor's name is known to 
have changed since an earlier donation reported during the calendar 
year, the exact name or address previously used shall be noted with the 
first reported donation from that donor subsequent to the name change. 
The memo entry shall also include, where applicable, the information 
required by paragraphs (b) through (d) of this section.
    (g) The principal campaign committee of the candidate shall report 
the receipt of any bank loan obtained by the candidate or 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 
100.83 and 100.143, as an itemized entry of Schedule A as follows:
    (1) The amount of the loan that is used in connection with the 
candidate's campaign shall be reported as an itemized entry on Schedule 
A.
    (2) See 11 CFR 100.83(c) for special reporting rules regarding 
certain loans used for a candidate's routine living expenses.

[45 FR 15108, Mar. 7, 1980, as amended at 52 FR 774, Jan. 9, 1987; 55 FR 
26067, June 26, 1990; 65 FR 42624, July 11, 2000; 67 FR 38360, June 4, 
2002; 67 FR 49112, July 29, 2002; 75 FR 31, Jan. 4, 2010]



Sec.  104.9  Uniform reporting of disbursements.

    (a) Political committees shall report the full name and mailing 
address of each person to whom an expenditure in an aggregate amount or 
value in excess of $200 within the calendar year (or within the election 
cycle, in the case of an authorized committee) is made from the 
reporting political committee's federal account(s), together with the 
date, amount and purpose of such expenditure, in accordance with 
paragraph (b) of this section. As used in this section, purpose means a 
brief statement or description as to the reasons for the expenditure. 
See 11 CFR 104.3(b)(3)(i)(A).
    (b) In each case when an expenditure made to a recipient in a 
reporting period is added to previously unitemized expenditures to the 
same recipient and the total exceeds $200 for the calendar year (or for 
the election cycle, in the case of an authorized committee), the 
reporting political committee shall disclose the recipient's full name 
and mailing address on the prescribed reporting forms, together with the 
date, amount and purpose of such expenditure. As used in this section, 
purpose means a brief statement or description as to the reason for the 
disbursement as defined at 11 CFR 104.3(b)(3)(i)(A).
    (c) For reports covering activity on or before March 31, 2003, 
national party committees shall report in a memo Schedule B the full 
name and mailing address of each person to whom a disbursement in an 
aggregate amount or value in excess of $200 within the calendar year is 
made from the committee's non-Federal account(s), together with the 
date, amount, and purpose of such disbursement, in accordance with 
paragraph (b) of this section. As used in this section, purpose means a 
brief

[[Page 109]]

statement or description as to the reasons for the disbursement. See 11 
CFR 104.3(b)(3)(i)(A).
    (d) For reports covering activity on or before March 31, 2003, 
national party committees shall report in a memo Schedule B the full 
name and mailing address of each person to whom a disbursement in an 
aggregate amount or value in excess of $200 within the calendar year is 
made from the committee's building fund account(s), together with the 
date, amount, and purpose of such disbursement, in accordance with 
paragraph (b) of this section. As used in this section, purpose means a 
brief statement or description as to the reasons for the disbursement. 
See 11 CFR 104.3(b)(3)(i)(A).
    (e) For reports covering activity on or before December 31, 2002, 
national party committees shall report in a memo Schedule B each 
transfer from their non-Federal account(s) to the non-Federal accounts 
of a State or local party committee.
    (f) The principal campaign committee of the candidate shall report 
its repayment to the candidate or lending institution of any bank loan 
obtained by the candidate or 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 100.83 and 100.143 as an 
itemized entry on Schedule B.

[45 FR 15108, Mar. 7, 1980, as amended at 55 FR 26067, June 26, 1990; 65 
FR 42624, July 11, 2000; 67 FR 38361, June 4, 2002; 67 FR 49113, July 
29, 2002; 79 FR 16663, Mar. 26, 2014]



Sec.  104.10  Reporting by separate segregated funds and nonconnected
committees of expenses allocated among candidates and activities.

    (a) Expenses allocated among candidates. A political committee that 
is a separate segregated fund or a nonconnected committee making an 
expenditure on behalf of more than one clearly identified candidate for 
Federal office shall allocate the expenditure among the candidates 
pursuant to 11 CFR part 106. Payments involving both expenditures on 
behalf of one or more clearly identified Federal candidates and 
disbursements on behalf of one or more clearly identified non-Federal 
candidates shall also be allocated pursuant to 11 CFR part 106. For 
allocated expenditures, the committee shall report the amount of each 
in-kind contribution, independent expenditure, or coordinated 
expenditure attributed to each Federal candidate. If a payment also 
includes amounts attributable to one or more non-Federal candidates, and 
is made by a political committee with separate Federal and non-Federal 
accounts, then the payment shall be made according to the procedures set 
forth in 11 CFR 106.6(e), but shall be reported pursuant to paragraphs 
(a)(1) through (a)(4) of this section, as follows:
    (1) Reporting of allocation of expenses attributable to specific 
Federal and non-Federal candidates. In each report disclosing a payment 
that includes both expenditures on behalf of one or more Federal 
candidates and disbursements on behalf of one or more non-Federal 
candidates, the committee shall assign a unique identifying title or 
code to each program or activity conducted on behalf of such candidates, 
shall state the allocation ratio calculated for the program or activity, 
and shall explain the manner in which the ratio was derived. The 
committee shall also summarize the total amounts attributed to each 
candidate, to date, for each joint program or activity.
    (2) Reporting of transfers between accounts for the purpose of 
paying expenses attributable to specific Federal and non-Federal 
candidates. A political committee that pays allocable expenses in 
accordance with 11 CFR 106.6(e) shall report each transfer of funds from 
its non-Federal account to its Federal account or to its separate 
allocation account for the purpose of paying such expenses. In the 
report covering the period in which each transfer occurred, the 
committee shall explain in a memo entry the allocable expenses to which 
the transfer relates and the date on which the transfer was made. If the 
transfer includes funds for the allocable costs of more than one program 
or activity, the committee shall itemize the transfer, showing the 
amounts designated for each program or activity conducted on behalf of 
one

[[Page 110]]

or more clearly identified Federal candidates and one or more clearly 
identified non-Federal candidates.
    (3) Reporting of allocated disbursements attributable to specific 
Federal and non-Federal candidates. A political committee that pays 
allocable expenses in accordance with 11 CFR 106.6(e) shall also report 
each disbursement from its Federal account or its separate allocation 
account in payment for a program or activity conducted on behalf of one 
or more clearly identified Federal candidates and one or more clearly 
identified non-Federal candidates. In the report covering the period in 
which the disbursement occurred, the committee shall state the full name 
and address of each person to whom the disbursement was made, and the 
date, amount, and purpose of each such disbursement. If the disbursement 
includes payment for the allocable costs of more than one program or 
activity, the committee shall itemize the disbursement, showing the 
amounts designated for payment of each program or activity conducted on 
behalf of one or more clearly identified Federal candidates and one or 
more clearly identified non-Federal candidates. The committee shall also 
report the amount of each in-kind contribution, independent expenditure, 
or coordinated expenditure attributed to each Federal candidate, and the 
total amount attributed to the non-Federal candidate(s). In addition, 
the committee shall report the total amount expended by the committee 
that year, to date, for each joint program or activity.
    (4) Recordkeeping. The treasurer shall retain all documents 
supporting the committee's allocation on behalf of specific Federal and 
non-Federal candidates, in accordance with 11 CFR 104.14.
    (b) Expenses allocated among activities. A political committee that 
is a separate segregated fund or a nonconnected committee and that has 
established separate Federal and non-Federal accounts under 11 CFR 
102.5(a)(1)(i) shall allocate between those accounts its administrative 
expenses and its costs for fundraising, generic voter drives, and 
certain public communications according to 11 CFR 106.6, and shall 
report those allocations according to paragraphs (b)(1) through (5) of 
this section, as follows:
    (1) Reporting of allocation of administrative expenses and costs of 
generic voter drives and public communications that refer to any 
political party. In each report disclosing a disbursement for 
administrative expenses, generic voter drives, or public communications 
that refer to any political party, but do not refer to any clearly 
identified candidates, as described in 11 CFR 106.6(b)(1)(i), 
(b)(1)(iii) and (b)(1)(iv), as applicable, the committee shall state the 
allocation ratio to be applied to each category of activity according to 
11 CFR 106.6(c).
    (2) Reporting of allocation of the direct costs of fundraising. In 
each report disclosing a disbursement for the direct costs of a 
fundraising program, as described in 11 CFR 106.6(b), the committee 
shall assign a unique identifying title or code to each such program or 
activity, shall state the allocation ratio calculated for the program or 
activity according to 11 CFR 106.6(d), and shall explain the manner in 
which the ratio was derived. The committee shall also summarize the 
total amounts spent by the Federal and non-Federal accounts that year, 
to date, for each such program or activity.
    (3) Reporting of transfers between accounts for the purpose of 
paying allocable expenses. A political committee that pays allocable 
expenses in accordance with 11 CFR 106.6(e) shall report each transfer 
of funds from its non-Federal account to its Federal account or to its 
separate allocation account for the purpose of paying such expenses. In 
the report covering the period in which each transfer occurred, the 
committee shall explain in a memo entry the allocable expenses to which 
the transfer relates and the date on which the transfer was made. If the 
transfer includes funds for the allocable costs of more than one 
activity, the committee shall itemize the transfer, showing the amounts 
designated for administrative expenses and generic voter drives, and for 
each fundraising program, as described in 11 CFR 106.6(b).
    (4) Reporting of allocated disbursements. A political committee that 
pays allocable expenses in accordance with

[[Page 111]]

11 CFR 106.6(e) shall also report each disbursement from its Federal 
account or its separate allocation account in payment for a joint 
Federal and non-Federal expense or activity. In the report covering the 
period in which the disbursement occurred, the committee shall state the 
full name and address of each person to whom the disbursement was made, 
and the date, amount, and purpose of each such disbursement. If the 
disbursement includes payment for the allocable costs of more than one 
activity, the committee shall itemize the disbursement, showing the 
amounts designated for payment of administrative expenses and generic 
voter drives, and for each fundraising program, as described in 11 CFR 
106.6(b). The committee shall also report the total amount expended by 
the committee that year, to date, for each category of activity.
    (5) Recordkeeping. The treasurer shall retain all documents 
supporting the committee's allocated disbursements for three years, in 
accordance with 11 CFR 104.14.

[67 FR 49113, July 29, 2002, as amended at 69 FR 68067, Nov. 23, 2004]



Sec.  104.11  Continuous reporting of debts and obligations.

    (a) Debts and obligations owed by or to a political committee which 
remain outstanding shall be continuously reported until extinguished. 
See 11 CFR 104.3(d). These debts and obligations shall be reported on 
separate schedules together with a statement explaining the 
circumstances and conditions under which each debt and obligation was 
incurred or extinguished. Where such debts and obligations are settled 
for less than their reported amount or value, the reporting committee 
shall include a statement as to the circumstances and conditions under 
which the debt or obligation was extinguished and the amount paid.
    (b) A debt or obligation, including a loan, written contract, 
written promise or written agreement to make an expenditure, the amount 
of which is $500 or less, shall be reported as of the time payment is 
made or not later than 60 days after such obligation is incurred, 
whichever comes first. A debt or obligation, including a loan, written 
contract, written promise or written agreement to make an expenditure, 
the amount of which is over $500 shall be reported as of the date on 
which the debt or obligation is incurred, except that any obligation 
incurred for rent, salary or other regularly reoccurring administrative 
expense shall not be reported as a debt before the payment due date. See 
11 CFR 116.6. If the exact amount of a debt or obligation is not known, 
the report shall state that the amount reported is an estimate. Once the 
exact amount is determined, the political committee shall either amend 
the report(s) containing the estimate or indicate the correct amount on 
the report for the reporting period in which such amount is determined.

[45 FR 15108, Mar. 7, 1980, as amended at 55 FR 26386, June 27, 1990]



Sec.  104.12  Beginning cash on hand for political committees.

    Political committees which have cash on hand at the time of 
registration shall disclose on their first report the source(s) of such 
funds, including the information required by 11 CFR 104.3(a)(1). The 
cash on hand balance is assumed to be composed of those contributions 
most recently received by the committee. The committee shall exclude 
from funds to be used for Federal elections any contributions not 
permissible under the Act. See 11 CFR parts 110, 114, and 115.



Sec.  104.13  Disclosure of receipt and consumption of in-kind contributions.

    (a)(1) The amount of an in-kind contribution shall be equal to the 
usual and normal value on the date received. Each in-kind contribution 
shall be reported as a contribution in accordance with 11 CFR 104.3(a).
    (2) Except for items noted in 11 CFR 104.13(b), each in-kind 
contribution shall also be reported as an expenditure at the same usual 
and normal value and reported on the appropriate expenditure schedule, 
in accordance with 11 CFR 104.3(b).
    (b) Contributions of stocks, bonds, art objects, and other similar 
items to be liquidated shall be reported as follows:
    (1) If the item has not been liquidated at the close of a reporting 
period, the

[[Page 112]]

committee shall record as a memo entry (not as cash) the item's fair 
market value on the date received, including the name and mailing 
address (and, where in excess of $200, the occupation and name of 
employer) of the contributor.
    (2) When the item is sold, the committee shall record the proceeds. 
It shall also report the (i) name and mailing address (and, where in 
excess of $200, the occupation and name of employer) of the purchaser, 
if purchased directly from the candidate or committee (as the purchaser 
shall be considered to have made a contribution to the committee), and 
(ii) the identification of the original contributor.



Sec.  104.14  Formal requirements regarding reports and statements.

    (a) Each individual having the responsibility to file a designation, 
report or statement required under this subchapter shall sign the 
original designation, report or statement except that:
    (1) Reports or statements of independent expenditures filed by 
facsimile machine or electronic mail under 11 CFR 104.4(b) or 11 CFR 
109.10 must be verified in accordance with those sections; and
    (2) Reports, designations, or statements filed electronically under 
11 CFR 104.18 must follow the signature requirements of 11 CFR 
104.18(g).
    (b) Each political committee or other person required to file any 
report or statement under this subchapter shall maintain all records as 
follows:
    (1) Maintain records, including bank records, with respect to the 
matters required to be reported, including vouchers, worksheets, 
receipts, bills and accounts, which shall provide in sufficient detail 
the necessary information and data from which the filed reports and 
statements may be verified, explained, clarified, and checked for 
accuracy and completeness;
    (2) Preserve a copy of each report or statement required to be filed 
under 11 CFR parts 102 and 104, and all records relevant to such reports 
or statements;
    (3) Keep all reports required to be preserved under this section 
available for audit, inspection, or examination by the Commission or its 
authorized representative(s) for a period of not less that 3 years after 
the report or statement is filed (See 11 CFR 102.9(c) for requirements 
relating to preservation of records and accounts); and
    (4) Candidates, who obtain bank loans or loans derived from an 
advance from the candidate's brokerage account, credit card, home equity 
line of credit, or other lines of credit available to the candidate, 
must preserve the following records for three years after the date of 
the election for which they were a candidate:
    (i) Records to demonstrate the ownership of the accounts or assets 
securing the loans;
    (ii) Copies of the executed loan agreements and all security and 
guarantee statements;
    (iii) Statements of account for all accounts used to secure any loan 
for the period the loan is outstanding such as brokerage accounts or 
credit card accounts, and statements on any line of credit account that 
was used for the purpose of influencing the candidate's election for 
Federal office;
    (iv) For brokerage loans or other loans secured by financial assets, 
documentation to establish the source of the funds in the account at the 
time of the loan; and
    (v) Documentation for all payments made on the loan by any person.
    (c) Acknowledgements by the Commission or the Secretary of the 
Senate, of the receipt of Statements of Organization, reports or other 
statements filed under 11 CFR parts 101, 102 and 104 are intended solely 
to inform the person filing the report of its receipt and neither the 
acknowledgement nor the acceptance of a report or statement shall 
constitute express or implied approval, or in any manner indicate that 
the contents of any report or statement fulfill the filing or other 
requirements of the Act or of these regulations.
    (d) Each treasurer of a political committee, and any other person 
required to file any report or statement under these regulations and 
under the Act, shall be personally responsible for the timely and 
complete filing of the report or statement and for the accuracy

[[Page 113]]

of any information or statement contained in it.

[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996; 67 
FR 12840, Mar. 20, 2002; 67 FR 38361, June 4, 2002; 79 FR 16663, Mar. 
26, 2014]



Sec.  104.15  Sale or use restriction (52 U.S.C. 30111(a)(4)).

    (a) Any information copied, or otherwise obtained, from any report 
or statement, or any copy, reproduction, or publication thereof, filed 
under the Act, shall not be sold or used by any person for the purpose 
of soliciting contributions or for any commercial purpose, except that 
the name and address of any political committee may be used to solicit 
contributions from such committee.
    (b) For purposes of 11 CFR 104.15, soliciting contributions includes 
soliciting any type of contribution or donation, such as political or 
charitable contributions.
    (c) The use of information, which is copied or otherwise obtained 
from reports filed under 11 CFR part 104, in newspapers, magazines, 
books or other similar communications is permissible as long as the 
principal purpose of such communications is not to communicate any 
contributor information listed on such reports for the purpose of 
soliciting contributions or for other commercial purposes.

[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996]



Sec.  104.16  Audits (52 U.S.C. 30111(b)).

    (a) The Commission may conduct audits of any political committee 
required to register under 11 CFR part 102 and to report under 11 CFR 
part 104. Prior to conducting any such audit or investigation, the 
Commission shall conduct an internal review of reports filed by selected 
committees to determine whether reports filed by a particular committee 
meet thresholds established by the Commission for substantial compliance 
with the Act. Such thresholds may vary according to the type of 
political committee being reviewed.
    (b) The Commission may, upon affirmative vote of four members, 
conduct an audit and field investigation of any committee which meets 
the thresholds established pursuant to 11 CFR 104.16(a). All such audits 
and investigations shall commence within 30 days of such vote except 
that any audit or investigation of an authorized committee of a 
candidate shall be commenced within 6 months of the election for which 
such committee was authorized.
    (c) The Commission may, upon affirmative vote of four members, 
conduct an audit and field investigation of any committee pursuant to 11 
CFR 111.10.
    (d) All audits and field investigations concerning the verification 
for and the receipt and use of payments under chapters 95 and 96 of 
title 26 shall be given priority over any audit or investigation of 
committees not receiving such payments.



Sec.  104.17  Reporting of allocable expenses by party committees.

    (a) Expenses allocated among candidates. A national party committee 
making an expenditure on behalf of more than one clearly identified 
candidate for Federal office must report the allocation between or among 
the named candidates. A national party committee making expenditures and 
disbursements on behalf of one or more clearly identified Federal 
candidates and on behalf of one or more clearly identified non-Federal 
candidates must report the allocation among all named candidates. These 
payments shall be allocated among candidates pursuant to 11 CFR part 
106, but only Federal funds may be used for such payments. A State, 
district, or local party committee making expenditures and disbursements 
for Federal election activity as defined at 11 CFR 100.24 on behalf of 
one or more clearly identified Federal and one or more clearly 
identified non-Federal candidates must make the payments from its 
Federal account and must report the allocation among all named 
candidates. A State, district, or local party committee making 
expenditures and disbursements on behalf of one or more clearly 
identified Federal and one or more clearly identified non-Federal 
candidates where the activity is not a Federal election activity may 
allocate the payments between its Federal and non-Federal account and 
must

[[Page 114]]

report the allocation among all named candidates. For allocated 
expenditures, the committee must report the amount of each in-kind 
contribution, independent expenditure, or coordinated expenditure 
attributed to each candidate. If a payment also includes amounts 
attributable to one or more non-Federal candidates, and is made by a 
State, district, or local party committee with separate Federal and non-
Federal accounts, and is not for a Federal election activity, then the 
payment shall be made according to the procedures set forth in 11 CFR 
106.7(f), but shall be reported pursuant to paragraphs (a)(1) through 
(a)(4) of this section, as follows:
    (1) Reporting of allocation of expenses attributable to specific 
Federal and non-Federal candidates. In each report disclosing a payment 
that includes both expenditures on behalf of one or more Federal 
candidates and disbursements on behalf of one or more non-Federal 
candidates, the committee must assign a unique identifying title or code 
to each program or activity conducted on behalf of such candidates, 
state the allocation ratio calculated for the program or activity, and 
explain the manner in which the ratio applied to each candidate was 
derived. The committee must also summarize the total amounts attributed 
to each candidate, to date, for each program or activity.
    (2) Reporting of transfers between accounts for the purpose of 
paying expenses attributable to specific Federal and non-Federal 
candidates. A State, district, or local party committee that pays 
allocable expenses in accordance with 11 CFR 106.7(f) shall report each 
transfer of funds from its non-Federal account to its Federal account or 
to its separate allocation account for the purpose of paying such 
expenses. In the report covering the period in which each transfer 
occurred, the State, district, or local party committee shall explain in 
a memo entry the allocable expenses to which the transfer relates and 
the date on which the transfer was made. If the transfer includes funds 
for the allocable costs of more than one program or activity, the State, 
district, or local party committee must itemize the transfer, showing 
the amounts designated for each program or activity conducted on behalf 
of one or more clearly identified Federal candidates and one or more 
clearly identified non-Federal candidates.
    (3) Reporting of allocated disbursements attributable to specific 
Federal and non-Federal candidates. A State, district, or local 
committee that pays allocable expenses in accordance with 11 CFR 
106.7(f) shall also report each disbursement from its Federal account or 
its separate allocation account in payment for a program or activity 
conducted on behalf of one or more clearly identified Federal candidates 
and one or more clearly identified non-Federal candidates. In the report 
covering the period in which the disbursement occurred, the State, 
district, or local party committee shall state the full name and address 
of each person to whom the disbursement was made, and the date, amount, 
and purpose of each such disbursement. If the disbursement includes 
payment for the allocable costs of more than one program or activity, 
the committee shall itemize the disbursement, showing the amounts 
designated for payment of each program or activity conducted on behalf 
of one or more clearly identified Federal candidates and one or more 
clearly identified non-Federal candidates. The State, district, or local 
party committee must also report the amount of each in-kind 
contribution, independent expenditure, or coordinated expenditure 
attributed to each Federal candidate, and the total amount attributed to 
the non-Federal candidate(s). In addition, the State, district, or local 
party committee must report the total amount expended by the committee 
that year, to date, for each joint program or activity.
    (4) Recordkeeping. The treasurer of a State, district, or local 
party committee must retain all documents supporting the committee's 
allocations on behalf of specific Federal and non-Federal candidates, in 
accordance with 11 CFR 104.14.
    (b) Allocation of activities that are not Federal election 
activities. A State, district, or local committee of a political party 
that has established separate Federal and non-Federal accounts, 
including related allocation accounts,

[[Page 115]]

under 11 CFR 102.5 must report all payments that are allocable between 
these accounts pursuant to the allocation rules in 11 CFR 106.7. 
Disbursements for activities that are allocable between Federal and 
Levin accounts, including related allocation accounts, must be reported 
pursuant to 11 CFR 300.36.
    (1) Reporting of allocations of expenses for activities that are not 
Federal election activities. (i) In the first report in a calendar year 
disclosing a disbursement allocable pursuant to 11 CFR 106.7, a State, 
district, or local committee shall state and explain the allocation 
percentages to be applied to each category of allocable activity (e.g., 
36% Federal/64% non-Federal in Presidential and Senate election years) 
pursuant to 11 CFR 106.7(d).
    (ii) In each subsequent report in the calendar year itemizing an 
allocated disbursement, the State, district, or local party committee 
shall state the category of activity for which each allocated 
disbursement was made, and shall summarize the total amounts expended 
from Federal and non-Federal accounts, or from allocation accounts, that 
year to date for each such category.
    (iii) In each report disclosing disbursements for allocable 
activities as described in 11 CFR 106.7, the State, district, or local 
party committee shall assign a unique identifying title or code to each 
such program or activity, and shall state the applicable Federal/non-
Federal percentage for any direct costs of fundraising. Unique 
identifying titles or codes are not required for salaries and wages 
pursuant to 11 CFR 106.7(c)(1), or for other administrative costs 
allocated pursuant to 11 CFR 106.7(c)(2).
    (2) Reporting of transfers between the accounts of State, district, 
and local party committees and into allocation accounts for allocable 
expenses. A State, district, or local committee of a political party 
that pays allocable expenses in accordance with 11 CFR 106.7 shall 
report each transfer of funds from its non-Federal account to its 
Federal account, or each transfer from its Federal account and its non-
Federal account into an allocation account, for the purpose of payment 
of such expenses. In the report covering the period in which each 
transfer occurred, the State, district, or local party committee must 
explain in a memo entry the allocable expenses to which the transfer 
relates and the date on which the transfer was made. If the transfer 
includes funds for the allocable costs of more than one activity, the 
State, district, or local party committee must itemize the transfer, 
showing the amounts designated for each category of expense as described 
in 11 CFR 106.7.
    (3) Reporting of allocated disbursements for certain allocable 
activity that is not Federal election activity. (i) A State, district, 
or local committee of a political party that pays allocable expenses in 
accordance with 11 CFR 106.7 shall report each disbursement from its 
Federal account for allocable expenses, or each payment from an 
allocation account for such activity. In the report covering the period 
in which the disbursement occurred, the State, district, or local 
committee shall state the full name and address of each individual or 
vendor to which the disbursement was made, the date, amount, and purpose 
of each such disbursement, and the amounts allocated to Federal and non-
Federal portions of the allocable activity. If the disbursement includes 
payment for the allocable costs of more than one activity, the State, 
district, or local party committee must itemize the disbursement, 
showing the amounts designated for payments of particular categories of 
activity as described in 11 CFR 106.7. The State, district, or local 
party committee must also report the total amount paid that calendar 
year to date for each category of allocable activity.
    (ii) A State, district, or local committee of a political party that 
pays allocable expenses from a Federal account and a Levin account in 
accordance with 11 CFR 300.33 shall report disbursements from those 
accounts according to the requirements of 11 CFR 300.36.
    (4) Recordkeeping. The treasurer of a State, district, or local 
party committee must retain all documents supporting the committee's 
allocations of expenditures and disbursements for the costs and 
activities cited at paragraph

[[Page 116]]

(b) of this section, in accordance with 11 CFR 104.14.

[67 FR 49114, July 29, 2002]



Sec.  104.18  Electronic filing of reports (52 U.S.C. 30102(d)
and 30104(a)(11)).

    (a) Mandatory. (1) Political committees and other persons required 
to file reports with the Commission, as provided in 11 CFR Parts 105 and 
107, must file reports in an electronic format that meets the 
requirements of this section if--
    (i) The political committee or other person has received 
contributions or has reason to expect to receive contributions 
aggregating in excess of $50,000 in any calendar year; or
    (ii) The political committee or other person has made expenditures 
or has reason to expect to make expenditures aggregating in excess of 
$50,000 in any calendar year.
    (2) Once any political committee or other person described in 
paragraph (a)(1) of this section exceeds or has reason to expect to 
exceed the appropriate threshold, the political committee or person must 
file electronically all subsequent reports covering financial activity 
for the remainder of the calendar year. All electronically filed reports 
must pass the Commission's validation program in accordance with 
paragraph (e) of this section. Reports filed on paper do not satisfy a 
political committee's or other person's filing obligations.
    (3) Have reason to expect to exceed. (i) A political committee or 
other person shall have reason to expect to exceed the threshold stated 
in paragraph (a)(1) of this section for two calendar years following the 
calendar year in which the political committee or other person exceeds 
the threshold unless--
    (A) The committee is an authorized committee, and has $50,000 or 
less in net debts outstanding on January 1 of the year following the 
general election, and anticipates terminating prior to January 1 of the 
next election year; and
    (B) The candidate has not qualified as a candidate for the next 
election and does not intend to become a candidate for federal office in 
the next election.
    (ii) New political committees or other persons with no history of 
campaign finance activity shall have reason to expect to exceed the 
threshold stated in paragraph (a)(1) of this section within the calendar 
year if--
    (A) It receives contributions or makes expenditures that exceed one 
quarter of the threshold amount in the first calendar quarter of the 
calendar year; or
    (B) It receives contributions or makes expenditures that exceed one-
half of the threshold amount in the first half of the calendar year.
    (b) Voluntary. A political committee or other person who files 
reports with the Commission, as provided in 11 CFR part 105, and who is 
not required to file electronically under paragraph (a) of this section, 
may choose to file its reports in an electronic format that meets the 
requirements of this section (internet forms included). If a political 
committee or other person chooses to file its reports electronically, 
all electronically filed reports must pass the Commission's validation 
program in accordance with paragraph (e) of this section. The committee 
or other person must continue to file in an electronic format all 
reports covering financial activity for that calendar year, unless the 
Commission determines that extraordinary and unforeseeable circumstances 
have made it impracticable for the political committee or other person 
to continue filing electronically.
    (c) Definition of report. For purposes of this section, report means 
any statement, designation or report required by the Act to be filed 
with the Commission.
    (d) Format specifications. Reports filed electronically shall 
conform to the technical specifications described in the Federal 
Election Commission's Electronic Filing Specifications Requirements. The 
data contained in the computerized magnetic media provided to the 
Commission shall be organized in the order specified by the Electronic 
Filing Specifications Requirements.
    (e) Acceptance of reports filed in electronic format; validation 
program. (1) Each political committee or other person who submits an 
electronic report shall check the report against the Commission's 
validation program before it is submitted, to ensure that the

[[Page 117]]

files submitted meet the Commission's format specifications and can be 
read by the Commission's computer system. Each report submitted in an 
electronic format under this section shall also be checked upon receipt 
against the Commission's validation program. The Commission's validation 
program and the Electronic Filing Specification Requirement are 
available on request and at no charge.
    (2) A report that does not pass the validation program will not be 
accepted by the Commission and will not be considered filed. If a 
political committee or other person submits a report that does not pass 
the validation program, the Commission will notify the political 
committee or other person that the report has not been accepted.
    (f) Amended reports. If a political committee or other person files 
an amendment to a report that was filed electronically, the political 
committee or other person shall also submit the amendment in an 
electronic format. The political committee or other person shall submit 
a complete version of the report as amended, rather than just those 
portions of the report that are being amended. In addition, amendments 
must be filed in accordance with the Electronic Filing Specification 
Requirements.
    (g) Signature requirements. The political committee's treasurer, or 
any other person having the responsibility to file a designation, report 
or statement under this subchapter, shall verify the report in one of 
the following ways: by submitting a signed certification on paper that 
is submitted with the computerized media; or by submitting a digitized 
copy of the signed certification as a separate file in the electronic 
submission; or by submitting a signed certification on a Commission 
internet form. Each verification submitted under this section shall 
certify that the treasurer or other signatory has examined the report or 
statement and, to the best of the signatory's knowledge and belief, it 
is true, correct and complete. Any verification under this section shall 
be treated for all purposes (including penalties for perjury) in the 
same manner as a verification by signature on a report submitted in a 
paper format.
    (h) Schedules and forms with special requirements. (1) The following 
are schedules and forms that require the filing of additional documents 
and that have special signature requirements:
    (i) Schedules C-1 and C-P-1, Loans and Lines of Credit From Lending 
Institutions (see 11 CFR 104.3(d)); and
    (ii) Form 8, Debt Settlement Plan (see 11 CFR 116.7(e)).
    (2) If a person files a report electronically by submitting a 
diskette to the Commission and is required to file any of the schedules 
or forms listed in paragraph (h)(1) of this section, the person shall 
file a paper copy of the required schedule or form with the electronic 
submission, or a digitized version as a separate file in the electronic 
submission, by the close of business on the prescribed filing date.
    (3) If a person files a report electronically by uploading the data 
to the Commission's electronic filing system and is required to file any 
schedules or forms listed in paragraph (h)(1) of this section, the 
person shall file a paper copy or a digitized version of the required 
schedule or form by the close of business on the prescribed filing date.
    (i) Preservation of reports. For any report filed in electronic 
format under this section, the treasurer or other person required to 
file any report under the Act shall retain a machine-readable copy of 
the report as the copy preserved under 11 CFR 104.14(b)(2). In addition, 
the treasurer or other person required to file any report under the Act 
shall retain the original signed version of any documents submitted in a 
digitized format under paragraphs (g) and (h) of this section.

[65 FR 38423, June 21, 2000, as amended at 67 FR 12840, Mar. 20, 2002; 
81 FR 34863, June 1, 2016]



Sec.  104.19  [Reserved]



Sec.  104.20  Reporting electioneering communications 
(52 U.S.C. 30104 (f)).

    (a) Definitions--(1) Disclosure date means:
    (i) The first date on which an electioneering communication is 
publicly distributed provided that the person

[[Page 118]]

making the electioneering communication has made one or more 
disbursements, or has executed one or more contracts to make 
disbursements, for the direct costs of producing or airing one or more 
electioneering communications aggregating in excess of $10,000; or
    (ii) Any other date during the same calendar year on which an 
electioneering communication is publicly distributed provided that the 
person making the electioneering communication has made one or more 
disbursements, or has executed one or more contracts to make 
disbursements, for the direct costs of producing or airing one or more 
electioneering communications aggregating in excess of $10,000 since the 
most recent disclosure date during such calendar year.
    (2) Direct costs of producing or airing electioneering 
communications means the following:
    (i) Costs charged by a vendor, such as studio rental time, staff 
salaries, costs of video or audio recording media, and talent; or
    (ii) The cost of airtime on broadcast, cable or satellite radio and 
television stations, studio time, material costs, and the charges for a 
broker to purchase the airtime.
    (3) Persons sharing or exercising direction or control means 
officers, directors, executive directors or their equivalent, partners, 
and in the case of unincorporated organizations, owners, of the entity 
or person making the disbursement for the electioneering communication.
    (4) Identification has the same meaning as in 11 CFR 100.12.
    (5) Publicly distributed has the same meaning as in 11 CFR 
100.29(b)(3).
    (b) Who must report and when. Every person who has made an 
electioneering communication, as defined in 11 CFR 100.29, aggregating 
in excess of $10,000 during any calendar year shall file a statement 
with the Commission by 11:59 p.m. Eastern Standard/Daylight Time on the 
day following the disclosure date. The statement shall be filed under 
penalty of perjury, shall contain the information set forth in paragraph 
(c) of this section, and shall be filed on FEC Form 9. Political 
committees that make communications that are described in 11 CFR 
100.29(a) must report such communications as expenditures or independent 
expenditures under 11 CFR 104.3 and 104.4, and not under this section.
    (c) Contents of statement. Statements of electioneering 
communications filed under paragraph (b) of this section shall disclose 
the following information:
    (1) The identification of the person who made the disbursement, or 
who executed a contract to make a disbursement, and, if the person is 
not an individual, the person's principal place of business;
    (2) The identification of any person sharing or exercising direction 
or control over the activities of the person who made the disbursement 
or who executed a contract to make a disbursement;
    (3) The identification of the custodian of the books and accounts 
from which the disbursements were made;
    (4) The amount of each disbursement, or amount obligated, of more 
than $200 during the period covered by the statement, the date the 
disbursement was made, or the contract was executed, and the 
identification of the person to whom that disbursement was made;
    (5) All clearly identified candidates referred to in the 
electioneering communication and the elections in which they are 
candidates;
    (6) The disclosure date, as defined in paragraph (a) of this 
section;
    (7) If the disbursements were paid exclusively from a segregated 
bank account consisting of funds provided solely by persons other than 
national banks, corporations organized by authority of any law of 
Congress, or foreign nationals as defined in 11 CFR 110.20(a)(3), the 
name and address of each donor who donated an amount aggregating $1,000 
or more to the segregated bank account, aggregating since the first day 
of the preceding calendar year.
    (8) If the disbursements were not paid exclusively from a segregated 
bank account described in paragraph (c)(7) of this section and were not 
made by a corporation or labor organization, the name and address of 
each donor who donated an amount aggregating $1,000

[[Page 119]]

or more to the person making the disbursement, aggregating since the 
first day of the preceding calendar year.
    (9) If the disbursements were made by a corporation or labor 
organization and were not paid exclusively from a segregated bank 
account described in paragraph (c)(7) of this section, the name and 
address of each person who made a donation aggregating $1,000 or more to 
the corporation or labor organization, aggregating since the first day 
of the preceding calendar year, which was made for the purpose of 
furthering electioneering communications.
    (d) Recordkeeping. All persons who make electioneering 
communications or who accept donations for the purpose of making 
electioneering communications must maintain records in accordance with 
11 CFR 104.14.
    (e) State waivers. Statements of electioneering communications that 
must be filed with the Commission must also be filed with the Secretary 
of State of the appropriate State if the State has not obtained a waiver 
under 11 CFR 108.1(b).

[68 FR 419, Jan. 3, 2003; 68 FR 5075, Jan. 31, 2003, as amended at 72 FR 
72913, Dec. 26, 2007; 80 FR 62816, Oct. 21, 2014]



Sec.  104.21  Reporting by inaugural committees.

    (a) Definitions--(1) Inaugural committee. Inaugural committee means 
the committee appointed by the President-elect to be in charge of the 
Presidential inaugural ceremony and functions and activities connected 
with the inaugural ceremony.
    (2) Donation. For purposes of this section, donation has the same 
meaning as in 11 CFR 300.2(e).
    (b) Initial letter-filing by inaugural committees. (1) In order to 
be considered the inaugural committee under 36 U.S.C. Chapter 5, within 
15 days of appointment by the President-elect, the appointed committee 
must file a signed letter with the Commission containing the following:
    (i) The name and address of the inaugural committee;
    (ii) The name of the chairperson, or the name and title of another 
officer who will serve as the point of contact; and
    (iii) A statement agreeing to comply with paragraphs (c) and (d) of 
this section and with 11 CFR 110.20(j).
    (2) Upon receipt of the letter filed under this paragraph (b), the 
Commission will assign a FEC committee identification number to the 
inaugural committee. The inaugural committee must include this FEC 
committee identification number on all reports and supplements thereto 
required under paragraph (c) of this section, as well as on all 
communications with the Commission concerning the letter filed under 
this paragraph (b).
    (c) Reporting requirements for inaugural committees--(1) Who must 
report. The chairperson or other officer identified in the letter-filing 
required by paragraph (b) of this section must file a report and any 
supplements thereto as required by this paragraph (c). Such person must 
sign the report and any supplements thereto in accordance with 11 CFR 
104.14(a). The signature on the report and any supplements thereto 
certifies that the contents are true, correct, and complete, to the best 
of knowledge of the chairperson or other officer identified in the 
letter-filing required by paragraph (b) of this section.
    (2) When to file. A report, and any supplements thereto, must be 
timely filed in accordance with 11 CFR 100.19 as follows:
    (i) Report. An inaugural committee must file a report with the 
Commission no later than the 90th day following the date on which the 
Presidential inaugural ceremony is held.
    (ii) Supplements to the report. (A) An inaugural committee must file 
a supplement to its report if it accepts a reportable donation, or makes 
a refund during the 90 days following the end of the covering period of 
its original report or its most recent supplement.
    (B) Any supplement must be filed no later than the 90th day 
following the filing date of an original report, or if a supplement has 
already been filed, the filing date of the most recent supplement.
    (3) Where to file. All letters, reports, and any supplements 
thereto, as required under this section, shall be filed with the Federal 
Election Commission, 999 E Street, NW., Washington, DC 20463.

[[Page 120]]

    (4) How to file. An inaugural committee must file its letter, 
report, and any supplements thereto, in original form; however, an 
inaugural committee may choose to file its reports in an electronic 
format that meets the requirements of 11 CFR 104.18.
    (5) Form. An inaugural committee must file the report required by 
this paragraph on FEC Form 13.
    (6) Content of report. Each report, and any supplements thereto, 
filed with the Commission under this section must contain the following:
    (i) Covering period beginning and ending dates, as follows:
    (A) The covering period of a report means the period of time 
beginning on the date of the inaugural committee's appointment by the 
President-elect and ending no earlier than 15 days before the day on 
which the inaugural committee files its report with the Commission.
    (B) The covering period of a supplement to the report means the 
period of time beginning on the day after the ending date of the 
covering period of the original report, or the most recent supplement 
thereto, and ending no earlier than 15 days before the day on which the 
inaugural committee files such supplement with the Commission.
    (ii) Cumulative totals from the date of the inaugural committee's 
appointment by the President-elect for all:
    (A) Donations reported under paragraph (c)(6)(iii) of this section;
    (B) Refunds reported under paragraph (c)(6)(iv) of this section; and
    (C) Net reported donations;
    (iii) Itemization of previously unreported donations of $200 or 
more, and donations that aggregate $200 or more, including:
    (A) The full name of each person who made such a donation, including 
first name, middle name or initial, if available, and last name, in the 
case of an individual;
    (B) The address of each such person;
    (C) The amount of each such donation; and
    (D) The date of receipt of each such donation; and
    (iv) Itemization of previously unreported refunds of previously, or 
contemporaneously, reported donations, including:
    (A) The full name of each person to whom such a refund was made, 
including first name, middle name or initial, if available, and last 
name, in the case of an individual;
    (B) The address of each such person;
    (C) The amount of each such refund; and
    (D) The date of each such refund.
    (d) Recordkeeping. All inaugural committees must maintain records in 
accordance with 11 CFR 104.14.

[69 FR 59779, Oct. 6, 2004]



Sec.  104.22  Disclosure of bundling by Lobbyist/Registrants and 
Lobbyist/Registrant PACs (52 U.S.C. 30104(i)).

    (a) Definitions. (1) Reporting Committee. Reporting committee means:
    (i) An authorized committee of a Federal candidate as defined at 11 
CFR 100.5(f)(1);
    (ii) A leadership PAC as defined at 11 CFR 100.5(e)(6); or
    (iii) A party committee as defined at 11 CFR 100.5(e)(4).
    (2) Lobbyist/Registrant. Lobbyist/registrant means a person who, at 
the time a contribution is forwarded to, or is received by, a reporting 
committee, is:
    (i) A current registrant under Section 4(a) of the Lobbying 
Disclosure Act of 1995 (2 U.S.C. 1603(a)); or
    (ii) An individual who is named on a current registration or current 
report filed under Section 4(b)(6) or 5(b)(2)(C) of the Lobbying 
Disclosure Act of 1995 (2 U.S.C. 1603(b)(6) or 1604(b)(2)(C)).
    (3) Lobbyist/Registrant PAC. Lobbyist/registrant PAC means any 
political committee that a lobbyist/registrant ``established or 
controls,'' as defined in paragraph (a)(4) of this section.
    (4) Established or Controls. (i) For purposes of this section only, 
a lobbyist/registrant established or controls any political committee 
that the lobbyist/registrant is required to disclose to the Secretary of 
the U. S. Senate or Clerk of the U.S. House of Representatives as being 
established or controlled by that lobbyist/registrant under Section 203 
of the Honest Leadership and Open Government Act of 2007, amending the 
Lobbying Disclosure Act of 1995 (2 U.S.C. 1604(d)(1)(C)).

[[Page 121]]

    (ii) If, after consulting guidance from the offices of the Secretary 
of the Senate or Clerk of the U.S House of Representatives, or 
communicating with such offices, a political committee is unable to 
ascertain whether it is established or controlled by a lobbyist/
registrant, a lobbyist/registrant will be deemed to have established or 
to control a political committee if:
    (A) The political committee is a separate segregated fund with a 
current registrant under Section 4(a) of the Lobbying Disclosure Act (2 
U.S.C. 1603(a)) as its connected organization; or
    (B) The political committee meets either of the following criteria:
    (1) A lobbyist/registrant had a primary role in the establishment of 
the political committee, excluding the provision of legal or compliance 
services or advice; or
    (2) A lobbyist/registrant directs the governance or operations of 
the political committee, excluding the provision of legal or compliance 
services or advice.
    (5) Covered Period. Covered period means:
    (i) Semi-annually. The semi-annual periods of January 1 through June 
30, and July 1 through December 31; and the period described in 
paragraph (a)(5)(ii), (iii) or (iv), below, that applies to the 
reporting committee.
    (ii) Quarterly. For reporting committees that file campaign finance 
reports under 11 CFR 104.5 on a quarterly basis, the covered period also 
includes the quarters beginning on January 1, April 1, July 1, and 
October 1 of each calendar year and the applicable pre- and post-
election reporting periods in election years; in a nonelection year, 
reporting committees not authorized by a candidate need only observe the 
semi-annual period described in paragraph (a)(5)(i) above; or
    (iii) Monthly. For reporting committees that file monthly campaign 
finance reports under 11 CFR 104.5, the covered period also includes 
each month in the calendar year, except that in election years the pre- 
and post-general election reporting periods shall constitute the covered 
period in lieu of the monthly November and December reporting periods.
    (iv) Alternative for monthly filers. Any reporting committee that 
files monthly campaign finance reports under 11 CFR 104.5 may choose to 
file reports pursuant to the quarterly covered period in paragraph 
(a)(5)(ii) of this section instead of the monthly covered period in 
paragraph (a)(5)(iii) of this section. It shall do so by notifying the 
Commission in writing of its intention to do so at the time the 
reporting committee files a monthly report under paragraph (a)(5)(iii) 
of this section. The reporting committee will be required to file its 
next report under the new filing frequency. The reporting committee may 
change its filing frequency no more than once per calendar year.
    (v) Runoffs and Special Elections. For special elections and runoff 
elections set by State law, the covered period shall be the same as the 
reporting periods set under 11 CFR 104.5(h).
    (6) Bundled Contribution. Bundled contribution means any 
contribution that meets the definition set forth in either paragraph (i) 
or (ii) below:
    (i) Forwarded contribution means a contribution delivered or 
transmitted, by physical or electronic means, to the reporting committee 
by a lobbyist/registrant or lobbyist/registrant PAC, or by any person 
that the reporting committee knows to be forwarding such contribution on 
behalf of a lobbyist/registrant or lobbyist/registrant PAC.
    (ii) Received and credited contribution means a contribution 
received by the reporting committee from the contributor or 
contributors, and credited by the reporting committee or candidate 
involved to a lobbyist/registrant or lobbyist/registrant PAC through 
records, designations, or other means of recognizing that a certain 
amount of money has been raised by the lobbyist/registrant or lobbyist/
registrant PAC.
    (A) Records, designations, or other means of recognizing. Records 
means written evidence (including writings, charts, computer files, 
tables, spreadsheets, databases, or other data or data compilations 
stored in any medium from which information can be obtained) that the 
reporting committee or candidate involved attributes to a lobbyist/
registrant or lobbyist/registrant PAC contributions raised by

[[Page 122]]

that person or entity and received by the reporting committee.
    Designations or other means of recognizing bundled contributions 
means benefits given by the reporting committee to persons for raising a 
certain amount of contributions, including but not limited to:
    (1) Titles that the reporting committee assigns to persons who have 
raised a certain amount of contributions;
    (2) Tracking identifiers that the reporting committee assigns and 
that are included on contributions or contributions-related materials 
(for example, contributor response devices, cover letters, or Internet 
Web site solicitation pages) for the purpose of maintaining information 
about the amounts of contributions that a person raises;
    (3) Access (including offers or attendance) to events or activities 
given to the lobbyist/registrant or lobbyist/registrant PAC by the 
reporting committee as a result of raising a certain amount of 
contributions; and
    (4) Mementos, such as photographs with the candidate or autographed 
copies of books authored by the candidate, given by the reporting 
committee to persons who have raised a certain amount of contributions.
    (B) The candidate involved. The candidate involved means the 
candidate by whom the authorized committee is authorized; the candidate 
or individual holding Federal office who directly or indirectly 
established, finances, maintains or controls the leadership PAC; or the 
chairman of the committee in the case of a political party committee.
    (iii) Bundled contributions do not include contributions made by the 
lobbyist/registrant PAC or from the personal funds of the lobbyist/
registrant that forwards or is credited with raising the contributions 
or the personal funds of that person's spouse.
    (b) Reporting requirement for reporting committees--(1) FEC Form 3L. 
Each reporting committee must file FEC Form 3L (Report of Contributions 
Bundled by Lobbyist/Registrants and Lobbyist/Registrant PACs) if it has 
received two or more bundled contributions (see paragraph (a)(6)) 
forwarded by or received and credited to a person reasonably known by 
the reporting committee to be a lobbyist/registrant or lobbyist/
registrant PAC aggregating in excess of $15,000 during the covered 
period. The form shall set forth:
    (i) The name of each lobbyist/registrant or lobbyist/registrant PAC;
    (ii) The address of each lobbyist/registrant or lobbyist/registrant 
PAC;
    (iii) The employer of each lobbyist/registrant; and
    (iv) The aggregate amount of bundled contributions forwarded by or 
received and credited to each lobbyist/registrant or lobbyist/registrant 
PAC by the reporting committee during the covered period.
    (2) Determining whether a person is reasonably known to be a 
lobbyist/registrant or lobbyist/registrant PAC. (i) In order to comply 
with paragraph (b)(1) of this section, a reporting committee must 
consult, in a manner reasonably calculated to find the name of each 
person who is a lobbyist/registrant or lobbyist/registrant PAC, the Web 
sites maintained by the Clerk of the House of Representatives, the 
Secretary of the Senate, and the Federal Election Commission to 
determine whether, at the time a contribution was forwarded to, or 
received by, the reporting committee:
    (A) The person was listed as a current registrant under Section 4(a) 
of the Lobbying Disclosure Act of 1995 (2 U.S.C. 1603(a));
    (B) The person was an individual listed on a current registration 
filed under Section 4(b)(6) or a current report filed under Section 
5(b)(2)(C) of the Lobbying Disclosure Act of 1995 (2 U.S.C. 1603 or 
1604);
    (C) The person identified itself as a lobbyist/registrant PAC on its 
Statement of Organization, FEC Form 1, filed with the Commission; or
    (D) The person was listed as a political committee established or 
controlled by a lobbyist or registrant on a report filed under Sec. 
203(a) of the Honest Leadership and Open Government Act of 2007, 
amending the Lobbying Disclosure Act of 1995 (2 U.S.C. 1604).
    (ii) A manner reasonably calculated to find the name of each person 
who is a lobbyist/registrant or lobbyist/registrant PAC may be 
demonstrated by

[[Page 123]]

the reporting committee producing a computer printout or screen capture 
from a Web browser indicating that the name of the person sought was not 
listed in the results of the Web site consultations performed in 
accordance with paragraph (b)(2)(i) of this section. Such a computer 
printout or screen capture shall constitute conclusive evidence that the 
reporting committee has consulted such Web sites and not found the name 
of the person sought, but shall not be the exclusive means by which the 
reporting committee may provide evidence that it has consulted such Web 
sites and not found the name of the person sought.
    (iii) A reporting committee shall be subject to the reporting 
requirement under paragraph (b)(1) of this section if it had actual 
knowledge that, at the time a contribution was forwarded or received, 
the person whose name is sought was required to be listed on any 
registration or report described in paragraph (b)(2)(i) of this section.
    (c) Lobbyist/Registrant PAC reporting requirements. Any political 
committee that is a lobbyist/registrant PAC as defined in paragraph 
(a)(3) of this section must identify itself as such on FEC Form 1 either 
upon registration with the Commission if it is a new political 
committee, or by amendment in accordance with 11 CFR 102.2(a)(2) if it 
is a political committee registered with the Commission.
    (d) Where to file. Reporting committees shall file either with the 
Secretary of the Senate or with the Federal Election Commission in 
accordance with 11 CFR part 105.
    (e) When to file. Reporting committees must file the forms required 
under this section with the first report that they file under 11 CFR 
104.5 following the end of each covered period.
    (f) Recordkeeping. In addition to any requirements to maintain 
records and accounts under 11 CFR 102.8, 102.9 and 110.6, each reporting 
committee must maintain for three years after the filing of the report 
to which the information relates a record of any bundled contributions 
(see 11 CFR 104.22(a)(6)) provided by a lobbyist/registrant or lobbyist/
registrant PAC that aggregate in excess of $15,000 for any covered 
period. The information required to be maintained is:
    (1) The name and address of the lobbyist/registrant or lobbyist/
registrant PAC;
    (2) The employer of the lobbyist/registrant; and
    (3) The aggregate amount of bundled contributions forwarded by or 
received and credited to each lobbyist/registrant or lobbyist/registrant 
PAC by the reporting committee during the covered period.
    (g) Price index increase. (1) The threshold for reporting bundled 
contributions established in paragraph (b)(1) of this section shall be 
increased by the percent difference between the price index as defined 
at 11 CFR 110.17(d), as certified to the Commission by the Secretary of 
Labor, for the 12 months preceding the beginning of the calendar year 
and the price index for the base period.
    (2) Each contribution bundling threshold so increased shall be the 
threshold in effect for that calendar year.
    (3) For purposes of this paragraph (g), the term base period means 
calendar year 2006.
    (4) If any amount after the increases under this paragraph (g) is 
not a multiple of $100, such amount shall be rounded to the nearest 
multiple of $100.

[74 FR 7302, Feb. 17, 2009]



PART 105_DOCUMENT FILING (52 U.S.C. 30102(g))--Table of Contents



Sec.
105.1 Place of filing; House candidates and their authorized committees 
          (52 U.S.C. 30102(g)(1)).
105.2 Place of filing; Senate candidates, their principal campaign 
          committees, and committees supporting only Senate candidates 
          (52 U.S.C. 30102(g), 30104(g)(3)).
105.3 Place of filing; Presidential candidates and their principal 
          campaign committees (52 U.S.C. 30102(g)(4)).
105.4 Place of filing; political committees and other persons (52 U.S.C. 
          30102(g)(4)).
105.5 Transmittal of microfilm copies and photocopies of original 
          reports filed with the Secretary of the Senate to the 
          Commission (52 U.S.C. 30102(g)(3)).

    Authority: 52 U.S.C. 30102(g), 30104, 30111(a)(8).

[[Page 124]]


    Source: 45 FR 15116, Mar. 7, 1980, unless otherwise noted.



Sec.  105.1  Place of filing; House candidates and their authorized
committees (52 U.S.C. 30102(g)(1)).

    All designations, statements, reports, and notices, as well as any 
modification(s) or amendment(s) thereto, required to be filed under 11 
CFR parts 101, 102, and 104 by a candidate for nomination or election to 
the office of Representative in, or Delegate or Resident Commissioner 
to, the Congress, by his or her authorized committee(s), shall be filed 
in original form with, and received by, the Federal Election Commission.

[61 FR 3550, Feb. 1, 1996]



Sec.  105.2  Place of filing; Senate candidates, their principal
campaign committees, and committees supporting only Senate candidates
(52 U.S.C. 30102(g), 30104(g)(3)).

    (a) General Rule. Except as provided in paragraph (b) of this 
section, all designations, statements, reports, and notices as well as 
any modification(s) or amendment(s) thereto, required to be filed under 
11 CFR parts 101, 102, and 104 by a candidate for nomination or election 
to the office of United States Senator, by his or her principal campaign 
committee or by any other political committee(s) that supports only 
candidates for nomination for election or election to the Senate of the 
United States shall be filed in original form with, and received by, the 
Secretary of the Senate, as custodian for the Federal Election 
Commission.
    (b) Exceptions. 24-hour and 48-hour reports of independent 
expenditures must be filed with the Commission and not with the 
Secretary of the Senate, even if the communication refers to a Senate 
candidate.

[68 FR 420, Jan. 3, 2003]



Sec.  105.3  Place of filing; Presidential candidates and their principal
campaign committees (52 U.S.C. 30102(g)(4)).

    All designations, statements, reports, and notices, as well as any 
modification(s) or amendment(s) thereto, required to be filed under 11 
CFR parts 101, 102 and 104 by a candidate for nomination for election or 
election to the office of President or Vice President of the United 
States or by his or her principal campaign committee shall be filed in 
original form with the Federal Election Commission.



Sec.  105.4  Place of filing; political committees and other persons 
(52 U.S.C. 30102(g)(4)).

    All designations, statements, reports, and notices, as well as any 
modifications or amendments thereto, required to be filed under 11 CFR 
parts 101, 102, and 104 by a political committee other than any 
principal campaign committee or any committee referred to in 11 CFR 
105.2 or 105.3, by persons other than political committees making 
independent expenditures under 11 CFR part 109, and by persons required 
to report the cost of communications under 11 CFR 104.6, shall be filed 
in original form with the Federal Election Commission.

[45 FR 15116, Mar. 7, 1980, as amended at 61 FR 3550, Feb. 1, 1996]



Sec.  105.5  Transmittal of microfilm copies and photocopies of
original reports filed with the Secretary of the Senate to the
Commission (52 U.S.C. 30102(g)(3)).

    (a) Either a microfilmed copy or photocopy of all original 
designations, statements, reports, modifications or amendments required 
to be filed pursuant to 11 CFR 105.2 shall be transmitted by the 
Secretary of the Senate to the Commission as soon as possible, but in 
any case no later than two (2) working days after receiving such 
designations, statements, reports, modifications, or amendments.
    (b) The Secretary of the Senate shall then forward to the Commission 
a microfilm copy and a photocopy of each designation, statement, and 
report, or any modification or amendment thereto, filed with the 
Secretary pursuant to 11 CFR 105.2.
    (c) The Secretary of the Senate shall place a time and date stamp on 
each original designation, statement, report, modification or amendment 
received.

[61 FR 3550, Feb. 1, 1996]

[[Page 125]]



PART 106_ALLOCATIONS OF CANDIDATE AND COMMITTEE ACTIVITIES
--Table of Contents



Sec.
106.1 Allocation of expenses between candidates.
106.2 State allocation of expenditures incurred by authorized committees 
          of Presidential primary candidates receiving matching funds.
106.3 Allocation of expenses between campaign and non-campaign related 
          travel.
106.4 Allocation of polling expenses.
106.5 Allocation of expenses between federal and non-federal activities 
          by national party committees.
106.6 Allocation of expenses between federal and non-federal activities 
          by separate segregated funds and nonconnected committees.
106.7 Allocation of expenses between Federal and non-Federal accounts by 
          party committees, other than for Federal election activities.
106.8 Allocation of expenses for political party committee phone banks 
          that refer to a clearly identified Federal candidate.

    Authority: 52 U.S.C. 30111(a)(8), 30116(b), 30116(g).



Sec.  106.1  Allocation of expenses between candidates.

    (a) General rule. (1) Expenditures, including in-kind contributions, 
independent expenditures, and coordinated expenditures made on behalf of 
more than one clearly identified Federal candidate shall be attributed 
to each such candidate according to the benefit reasonably expected to 
be derived. For example, in the case of a publication or broadcast 
communication, the attribution shall be determined by the proportion of 
space or time devoted to each candidate as compared to the total space 
or time devoted to all candidates. In the case of a fundraising program 
or event where funds are collected by one committee for more than one 
clearly identified candidate, the attribution shall be determined by the 
proportion of funds received by each candidate as compared to the total 
receipts by all candidates. In the case of a phone bank, the attribution 
shall be determined by the number of questions or statements devoted to 
each candidate as compared to the total number of questions or 
statements devoted to all candidates. These methods shall also be used 
to allocate payments involving both expenditures on behalf of one or 
more clearly identified Federal candidates and disbursements on behalf 
of one or more clearly identified non-Federal candidates.
    (2) An expenditure made on behalf of more than one clearly 
identified Federal candidate shall be reported pursuant to 11 CFR 
104.10(a) or 104.17(a), as appropriate. A payment that also includes 
amounts attributable to one or more non-Federal candidates, and that is 
made by a political committee with separate Federal and non-Federal 
accounts, shall be made according to the procedures set forth in 11 CFR 
106.6(e) or 106.7(f), but shall be reported pursuant to 11 CFR 104.10(a) 
or 104.17(a). If a State, district, or local party committee's payment 
on behalf of both a Federal candidate and a non-Federal candidate is for 
a Federal election activity, only Federal funds may be used for the 
entire payment. For Federal election activities, the provisions of 11 
CFR 300.33 and 104.17(a) will apply to payments attributable to 
candidates.
    (b) An authorized expenditure made by a candidate or political 
committee on behalf of another candidate shall be reported as a 
contribution in-kind (transfer) to the candidate on whose behalf the 
expenditure was made, except that expenditures made by party committees 
pursuant to Sec.  109.32 or 109.33 need only be reported as an 
expenditure.
    (c) Exceptions: (1) Expenditures for rent, personnel, overhead, 
general administrative, fund-raising, and other day-to-day costs of 
political committees need not be attributed to individual candidates, 
unless these expenditures are made on behalf of a clearly identified 
candidate and the expenditure can be directly attributed to that 
candidate.
    (2) Expenditures for educational campaign seminars, for training of 
campaign workers, and for registration or get-out-the-vote drives of 
committees need not be attributed to individual candidates unless these 
expenditures are made on behalf of a clearly identified candidate, and 
the expenditure can be directly attributed to that candidate.

[[Page 126]]

    (3) Payments made for the cost of certain voter registration and 
get-out-the-vote activities conducted by State or local party 
organizations on behalf of any Presidential or Vice-Presidential 
candidate(s) are exempt from the definition of a contribution or an 
expenditure under 11 CFR 100.89 and 100.149. If the State or local party 
organization includes references to any candidate(s) seeking nomination 
or election to the House of Representatives or Senate of the United 
States the portion of the cost of such activities allocable to such 
candidate(s) shall be considered a contribution to or an expenditure on 
behalf of such candidate(s), unless such reference is incidental to the 
overall activity. If such reference is incidental to the overall 
activity, such costs shall not be considered a contribution to or 
expenditure on behalf of any candidate(s).
    (d) For purposes of this section, clearly identified shall have the 
same meaning as set forth at 11 CFR 100.17.
    (e) State, district, and local party committees, separate segregated 
funds, and nonconnected committees that make mixed Federal/non-Federal 
payments for activities other than an activity entailing an expenditure 
for a Federal candidate and disbursement for a non-Federal candidate, or 
that make mixed Federal/Levin fund payments, shall allocate those 
expenses in accordance with 11 CFR 106.6, 106.7, or 300.33, as 
appropriate.

(52 U.S.C. 30111(a)(8))

[41 FR 35944, Aug. 25, 1976, as amended at 45 FR 15117, Mar. 7, 1980; 45 
FR 21209, Apr. 1, 1980; 55 FR 26069, June 26, 1990; 60 FR 35305, July 6, 
1995; 67 FR 49115, July 29, 2002; 67 FR 78681, Dec. 26, 2002]



Sec.  106.2  State allocation of expenditures incurred by authorized
committees of Presidential primary candidates receiving matching funds.

    (a) General--(1) This section applies to Presidential primary 
candidates receiving or expecting to receive federal matching funds 
pursuant to 11 CFR parts 9031 et seq. The expenditures described in 11 
CFR 106.2(b)(2) shall be allocated to a particular State if incurred by 
a candidate's authorized committee(s) for the purpose of influencing the 
nomination of that candidate for the office of President with respect to 
that State. An expenditure shall not necessarily be allocated to the 
State in which the expenditure is incurred or paid. In the event that 
the Commission disputes the candidate's allocation or claim of exemption 
for a particular expense, the candidate shall demonstrate, with 
supporting documentation, that his or her proposed method of allocation 
or claim of exemption was reasonable. Expenditures required to be 
allocated to the primary election under 11 CFR 9034.4(e) shall also be 
allocated to particular states in accordance with this section.
    (2) Disbursements made prior to the time an individual becomes a 
candidate for the purpose of determining whether that individual should 
become a candidate pursuant to 11 CFR 100.72(a) and 100.131(a), i.e., 
payments for testing the waters, shall be allocable expenditures under 
this section if the individual becomes a candidate.
    (b) Method of allocating expenditures among States--(1) General 
allocation method. Unless otherwise specified under 11 CFR 106.2(b)(2), 
an expenditure described in 11 CFR 106.2(b)(2) and incurred by a 
candidate's authorized committee(s) for the purpose of influencing the 
nomination of that candidate in more than one State shall be allocated 
to each State on a reasonable and uniformly applied basis. The total 
amount allocated to a particular State may be reduced by the amount of 
exempt fundraising expenses for that State, as specified in 11 CFR 
110.8(c)(2).
    (2) Specific allocation methods. Expenditures that fall within the 
categories listed below shall be allocated based on the following 
methods. The method used to allocate a category of expenditures shall be 
based on consistent data for each State to which an allocation is made.
    (i) Media expenditures--(A) Print media. Except for expenditures 
exempted under 11 CFR 106.2(b)(2)(i) (E) and (F), allocation of 
expenditures for the publication and distribution of newspaper, magazine 
and other types of printed advertisements distributed in more than one 
State shall be made using relative circulation percentages in each State 
or an estimate thereof. For purposes of this section, allocation

[[Page 127]]

to a particular State will not be required if less than 3% of the total 
estimated readership of the publication is in that State.
    (B) Broadcast media. Except for expenditures exempted under 11 CFR 
106.2(b)(2)(i) (E) and (F), expenditures for radio, television and 
similar types of advertisements purchased in a particular media market 
that covers more than one State shall be allocated to each State in 
proportion to the estimated audience. This allocation of expenditures, 
shall be made using industry market data. If industry market data is not 
available, the committee shall obtain market data from the media carrier 
transmitting the advertisement(s).
    (C) Refunds for media expenditures. Refunds for broadcast time or 
advertisement space, purchased but not used, shall be credited to the 
States on the same basis as the original allocation.
    (D) Limits on allocation of media expenditures. No allocation of 
media expenditures shall be made to any State in which the primary 
election has already been held.
    (E) National advertising. Expenditures incurred for advertisements 
on national networks, national cable or in publications distributed 
nationwide need not be allocated to any State.
    (F) Media production costs. Expenditures incurred for production of 
media advertising, whether or not that advertising is used in more than 
one State, need not be allocated to any State.
    (G) Commissions. Expenditures for commissions, fees and other 
compensation for the purchase of broadcast or print media need not be 
allocated to any State.
    (ii) Expenditures for mass mailings and other campaign materials. 
Expenditures for mass mailings of more than 500 pieces to addresses in 
the same State, and expenditures for shipping campaign materials to a 
State, including pins, bumperstickers, handbills, brochures, posters and 
yardsigns, shall be allocated to that State. For purposes of this 
section, mass mailing includes newsletters and other materials in which 
the content of the materials is substantially identical. Records 
supporting the committee's allocations under this section shall include: 
For each mass mailing, documentation showing the total number of pieces 
mailed and the number mailed to each state or zip code; and, for other 
campaign materials acquired for use outside the State of purchase, 
records relating to any shipping costs incurred for transporting these 
items to each State.
    (iii) Overhead expenditures--(A) Overhead expenditures of State 
offices and other facilities. Except for expenditures exempted under 11 
CFR 106.2(b)(2)(iii)(C), overhead expenditures of committee offices 
whose activities are directed at a particular State, and the costs of 
other facilities used for office functions and campaign events, shall be 
allocated to that State. An amount that does not exceed 10% of office 
overhead expenditures for a particular State may be treated as exempt 
compliance expenses, and may be excluded from allocation to that State.
    (B) Overhead expenditures of regional offices. Except for 
expenditures exempted under 11 CFR 106.2(b)(2)(iii)(C), overhead 
expenditures of a committee regional office or any committee office with 
responsibilities in two or more States shall be allocated to the State 
holding the next primary election, caucus or convention in the region. 
The committee shall maintain records to demonstrate that an office 
operated on a regional basis. These records should show, for example, 
the kinds of programs conducted from the office, the number and nature 
of contacts with other States in the region, and the amount of time 
devoted to regional programs by staff working in the regional office.
    (C) Overhead expenditures of national campaign headquarters. 
Expenditures incurred for administrative, staff, and overhead 
expenditures of the national campaign headquarters need not be allocated 
to any State, except as provided in paragraph (b)(2)(iv) of this 
section.
    (D) Definition of overhead expenditures. For purposes of 11 CFR 
106.2(b)(2)(iii), overhead expenditures include, but are not limited to, 
rent, utilities, equipment, furniture, supplies, and telephone service 
base charges. ``Telephone service base charges'' include any regular 
monthly charges for committee

[[Page 128]]

phone service, and charges for phone installation and intrastate phone 
calls other than charges related to a special program under 11 CFR 
106.2(b)(2)(iv). Inter-state calls are not included in ``telephone 
service base charges.'' Overhead expenditures also include the costs of 
temporary offices established while the candidate is traveling in the 
State or in the final weeks before the primary election, as well as 
expenses paid by campaign staff and subsequently reimbursed by the 
committee, such as miscellaneous supplies, copying, printing and 
telephone expenses. See 11 CFR 116.5.
    (iv) Expenditures for special telephone programs. Expenditures for 
special telephone programs targeted at a particular State, including the 
costs of designing and operating the program, the costs of installing or 
renting telephone lines and equipment, toll charges, personnel costs, 
consultants' fees, related travel costs, and rental of office space, 
including a pro rata portion of national, regional or State office space 
used for such purposes, shall be allocated to that State based on the 
percentage of telephone calls made to that State. Special telephone 
programs include voter registration, get out the vote efforts, 
fundraising, and telemarketing efforts conducted on behalf of the 
candidate. A special telephone program is targeted at a particular State 
if 10% or more of the total telephone calls made each month are made to 
that State. Records supporting the committee's allocation of each 
special telephone program under this section shall include either the 
telephone bills showing the total number of calls made in that program 
and the number made to each State; or, a copy of the list used to make 
the calls, from which these numbers can be determined.
    (v) Public opinion poll expenditures. Expenditures incurred for the 
taking of a public opinion poll covering only one State shall be 
allocated to that State. Except for expenditures incurred in conducting 
a public opinion poll on a nationwide basis, expenditures incurred for 
the taking of a public opinion poll covering two or more States shall be 
allocated to those States based on the number of people interviewed in 
each State. Expenditures incurred for the taking of a public opinion 
poll include consultant's fees, travel costs and other expenses 
associated with designing and conducting the poll. Records supporting 
the committee's allocation under this section shall include 
documentation showing the total number of people contacted for each poll 
and the number contacted in each State.
    (3) National consulting fees. Expenditures for consultants' fees 
need not be allocated to any State if the fees are charged for 
consulting on national campaign strategy. Expenditures for consultants' 
fees charged for conducting special telephone programs and public 
opinion polls shall be allocated in accordance with paragraphs (b)(2) 
(iv) and (v) of this section.
    (c) Reporting. All expenditures allocated under this section shall 
be reported on FEC Form 3P, page 3.
    (d) Recordkeeping. All assumptions and supporting calculations for 
allocations made under this section shall be documented and retained for 
Commission inspection. In addition to the records specified in paragraph 
(b) of this section, the treasurer shall retain records supporting the 
committee's allocations of expenditures to particular States and claims 
of exemption from allocation under this section. If the records 
supporting the allocation or claim of exemption are not retained, the 
expenditure shall be considered allocable and shall be allocated to the 
State holding the next primary election, caucus or convention after the 
expenditure is incurred.

[56 FR 35909, July 29, 1991, as amended at 60 FR 31872, June 16, 1995; 
67 FR 78681, Dec. 26, 2002]



Sec.  106.3  Allocation of expenses between campaign and non-campaign
related travel.

    (a) This section applies to allocation for expenses between campaign 
and non-campaign related travel with respect to campaigns of candidates 
for Federal office, other than Presidential and Vice Presidential 
candidates who receive federal funds pursuant to 11 CFR part 9005 or 
9036. (See 11 CFR 9004.7 and 9034.7) All expenditures for campaign-
related travel paid for by a candidate from a campaign account or

[[Page 129]]

by his or her authorized committees or by any other political committee 
shall be reported.
    (b)(1) Travel expenses paid for by a candidate from personal funds, 
or from a source other than a political committee, shall constitute 
reportable expenditures if the travel is campaign-related.
    (2) Where a candidate's trip involves both campaign-related and non-
campaign-related stops, the expenditures allocable for campaign purposes 
are reportable, and are calculated on the actual cost-per-mile of the 
means of transportation actually used, starting at the point of origin 
of the trip, via every campaign-related stop and ending at the point of 
origin.
    (3) Where a candidate conducts any campaign-related activity in a 
stop, the stop is a campaign-related stop and travel expenditures made 
are reportable. Campaign-related activity shall not include any 
incidental contacts.
    (c)(1) Where an individual, other than a candidate, conducts 
campaign-related activities on a trip, the portion of the trip 
attributed to each candidate shall be allocated on a reasonable basis.
    (2) Travel expenses of a candidate's spouse and family are 
reportable as expenditures only if the spouse or family members conduct 
campaign-related activities.
    (d) Costs incurred by a candidate for the United States Senate or 
House of Representatives for travel between Washington, DC, and the 
State or district in which he or she is a candidate need not be reported 
herein unless the costs are paid by a candidate's authorized 
committee(s), or by any other political committee(s).
    (e) Notwithstanding paragraphs (b) and (c) of this section, the 
reportable expenditure for a candidate who uses government 
accommodations for travel that is campaign-related is the rate for 
comparable accommodations. The reportable expenditure for a candidate 
who uses a government conveyance for travel that is campaign-related is 
the applicable rate for a comparable commercial conveyance set forth in 
11 CFR 100.93(e). In the case of a candidate authorized by law or 
required by national security to be accompanied by staff and equipment, 
the allocable expenditures are the costs of facilities sufficient to 
accommodate the party, less authorized or required personnel and 
equipment. If such a trip includes both campaign and noncampaign stops, 
equivalent costs are calculated in accordance with paragraphs (b) and 
(c) of this section.

(52 U.S.C. 30111(a)(8))

[41 FR 35944, Aug. 25, 1976, as amended at 45 FR 15117, Mar. 7, 1980; 45 
FR 43387, June 27, 1980; 48 FR 5234, Feb. 4, 1983; 68 FR 69595, Dec. 15, 
2003]



Sec.  106.4  Allocation of polling expenses.

    (a) The purchase of opinion poll results by a candidate or a 
candidate's authorized political committee or agent is an expenditure by 
the candidate. Regarding the purchase of opinion poll results for the 
purpose of determining whether an individual should become a candidate, 
see 11 CFR 100.131(a).
    (b) The purchase of opinion poll results by a political committee or 
other person not authorized by a candidate to make expenditures and the 
subsequent acceptance of the poll results by a candidate or a 
candidate's authorized political committee or agent or by another 
unauthorized political committee is a contribution in-kind by the 
purchaser to the candidate or other political committee and an 
expenditure by the candidate or other political committee. Regarding the 
purchase of opinion poll results for the purpose of determining whether 
an individual should become a candidate, see 11 CFR 100.72(a). The poll 
results are accepted by a candidate or other political committee if the 
candidate or the candidate's authorized political committee or agent or 
the other unauthorized political committee--
    (1) Requested the poll results before their receipt;
    (2) Uses the poll results; or
    (3) Does not notify the contributor that the results are refused.
    (c) The acceptance of any part of a poll's results which part, prior 
to receipt, has been made public without any request, authorization, 
prearrangement, or coordination by the candidate-receipient or political 
committee-recipient, shall not be treated

[[Page 130]]

as a contribution in-kind and expenditure under paragraph (b) of this 
section.
    (d) The purchase of opinion poll results by an unauthorized 
political committee for its own use, in whole or in part, is an overhead 
expenditure by the political committee under Sec.  106.1(c)(1) to the 
extent of the benefit derived by the committee.
    (e) The amount of a contribution under paragraph (b) of this section 
or of any expenditure under paragraphs (a) and (b) of this section 
attributable to each candidate-recipient or political committee-
recipient shall be--
    (1) That share of the overall cost of the poll which is allocable to 
each candidate (including State and local candidates) or political 
committee, based upon the cost allocation formula of the polling firm 
from which the results are purchased. Under this method the size of the 
sample, the number of computer column codes, the extent of computer 
tabulations, and the extent of written analysis and verbal consultation, 
if applicable, may be used to determine the shares; or
    (2) An amount computed by dividing the overall cost of the poll 
equally among candidates (including State and local candidates) or 
political committees receiving the results; or
    (3) A proportion of the overall cost of the poll equal to the 
proportion that the number of question results received by the candidate 
or political committee bears to the total number of question results 
received by all candidates (including State and local candidates) and 
political committees; or
    (4) An amount computed by any other method which reasonably reflects 
the benefit derived.
    (f) The first candidate(s) or committee(s) receiving poll results 
under paragraph (b) or (d) of this section and any candidate or 
political committee receiving poll results under paragraph (b) of this 
section within 15 days after receipt by the initial recipient(s) shall 
compute the amount of the contribution in-kind and the expenditure as 
provided in paragraph (e) of this section.
    (g) The amount of the contribution and expenditure reported by a 
candidate or a political committee receiving poll results under 
paragraph (b) of this section more than 15 days after receipt of such 
poll results by the initial recipient(s) shall be--
    (1) If the results are received during the period 16 to 60 days 
following receipt by the initial recipient(s), 50 percent of the amount 
allocated to an initial recipient of the same results;
    (2) If the results are received during the period 61 to 180 days 
after receipt by the initial recipient(s), 5 percent of the amount 
allocated to an initial recipient of the same results;
    (3) If the results are received more than 180 days after receipt by 
the initial recipient(s), no amount need be allocated.
    (h) A contributor of poll results under paragraph (b) of this 
section shall maintain records sufficient to support the valuation of 
the contribution(s) in-kind and shall inform the candidate-recipient(s) 
or political committee-recipient(s) of the value of the contribution(s).

[41 FR 35944, Aug. 25, 1976, as amended at 45 FR 21209, Apr. 1, 1980; 67 
FR 78681, Dec. 26, 2002]



Sec.  106.5  Allocation of expenses between federal and non-federal
activities by national party committees.

    (a) General rules--(1) Disbursements from Federal and non-Federal 
accounts. National party committees that make disbursements in 
connection with Federal and non-Federal elections shall make those 
disbursements entirely from funds subject to the prohibitions and 
limitations of the Act, or from accounts established pursuant to 11 CFR 
102.5. Political committees that have established separate Federal and 
non-Federal accounts under 11 CFR 102.5(a)(1)(i) shall allocate expenses 
between those accounts according to this section. Organizations that are 
not political committees but have established separate Federal and non-
Federal accounts under 11 CFR 102.5(b)(1)(i), or that make Federal and 
non-Federal disbursements from a single account under 11 CFR 
102.5(b)(1)(ii), shall also allocate their Federal and non-Federal 
expenses according to this section. This section covers:

[[Page 131]]

    (i) General rules regarding allocation of Federal and non-Federal 
expenses by party committees;
    (ii) Percentages to be allocated for administrative expenses and 
costs of generic voter drives by national party committees;
    (iii) Methods for allocation of administrative expenses, costs of 
generic voter drives, and of fundraising costs by national party 
committees; and
    (iv) Procedures for payment of allocable expenses. Requirements for 
reporting of allocated disbursements are set forth in 11 CFR 104.10.
    (2) Costs to be allocated. National party committees that make 
disbursements in connection with Federal and non-Federal elections shall 
allocate expenses according to this section for the following categories 
of activity:
    (i) Administrative expenses including rent, utilities, office 
supplies, and salaries, except for such expenses directly attributable 
to a clearly identified candidate;
    (ii) The direct costs of a fundraising program or event including 
disbursements for solicitation of funds and for planning and 
administration of actual fundraising events, where Federal and non-
Federal funds are collected by one committee through such program or 
event; and
    (iii) [Reserved]
    (iv) Generic voter drives including voter identification, voter 
registration, and get-out-the-vote drives, or any other activities that 
urge the general public to register, vote or support candidates of a 
particular party or associated with a particular issue, without 
mentioning a specific candidate.
    (b) National party committees other than Senate or House campaign 
committees; fixed percentages for allocating administrative expenses and 
costs of generic voter drives--(1) General rule. Each national party 
committee other than a Senate or House campaign committee shall allocate 
a fixed percentage of its administrative expenses and costs of generic 
voter drives, as described in paragraph (a)(2) of this section, to its 
Federal and non-Federal account(s) each year. These percentages shall 
differ according to whether or not the allocable expenses were incurred 
in a presidential election year. Such committees shall allocate the 
costs of each combined Federal and non-Federal fundraising program or 
event according to paragraph (f) of this section, with no fixed 
percentages required.
    (2) Fixed percentages according to type of election year. National 
party committees other than the Senate or House campaign committees 
shall allocate their administrative expenses and costs of generic voter 
drives according to paragraphs (b)(2) (i) and (ii) as follows:
    (i) Presidential election years. In presidential election years, 
national party committees other than the Senate or House campaign 
committees shall allocate to their Federal accounts at least 65% each of 
their administrative expenses and costs of generic voter drives.
    (ii) Non-presidential election years. In all years other than 
presidential election years, national party committees other than the 
Senate or House campaign committees shall allocate to their Federal 
accounts at least 60% each of their administrative expenses and costs of 
generic voter drives.
    (c) Senate and House campaign committees of a national party; method 
and minimum Federal percentage for allocating administrative expenses 
and costs of generic voter drives--(1) Method for allocating 
administrative expenses and costs of generic voter drives. Subject to 
the minimum percentage set forth in paragraph (c)(2) of this section, 
each Senate or House campaign committee of a national party shall 
allocate its administrative expenses and costs of generic voter drives, 
as described in paragraph (a)(2) of this section, according to the funds 
expended method, described in paragraphs (c)(1)(i) and (ii) as follows:
    (i) Under this method, expenses shall be allocated based on the 
ratio of Federal expenditures to total Federal and non-Federal 
disbursements made by the committee during the two-year Federal election 
cycle. This ratio shall be estimated and reported at the beginning of 
each Federal election cycle, based upon the committee's Federal and non-
Federal disbursements in a prior comparable Federal election cycle or 
upon the committee's reasonable prediction of its disbursements for the 
coming two years. In calculating

[[Page 132]]

its Federal expenditures, the committee shall include only amounts 
contributed to or otherwise spent on behalf of specific federal 
candidates. Calculation of total Federal and non-Federal disbursements 
shall also be limited to disbursements for specific candidates, and 
shall not include overhead or other generic costs.
    (ii) On each of its periodic reports, the committee shall adjust its 
allocation ratio to reconcile it with the ratio of actual Federal and 
non-Federal disbursements made, to date. If the non-Federal account has 
paid more than its allocable share, the committee shall transfer funds 
from its Federal to its non-Federal account, as necessary, to reflect 
the adjusted allocation ratio. The committee shall make note of any such 
adjustments and transfers on its periodic reports, submitted pursuant to 
11 CFR 104.5.
    (2) Minimum Federal percentage for administrative expenses and costs 
of generic voter drives. Regardless of the allocation ratio calculated 
under paragraph (c)(1) of this section, each Senate or House campaign 
committee of a national party shall allocate to its Federal account at 
least 65% each of its administrative expenses and costs of generic voter 
drives each year. If the committee's own allocation calculation under 
paragraph (c)(1) of this section yields a Federal share greater than 
65%, then the higher percentage shall be applied. If such calculation 
yields a Federal share lower than 65%, then the committee shall report 
its calculated ratio according to 11 CFR 104.10(b), and shall apply the 
required minimum Federal percentage.
    (3) Allocation of fundraising costs. Senate and House campaign 
committees shall allocate the costs of each combined Federal and non-
Federal fundraising program or event according to paragraph (f) of this 
section, with no minimum percentages required.
    (d)-(e) [Reserved]
    (f) National party committees; method for allocating direct costs of 
fundraising. (1) If Federal and non-Federal funds are collected by one 
committee through a joint activity, that committee shall allocate its 
direct costs of fundraising, as described in paragraph (a)(2) of this 
section, according to the funds received method. Under this method, the 
committee shall allocate its fundraising costs based on the ratio of 
funds received into its Federal account to its total receipts from each 
fundraising program or event. This ratio shall be estimated prior to 
each such program or event based upon the committee's reasonable 
prediction of its Federal and non-Federal revenue from that program or 
event, and shall be noted in the committee's report for the period in 
which the first disbursement for such program or event occurred, 
submitted pursuant 11 CFR 104.5. Any disbursements for fundraising costs 
made prior to the actual program or event shall be allocated according 
to this estimated ratio.
    (2) No later than the date 60 days after each fundraising program or 
event from which both Federal and non-Federal funds are collected, the 
committee shall adjust the allocation ratio for that program or event to 
reflect the actual ratio of funds received. If the non-Federal account 
has paid more than its allocable share, the committee shall transfer 
funds from its Federal to its non-Federal account, as necessary, to 
reflect the adjusted allocation ratio. If the Federal account has paid 
more than its allocable share, the committee shall make any transfers of 
funds from its non-federal to its federal account to reflect the 
adjusted allocation ratio within the 60-day time period established by 
this paragraph. The committee shall make note of any such adjustments 
and transfers in its report for any period in which a transfer was made, 
and shall also report the date of the fundraising program or event that 
serves as the basis for the transfer. In the case of a telemarketing or 
direct mail campaign, the date for purposes of this paragraph is the 
last day of the telemarketing campaign, or the day on which the final 
direct mail solicitations are mailed.
    (g) Payment of allocable expenses by committees with separate 
Federal and non-Federal accounts--(1) Payment options. Committees that 
have established separate Federal and non-Federal accounts under 11 CFR 
102.5(a)(1)(i) or (b)(1)(i) shall pay the expenses of joint Federal and 
non-Federal activities described in paragraph (a)(2) of

[[Page 133]]

this section according to either paragraph (g)(1)(i) or (ii), as 
follows:
    (i) Payment by Federal account; transfers from non-Federal account 
to Federal account. The committee shall pay the entire amount of an 
allocable expense from its Federal account and shall transfer funds from 
its non-Federal account to its Federal account solely to cover the non-
Federal share of that allocable expense.
    (ii) Payment by separate allocation account; transfers from Federal 
and non-Federal accounts to allocation account. (A) The committee shall 
establish a separate allocation account into which funds from its 
Federal and non-Federal accounts shall be deposited solely for the 
purpose of paying the allocable expenses of joint Federal and non-
Federal activities. Once a committee has established a separate 
allocation account for this purpose, all allocable expenses shall be 
paid from that account for as long as the account is maintained.
    (B) The committee shall transfer funds from its Federal and non-
Federal accounts to its allocation account in amounts proportionate to 
the Federal or non-Federal share of each allocable expense.
    (C) No funds contained in the allocation account may be transferred 
to any other account maintained by the committee.
    (2) Timing of transfers between accounts. (i) Under either payment 
option described in paragraphs (g)(1)(i) or (ii) of this section, the 
committee shall transfer funds from its non-Federal account to its 
Federal account or from its Federal and non-Federal accounts to its 
separate allocation account following determination of the final cost of 
each joint Federal and non-Federal activity, or in advance of such 
determination if advance payment is required by the vendor and if such 
payment is based on a reasonable estimate of the activity's final cost 
as determined by the committee and the vendor(s) involved.
    (ii) Funds transferred from a committee's non-Federal account to its 
Federal account or its allocation account are subject to the following 
requirements:
    (A) For each such transfer, the committee must itemize in its 
reports the allocable activities for which the transferred funds are 
intended to pay, as required by 11 CFR 104.10(b)(3); and
    (B) Except as provided in paragraph (f)(2) of this section, such 
funds may not be transferred more than 10 days before or more than 60 
days after the payments for which they are designated are made.
    (iii) Any portion of a transfer from a committee's non-Federal 
account to its Federal account or its allocation account that does not 
meet the requirements of paragraph (g)(2)(ii) of this section shall be 
presumed to be a loan or contribution from the non-Federal account to a 
Federal account, in violation of the Act.
    (3) Reporting transfers of funds and allocated disbursements. A 
political committee that transfers funds between accounts and pays 
allocable expenses according to this section shall report each such 
transfer and disbursement pursuant to 11 CFR 104.10(b).
    (h) Sunset provision. This section applies from November 6, 2002, to 
December 31, 2002. After December 31, 2002, see 11 CFR 106.7(a).

[67 FR 49116, July 29, 2002]



Sec.  106.6  Allocation of expenses between federal and non-federal
activities by separate segregated funds and nonconnected committees.

    (a) General rule. Separate segregated funds and nonconnected 
committees that make disbursements in connection with federal and non-
federal elections shall make those disbursements either entirely from 
funds subject to the prohibitions and limitations of the Act, or from 
accounts established pursuant to 11 CFR 102.5. Separate segregated funds 
and nonconnected committees that have established separate federal and 
non-federal accounts under 11 CFR 102.5 (a)(1)(i), or that make federal 
and non-federal disbursements from a single account under 11 CFR 
102.5(a)(1)(ii), shall allocate their federal and non-federal expenses 
according to paragraphs (c), (d), and (f) of this section. For purposes 
of this section, ``nonconnected committee'' includes any committee which 
conducts activities in connection with an election, but which is not

[[Page 134]]

a party committee, an authorized committee of any candidate for federal 
election, or a separate segregated fund.
    (b) Payments for administrative expenses, voter drives and certain 
public communications--(1) Costs to be allocated. Separate segregated 
funds and nonconnected committees that make disbursements in connection 
with Federal and non-Federal elections shall allocate expenses for the 
following categories of activity in accordance with paragraphs (c) or 
(d) of this section:
    (i) Administrative expenses including rent, utilities, office 
supplies, and salaries not attributable to a clearly identified 
candidate, except that for a separate segregated fund such expenses may 
be paid instead by its connected organization;
    (ii) The direct costs of a fundraising program or event including 
disbursements for solicitation of funds and for planning and 
administration of actual fundraising events, where Federal and non-
Federal funds are collected through such program or event, except that 
for a separate segregated fund such expenses may be paid instead by its 
connected organization;
    (iii) Generic voter drives including voter identification, voter 
registration, and get-out-the-vote drives, or any other activities that 
urge the general public to register, vote or support candidates of a 
particular party or associated with a particular issue, without 
mentioning a specific candidate; and
    (iv) Public communications that refer to a political party, but do 
not refer to any clearly identified Federal or non-Federal candidate;
    (2) Costs not subject to allocation. Separate segregated funds and 
nonconnected committees that make disbursements for the following 
categories of activity shall pay for those activities in accordance with 
paragraph (f) of this section:
    (i) Voter drives, including voter identification, voter 
registration, and get-out-the-vote drives, in which the printed 
materials or scripted messages refer to, or the written instructions 
direct the separate segregated fund's or nonconnected committee's 
employee or volunteer to refer to:
    (A) One or more clearly identified Federal candidates, but do not 
refer to any clearly identified non-Federal candidates; or
    (B) One or more clearly identified Federal candidates and also refer 
to candidates of a particular party or associated with a particular 
issue, but do not refer to any clearly identified non-Federal 
candidates;
    (ii) Voter drives, including voter identification, voter 
registration, and get-out-the-vote drives, in which the printed 
materials or scripted messages refer to, or the written instructions 
direct the separate segregated fund's or nonconnected committee's 
employee or volunteer to refer to:
    (A) One or more clearly identified non-Federal candidates, but do 
not refer to any clearly identified Federal candidates; or
    (B) One or more clearly identified non-Federal candidates and also 
refer to candidates of a particular party or associated with a 
particular issue, but do not refer to any clearly identified Federal 
candidates;
    (iii) Public communications that refer to one or more clearly 
identified Federal candidates, regardless of whether there is reference 
to a political party, but do not refer to any clearly identified non-
Federal candidates; and
    (iv) Public communications that refer to a political party, and 
refer to one or more clearly identified non-Federal candidates, but do 
not refer to any clearly identified Federal candidates.
    (c) [Reserved]
    (d) Method for allocating direct costs of fundraising. (1) If 
federal and non-federal funds are collected by one committee through a 
joint activity, that committee shall allocate its direct costs of 
fundraising, as described in paragraph (b)(1) of this section, according 
to the funds received method. Under this method, the committee shall 
allocate its fundraising costs based on the ratio of funds received into 
its federal account to its total receipts from each fundraising program 
or event. This ratio shall be estimated prior to each such program or 
event based upon the committee's reasonable prediction of its federal 
and non-federal revenue from that program or event, and shall be noted 
in the committee's report for the period in which

[[Page 135]]

the first disbursement for such program or event occurred, submitted 
pursuant to 11 CFR 104.5. Any disbursements for fundraising costs made 
prior to the actual program or event shall be allocated according to 
this estimated ratio.
    (2) No later than the date 60 days after each fundraising program or 
event from which both federal and non-federal funds are collected, the 
committee shall adjust the allocation ratio for that program or event to 
reflect the actual ratio of funds received. If the non-federal account 
has paid more than its allocable share, the committee shall transfer 
funds from its federal to its non-federal account, as necessary, to 
reflect the adjusted allocation ratio. If the federal account has paid 
more than its allocable share, the committee shall make any transfers of 
funds from its non-federal to its federal account to reflect the 
adjusted allocation ratio within the 60-day time period established by 
this paragraph. The committee shall make note of any such adjustments 
and transfers in its report for any period in which a transfer was made, 
and shall also report the date of the fundraising program or event which 
serves as the basis for the transfer. In the case of a telemarketing or 
direct mail campaign, the ``date'' for purposes of this paragraph is the 
last day of the telemarketing campaign, or the day on which the final 
direct mail solicitations are mailed.
    (e) Payment of allocable expenses by committees with separate 
federal and non-federal accounts--(1) Payment options. Nonconnected 
committees and separate segregated funds that have established separate 
federal and non-federal accounts under 11 CFR 102.5 (a)(1)(i) shall pay 
the expenses of joint federal and non-federal activities described in 
paragraph (b) of this section according to either paragraph (e)(1)(i) or 
(ii), as follows:
    (i) Payment by federal account; transfers from non-federal account 
to federal account. The committee shall pay the entire amount of an 
allocable expense from its federal account and shall transfer funds from 
its non-federal account to its federal account solely to cover the non-
federal share of that allocable expense.
    (ii) Payment by separate allocation account; transfers from federal 
and non-federal accounts to allocation account. (A) The committee shall 
establish a separate allocation account into which funds from its 
federal and non-federal accounts shall be deposited solely for the 
purpose of paying the allocable expenses of joint federal and non-
federal activities. Once a committee has established an allocation 
account for this purpose, all allocable expenses shall be paid from that 
account for as long as the account is maintained.
    (B) The committee shall transfer funds from its federal and non-
federal accounts to its allocation account in amounts proportionate to 
the federal or non-federal share of each allocable expense.
    (C) No funds contained in the allocation account may be transferred 
to any other account maintained by the committee.
    (2) Timing of transfers between accounts. (i) Under either payment 
option described in paragraphs (e)(1) (i) or (ii) of this section, the 
committee shall transfer funds from its non-federal account or from its 
federal and non-federal accounts to its separate allocation account 
following determination of the final cost of each joint federal and non-
federal activity, or in advance of such determination if advance payment 
is required by the vendor and if such payment is based on a reasonable 
estimate of the activity's final cost as determined by the committee and 
the vendor(s) involved.
    (ii) Funds transferred from a committee's non-federal account to its 
federal account or its allocation account are subject to the following 
requirements:
    (A) For each such transfer, the committee must itemize in its 
reports the allocable activities for which the tranferred funds are 
intended to pay, as required by 11 CFR 104.10(b)(3); and
    (B) Except as provided in paragraph (d)(2) of this section, such 
funds may not be transferred more than 10 days before or more than 60 
days after the payments for which they are designated are made.
    (iii) Any portion of a transfer from a committee's non-federal 
account to its

[[Page 136]]

federal account or its allocation account that does not meet the 
requirements of paragraph (e)(2)(ii) of this section shall be presumed 
to be a loan or contribution from the non-federal account to a federal 
account, in violation of the Act.
    (3) Reporting transfers of funds and allocated disbursements. A 
political committee that transfers funds between accounts and pays 
allocable expenses according to this section shall report each such 
transfer and disbursement pursuant to 11 CFR 104.10(b).
    (f) [Reserved]
    Note to 11 CFR 106.6: On November 30, 2009, the United States 
District Court for the District of Columbia ordered that paragraphs (c) 
and (f) of Sec.  106.6 are vacated. See Final Order, EMILY's List v. 
FEC, No. 05-0049 (D.D.C. Nov. 30, 2009).

[55 FR 26071, June 26, 1990, as amended at 57 FR 8993, Mar. 13, 1992; 69 
FR 68067, Nov. 23, 2004; 74 FR 68662, Dec. 29, 2009; 75 FR 13224, Mar. 
19, 2010; 81 FR 34863, June 1, 2016]



Sec.  106.7  Allocation of expenses between Federal and non-Federal
accounts by party committees, other than for Federal election activities.

    (a) National party committees are prohibited from raising or 
spending non-Federal funds. Therefore, these committees shall not 
allocate expenditures and disbursements between Federal and non-Federal 
accounts. All disbursements by a national party committee must be made 
from a Federal account.
    (b) State, district, and local party committees that make 
expenditures and disbursements in connection with both Federal and non-
Federal elections for activities that are not Federal election 
activities pursuant to 11 CFR 100.24 may use only funds subject to the 
prohibitions and limitations of the Act, or they may allocate such 
expenditures and disbursements between their Federal and their non-
Federal accounts. State, district, and local party committees that are 
political committees that have established separate Federal and non-
Federal accounts under 11 CFR 102.5(a)(1)(i) shall allocate expenses 
between those accounts according to paragraphs (c) and (d) of this 
section. Party organizations that are not political committees but have 
established separate Federal and non-Federal accounts, or that make 
Federal and non-Federal disbursements from a single account, shall also 
allocate their Federal and non-Federal expenses according to paragraphs 
(c) and (d) of this section. In lieu of establishing separate accounts, 
party organizations that are not political committees may choose to use 
a reasonable accounting method approved by the Commission (including any 
method embedded in software provided or approved by the Commission) 
pursuant to 11 CFR 102.5 and 300.30.
    (c) Costs allocable by State, district, and local party committees 
between Federal and non-Federal accounts--(1) Salaries, wages, and 
fringe benefits. State, district, and local party committees must either 
pay salaries, wages, and fringe benefits for employees who spend 25% or 
less of their time in a given month on Federal election activity or 
activity in connection with a Federal election with funds from their 
Federal account, or with a combination of funds from their Federal and 
non-Federal accounts, in accordance with paragraph (d)(2) of this 
section. See 11 CFR 300.33(d)(1).
    (2) Administrative costs. State, district, and local party 
committees may either pay administrative costs, including rent, 
utilities, office equipment, office supplies, postage for other than 
mass mailings, and routine building maintenance, upkeep and repair, from 
their Federal account, or allocate such expenses between their Federal 
and non-Federal accounts, except that any such expenses directly 
attributable to a clearly identified Federal candidate must be paid only 
from the Federal account.
    (3) Exempt party activities that are not Federal election 
activities. State, district, and local party committees may pay expenses 
for party activities that are exempt from the definitions of 
contribution and expenditure under 11 CFR 100.80, 100.87 or 100.89, and 
100.140, 100.147 or 100.149, that are conducted in conjunction with non-
Federal activity, and that are not Federal election activities pursuant 
to 11 CFR 100.24, from their Federal accounts, or may allocate these 
expenses between their Federal and non-Federal accounts.
    (4) Certain fundraising costs. State, district, and local party 
committees

[[Page 137]]

may allocate the direct costs of joint fundraising programs or events 
between their Federal and non-Federal accounts according to the funds 
received method described in paragraph (d)(4) of this section. The 
direct costs of a fundraising program or event include expenses for the 
solicitation of funds and for the planning and administration of actual 
fundraising programs and events.
    (5) Voter-drive activities that do not qualify as Federal election 
activities and that are not party exempt activities. Expenses for voter 
identification, voter registration, and get-out-the-vote drives, and any 
other activities that urge the general public to register or vote, or 
that promote or oppose a political party, without promoting or opposing 
a candidate or non-Federal candidate, that do not qualify as Federal 
election activities and that are not exempt party activities, must be 
paid with Federal funds or may be allocated between the committee's 
Federal and non-Federal accounts.
    (d) Allocation percentages, ratios, and record-keeping--(1) Salaries 
and wages. Committees must keep a monthly log of the percentage of time 
each employee spends in connection with a Federal election. Allocations 
of salaries and wages shall be undertaken as follows:
    (i) Except as provided in paragraph (d)(1)(iii) of this section, 
salaries, wages, and fringe benefits paid for employees who spend 25% or 
less of their compensated time in a given month on Federal election 
activities or on activities in connection with a Federal election must 
either be paid only from the Federal account or be allocated as 
administrative costs under paragraph (d)(2) of this section.
    (ii) Salaries, wages, and fringe benefits paid for employees who 
spend more than 25% of their compensated time in a given month on 
Federal election activities or on activities in connection with a 
Federal election must be paid only from a Federal account. See 11 CFR 
300.33(d)(2), and paragraph (e)(2) of this section.
    (iii) Salaries, wages, and fringe benefits paid for employees who 
spend none of their compensated time in a given month on Federal 
election activities or on activities in connection with a Federal 
election may be paid entirely with funds that comply with State law.
    (2) Administrative costs. State, district, and local party 
committees that choose to allocate administrative expenses may do so 
subject to the following requirements:
    (i) Presidential election years. In any even year in which a 
Presidential candidate, but no Senate candidate appears on the ballot, 
and in the preceding year, State, district, and local party committees 
must allocate at least 28% of administrative expenses to their Federal 
accounts.
    (ii) Presidential and Senate election year. In any even year in 
which a Presidential candidate and a Senate candidate appear on the 
ballot, and in the preceding year, State, district, and local party 
committees must allocate at least 36% of administrative expenses to 
their Federal accounts.
    (iii) Senate election year. In any even year in which a Senate 
candidate, but no Presidential candidate, appears on the ballot, and in 
the preceding year, State, district, and local party committees must 
allocate at least 21% of administrative expenses to their Federal 
account.
    (iv) Non-Presidential and non-Senate year. In any even year in which 
neither a Presidential nor a Senate candidate appears on the ballot, and 
in the preceding year, State, district, and local party committees must 
allocate at least 15% of administrative expenses to their Federal 
account.
    (3) Exempt party activities and voter drive activities that are not 
Federal election activities. State, district, and local party committees 
that choose to allocate expenses for exempt activities conducted in 
conjunction with non-Federal activities and voter drive activities, that 
are not Federal election activities, must do so subject to the following 
requirements:
    (i) Presidential election years. In any even year in which a 
Presidential candidate, but no Senate candidate appears on the ballot, 
and in the preceding year, State, district, and local party committees 
must allocate at least 28% of these expenses to their Federal accounts.

[[Page 138]]

    (ii) Presidential and Senate election year. In any even year in 
which a Presidential candidate and a Senate candidate appear on the 
ballot, and in the preceding year, State, district, and local party 
committees must allocate at least 36% of these expenses to their Federal 
accounts.
    (iii) Senate election year. In any even year in which a Senate 
candidate, but no Presidential candidate, appears on the ballot, and in 
the preceding year, State, district, and local party committees must 
allocate at least 21% of these expenses to their Federal account.
    (iv) Non-Presidential and non-Senate year. In any even year in which 
neither a Presidential nor a Senate candidate appears on the ballot, and 
in the preceding year, State, district, and local party committee must 
allocate at least 15% of these expenses to their Federal account.
    (4) Fundraising for Federal and non-Federal accounts. If Federal and 
non-Federal funds are collected by a State, district, or local party 
committee through a joint fundraising activity, that committee must 
allocate its direct fundraising costs using the funds received method 
and according to the following procedures:
    (i) The committee must allocate its fundraising costs based on the 
ratio of funds received into its Federal account to its total receipts 
from each fundraising program or event. This ratio shall be estimated 
prior to each such program or event based upon the committee's 
reasonable prediction of its Federal and non-Federal revenue from that 
program or event, and must be noted in the committee's report for the 
period in which the first disbursement for such program or event 
occurred, submitted pursuant to 11 CFR 104.5. Any disbursements for 
fundraising costs made prior to the actual program or event must be 
allocated according to this estimated ratio.
    (ii) No later than the date 60 days after each fundraising program 
or event from which both Federal and non-Federal funds are collected, 
the committee shall adjust the allocation ratio for that program or 
event to reflect the actual ratio of funds received. If the non-Federal 
account has paid more than its allocable share, the committee shall 
transfer funds from its Federal to its non-Federal account, as 
necessary, to reflect the adjusted allocation ratio. If the Federal 
account has paid more than its allocable share, the committee shall make 
any transfers of funds from its non-Federal to its Federal account to 
reflect the adjusted allocation ratio within the 60-day time period 
established by this paragraph. The committee shall make note of any such 
adjustments and transfers in its report for any period in which a 
transfer was made, and shall also report the date of the fundraising 
program or event that serves as the basis for the transfer. In the case 
of a telemarketing or direct mail campaign, the date for purposes of 
this paragraph is the last day of the telemarketing campaign, or the day 
on which the final direct mail solicitations are mailed.
    (e) Costs not allocable by State, district, and local party 
committees between Federal and non-Federal accounts. The following costs 
incurred by State, district, and local party committees shall be paid 
only with Federal funds:
    (1) Disbursements for State, district, and local party committees 
for activities that refer only to one or more candidates for Federal 
office must not be allocated. All such disbursements must be made from a 
Federal account.
    (2) Salaries and wages. Salaries and wages for employees who spend 
more than 25% of their compensated time in a given month on activities 
in connection with a Federal election must not be allocated. All such 
disbursements must be made from a Federal account. See 11 CFR 
300.33(d)(2).
    (3) Federal election activities. Activities that are Federal 
election activities pursuant to 11 CFR 100.24 must not be allocated 
between Federal and non-Federal accounts. Only Federal funds, or a 
mixture of Federal funds and Levin funds, as provided in 11 CFR 300.33, 
may be used.
    (f) Transfers between accounts to cover allocable expenses. State, 
district, and local party committees may transfer funds from their non-
Federal to their Federal accounts or to an allocation account solely to 
meet allocable expenses under this section and only pursuant to the 
following requirements:

[[Page 139]]

    (1) Payments from Federal accounts or from allocation accounts. (i) 
State, district, and local party committees must pay the entire amount 
of an allocable expense from their Federal accounts and transfer funds 
from their non-Federal account to the Federal account solely to cover 
the non-Federal share of that allocable expense; or
    (ii) State, district, or local party committees may establish a 
separate allocation account into which funds from its Federal and non-
Federal accounts may be deposited solely for the purpose of paying the 
allocable expenses of joint Federal and non-Federal activities.
    (2) Timing. (i) If a Federal or allocation account is used to make 
allocable expenditures and disbursements, State, district, and local 
party committees must transfer funds from their non-Federal to their 
Federal or allocation account to meet allocable expenses no more than 10 
days before and no more than 60 days after the payments for which they 
are designated are made from a Federal or allocation account, except 
that transfers may be made more than 10 days before a payment is made 
from the Federal or allocation account if advance payment is required by 
the vendor(s) and if such payment is based on a reasonable estimate of 
the activity's final costs as determined by the committee and the 
vendor(s) involved.
    (ii) Any portion of a transfer from a committee's non-Federal 
account to its Federal or allocation account that does not meet the 
requirement of paragraph (f)(2)(i) of this section shall be presumed to 
be a loan or contribution from the non-Federal account to the Federal or 
allocation account, in violation of the Act.

[67 FR 49118, July 29, 2002, as amended at 67 FR 78681, Dec. 26, 2002; 
70 FR 75384, Dec. 20, 2005; 81 FR 34863, June 1, 2016]



Sec.  106.8  Allocation of expenses for political party committee
phone banks that refer to a clearly identified Federal candidate.

    (a) Scope. This section applies to the costs of a phone bank 
conducted by a national, State, district, or local committee or 
organization of a political party where--
    (1) The communication refers to a clearly identified Federal 
candidate;
    (2) The communication does not refer to any other clearly identified 
Federal or non-Federal candidate;
    (3) The communication includes another reference that generically 
refers to other candidates of the Federal candidate's party without 
clearly identifying them;
    (4) The communication does not solicit a contribution, donation, or 
any other funds from any person; and
    (5) The phone bank is not exempt from the definition of 
``contribution'' under 11 CFR 100.89 and is not exempt from the 
definition of ``expenditure'' under 11 CFR 100.149.
    (b) Attribution. Each disbursement for the costs of a phone bank 
described in paragraph (a) of this section shall be attributed as 
follows:
    (1) Fifty percent of the disbursement is not attributable to any 
other Federal or non-Federal candidate, but must be paid for entirely 
with Federal funds; and
    (2) Fifty percent of the disbursement is attributed to the clearly 
identified Federal candidate and must be paid for entirely with Federal 
funds. This disbursement may be one or a combination of the following:
    (i) An in-kind contribution, subject to the limitations set forth in 
11 CFR 110.1 or 110.2; or
    (ii) A coordinated expenditure or an independent expenditure, 
subject to the limitations, restrictions, and requirements of 11 CFR 
109.10, 109.32, and 109.33; or
    (iii) Reimbursed by the clearly identified Federal candidate or his 
or her authorized committee.

[68 FR 64520, Nov. 14, 2003, as amended at 69 FR 63920, Nov. 3, 2004]



PART 107_PRESIDENTIAL NOMINATING CONVENTION, REGISTRATION AND REPORTS
--Table of Contents



Sec.
107.1 Registration and reports by political parties.
107.2 Registration and reports by host committees and municipal funds.

    Authority: 52 U.S.C. 30105, 30111(a)(8).

[[Page 140]]


    Source: 59 FR 33615, June 29, 1994, unless otherwise noted.



Sec.  107.1  Registration and reports by political parties.

    Each convention committee established under 11 CFR 9008.3(a)(2) by a 
national committee of a political party and each committee or other 
organization, including a national committee, which represents a 
political party in making arrangements for that party's convention held 
to nominate a presidential or vice presidential candidate shall register 
and report in accordance with 11 CFR 9008.3(b).



Sec.  107.2  Registration and reports by host committees and municipal funds.

    Each host committee and municipal fund shall register and report in 
accordance with 11 CFR 9008.51. The reports shall contain the 
information specified in 11 CFR part 104.

[68 FR 47414, Aug. 8, 2003]



PART 108_FILING COPIES OF REPORTS AND STATEMENTS WITH STATE OFFICERS
(52 U.S.C. 30113)--Table of Contents



Sec.
108.1 Filing requirements (52 U.S.C. 30113(a)(1)).
108.2 Filing copies of reports and statements in connection with the 
          campaign of any candidate seeking nomination for election to 
          the Office of President or Vice-President (52 U.S.C. 
          30113(a)(2)).
108.3 Filing copies of reports and statements in connection with the 
          campaign of any congressional candidate (52 U.S.C. 
          30113(a)(2)).
108.4 Filing copies of reports by committees other than principal 
          campaign committees (52 U.S.C. 30113(a)(2)).
108.5 Time and manner of filing copies (52 U.S.C. 30104(a)(2)).
108.6 Duties of State officers (52 U.S.C. 30113(b)).
108.7 Effect on State law (52 U.S.C. 30143).
108.8 Exemption for the District of Columbia.

    Authority: 52 U.S.C. 30104(a)(2), 30111(a)(8), 30113, 30143.

    Source: 45 FR 15117, Mar. 7, 1980, unless otherwise noted.



Sec.  108.1  Filing requirements (52 U.S.C. 30113(a)(1)).

    (a) Except as provided in paragraph (b) of this section, a copy of 
each report and statement required to be filed by any person under the 
Act shall be filed either with the Secretary of State of the appropriate 
State or with the State officer who is charged by State law with 
maintaining state election campaign reports. In States where reports are 
to be filed with a designated officer other than the Secretary of State, 
the chief executive officer of that State shall notify the Commission of 
such designation.
    (b) The filing requirements and duties of State officers under this 
part 108 shall not apply to a State if the Commission has determined 
that the State maintains a system that can electronically receive and 
duplicate reports and statements filed with the Commission. Once a State 
has obtained a waiver pursuant to this paragraph, the waiver shall apply 
to all reports that can be electronically accessed and duplicated from 
the Commission, regardless of whether the report or statement was 
originally filed with the Commission. The list of States that have 
obtained waivers under this section is available on the Commission's 
website.

[45 FR 15117, Mar. 7, 1980, as amended at 65 FR 15223, Mar. 22, 2000; 68 
FR 420, Jan. 3, 2003]



Sec.  108.2  Filing copies of reports and statements in connection with
the campaign of any candidate seeking nomination for election to the
Office of President or Vice-President (52 U.S.C. 30113(a)(2)).

    Except as provided in Sec.  108.1(b), a copy of each report and 
statement required to be filed under the Act (including 11 CFR part 104) 
by a Presidential or Vice Presidential candidate's principal campaign 
committee, or under 11 CFR 104.4 or part 109 by any other person making 
independent expenditures, in connection with a candidate seeking 
nomination for election to the office of President or Vice-President, 
shall be filed with the State officer of each State in which an 
expenditure is made in connection with the campaign of a candidate 
seeking nomination for election to the office of President or Vice-
President. The

[[Page 141]]

report and statement shall contain all transactions pertaining to that 
State during the reporting period. Any committee, other than a 
Presidential or Vice Presidential candidate's principal campaign 
committee and the candidate's authorized committee(s) shall also file a 
copy of each report and statement with the appropriate State officer of 
the State in which such committee has its headquarters pursuant to 11 
CFR 108.4.

[45 FR 15117, Mar. 7, 1980, as amended at 65 FR 15224, Mar. 22, 2000]



Sec.  108.3  Filing copies of reports and statements in connection with
the campaign of any congressional candidate (52 U.S.C. 30113(a)(2)).

    (a) Except as provided in Sec.  108.1(b), a copy of each report and 
statement required to be filed under 11 CFR part 104 by candidates, and 
the authorized committees of candidates, for nomination for election or 
election to the office of Senator; by other committees that support only 
such candidates; and by the National Republican Senatorial Committee and 
the Democratic Senatorial Campaign Committees shall be filed with the 
appropriate State officer of that State in which an expenditure is made 
in connection with the campaign.
    (b) Except as provided in Sec.  108.1(b), a copy of each report and 
statement required to be filed under 11 CFR part 104 by candidates, and 
authorized committees of candidates, for nomination for election or 
election to the office of Representative in, Delegate or Resident 
Commissioner to the Congress, or by unauthorized committees, or by any 
other person under 11 CFR part 109, in connection with these campaigns 
shall be filed with the appropriate State officer of that State in which 
an expenditure is made in connection with the campaign.
    (c) Unauthorized committees that file reports pursuant to paragraph 
(b) of this section are required to file, and the Secretary of State is 
required to retain, only that portion of the report applicable to 
candidates seeking election in that State.

[65 FR 15224, Mar. 22, 2000]



Sec.  108.4  Filing copies of reports by committees other than principal
campaign committees (52 U.S.C. 30113(a)(2)).

    Except as provided in Sec.  108.1(b), any unauthorized committee 
that makes contributions in connection with a Presidential election and 
that is required to file a report(s) and statement(s) under the Act 
shall file a copy of such report(s) and statement(s) with the State 
officer of the State in which both the recipient and contributing 
committees have their headquarters.

[65 FR 15224, Mar. 22, 2000]



Sec.  108.5  Time and manner of filing copies (52 U.S.C. 30104(a)(2)).

    A copy of any report or statement required to be filed with a State 
officer under 11 CFR part 108 shall be filed at the same time as the 
original report is filed. Each copy of such report or statement shall be 
a complete, true, and legible copy of the original report or statement 
filed.



Sec.  108.6  Duties of State officers (52 U.S.C. 30113(b)).

    Except as provided in Sec.  108.1(b), the Secretary of State, or the 
equivalent State officer, shall carry out the duties set forth in 
paragraphs (a) through (e) of this section:
    (a) Receive and maintain in an orderly manner all reports and 
statements required to be filed;
    (b) Preserve such reports and statements (either in original form or 
in facsimile copy by microfilm or otherwise) filed under the Act for a 
period of 2 years from the date of receipt, except that reports and 
statements that can be accessed and duplicated electronically from the 
Commission need not be so preserved;
    (c) Make the reports and statements filed available as soon as 
practicable (but within 48 hours of receipt) for public inspection and 
copying during office hours and permit copying of any such reports or 
statements by hand or by duplicating machine, at the request of any 
person except that such copying shall be at the expense of the person 
making the request and at a reasonable fee;
    (d) Compile and maintain a current list of all reports and 
statements or

[[Page 142]]

parts of such reports and statements pertaining to each candidate; and
    (e) If the State has received a waiver of these filing requirements 
pursuant to Sec.  108.1(b), allow access to and duplication of reports 
and statements covered by that waiver, except that such access and 
duplication shall be at the expense of the person making the request and 
at a reasonable fee.

[45 FR 15117, Mar. 7, 1980, as amended at 65 FR 15224, Mar. 22, 2000]



Sec.  108.7  Effect on State law (52 U.S.C. 30143).

    (a) The provisions of the Federal Election Campaign Act of 1971, as 
amended, and rules and regulations issued thereunder, supersede and 
preempt any provision of State law with respect to election to Federal 
office.
    (b) Federal law supersedes State law concerning the--
    (1) Organization and registration of political committees supporting 
Federal candidates;
    (2) Disclosure of receipts and expenditures by Federal candidates 
and political committees; and
    (3) Limitation on contributions and expenditures regarding Federal 
candidates and political committees.
    (c) The Act does not supersede State laws which provide for the--
    (1) Manner of qualifying as a candidate or political party 
organization;
    (2) Dates and places of elections;
    (3) Voter registration;
    (4) Prohibition of false registration, voting fraud, theft of 
ballots, and similar offenses;
    (5) Candidate's personal financial disclosure; or
    (6) Application of State law to the funds used for the purchase or 
construction of a State or local party office building to the extent 
described in 11 CFR 300.35.

[45 FR 15117, Mar. 7, 1980, as amended at 67 FR 49119, July 29, 2002]



Sec.  108.8  Exemption for the District of Columbia.

    Any copy of a report required to be filed with the equivalent 
officer in the District of Columbia shall be deemed to be filed if the 
original has been filed with the Secretary or the Commission, as 
appropriate.

[45 FR 15117, Mar. 7, 1980, as amended at 61 FR 6095, Feb. 16, 1996]



PART 109_COORDINATED AND INDEPENDENT EXPENDITURES (52 U.S.C. 30101(17),
30116(a) AND (d), AND PUB. L. 107	155 SEC. 214(C))
--Table of Contents



Sec.

                     Subpart A_Scope and Definitions

109.1 When will this part apply?
109.2 [Reserved]
109.3 Definitions.

                   Subpart B_Independent Expenditures

109.10 How do political committees and other persons report independent 
          expenditures?
109.11 When is a ``non-authorization notice'' (disclaimer) required?

                         Subpart C_Coordination

109.20 What does ``coordinated'' mean?
109.21 What is a ``coordinated communication''?
109.22 Who is prohibited from making coordinated communications?
109.23 Dissemination, distribution, or republication of candidate 
          campaign materials.

       Subpart D_Special Provisions for Political Party Committees

109.30 How are political party committees treated for purposes of 
          coordinated and independent expenditures?
109.31 [Reserved]
109.32 What are the coordinated party expenditure limits?
109.33 May a political party committee assign its coordinated party 
          expenditure authority to another political party committee?
109.34 When may a political party committee make coordinated party 
          expenditures?
109.35 [Reserved]
109.36 Are there circumstances under which a political party committee 
          is prohibited from making independent expenditures?
109.37 What is a ``party coordinated communication''?

    Authority: 52 U.S.C. 30101(17), 30104(c), 30111(a)(8), 30116, 30120; 
Sec. 214(c), Pub. L. 107-155, 116 Stat. 81.

[[Page 143]]


    Source: 68 FR 451, Jan. 3, 2003, unless otherwise noted.



                     Subpart A_Scope and Definitions



Sec.  109.1  When will this part apply?

    This part applies to expenditures that are made independently from a 
candidate, an authorized committee, a political party committee, or 
their agents, and to those payments that are made in coordination with a 
candidate, an authorized committee, a political party committee, or 
their agents. The rules in this part explain how these types of payments 
must be reported and how they must be treated by candidates, authorized 
committees, and political party committees. In addition, subpart D of 
part 109 describes procedures and limits that apply only to payments, 
transfers, and assignments made by political party committees.



Sec.  109.2  [Reserved]



Sec.  109.3  Definitions.

    For the purposes of 11 CFR part 109 only, agent means any person who 
has actual authority, either express or implied, to engage in any of the 
following activities on behalf of the specified persons:
    (a) In the case of a national, State, district, or local committee 
of a political party, any one or more of the activities listed in 
paragraphs (a)(1) through (a)(5) of this section:
    (1) To request or suggest that a communication be created, produced, 
or distributed.
    (2) To make or authorize a communication that meets one or more of 
the content standards set forth in 11 CFR 109.21(c).
    (3) To create, produce, or distribute any communication at the 
request or suggestion of a candidate.
    (4) To be materially involved in decisions regarding:
    (i) The content of the communication;
    (ii) The intended audience for the communication;
    (iii) The means or mode of the communication;
    (iv) The specific media outlet used for the communication;
    (v) The timing or frequency of the communication; or,
    (vi) The size or prominence of a printed communication, or duration 
of a communication by means of broadcast, cable, or satellite.
    (5) To make or direct a communication that is created, produced, or 
distributed with the use of material or information derived from a 
substantial discussion about the communication with a candidate.
    (b) In the case of an individual who is a Federal candidate or an 
individual holding Federal office, any one or more of the activities 
listed in paragraphs (b)(1) through (b)(6) of this section:
    (1) To request or suggest that a communication be created, produced, 
or distributed.
    (2) To make or authorize a communication that meets one or more of 
the content standards set forth in 11 CFR 109.21(c).
    (3) To request or suggest that any other person create, produce, or 
distribute any communication.
    (4) To be materially involved in decisions regarding:
    (i) The content of the communication;
    (ii) The intended audience for the communication;
    (iii) The means or mode of the communication;
    (iv) The specific media outlet used for the communication;
    (v) The timing or frequency of the communication;
    (vi) The size or prominence of a printed communication, or duration 
of a communication by means of broadcast, cable, or satellite.
    (5) To provide material or information to assist another person in 
the creation, production, or distribution of any communication.
    (6) To make or direct a communication that is created, produced, or 
distributed with the use of material or information derived from a 
substantial discussion about the communication with a different 
candidate.

[[Page 144]]



                   Subpart B_Independent Expenditures



Sec.  109.10  How do political committees and other persons report
independent expenditures?

    (a) Political committees, including political party committees, must 
report independent expenditures under 11 CFR 104.4.
    (b) Every person that is not a political committee and that makes 
independent expenditures aggregating in excess of $250 with respect to a 
given election in a calendar year shall file a verified statement or 
report on FEC Form 5 in accordance with 11 CFR 104.4(e) containing the 
information required by paragraph (e) of this section. Every person 
filing a report or statement under this section shall do so in 
accordance with the quarterly reporting schedule specified in 11 CFR 
104.5(a)(1)(i) and (ii) and shall file a report or statement for any 
quarterly period during which any such independent expenditures that 
aggregate in excess of $250 are made and in any quarterly reporting 
period thereafter in which additional independent expenditures are made.
    (c) For each election in which a person who is not a political 
committee makes independent expenditures, the person shall aggregate its 
independent expenditures made in each calendar year to determine its 
reporting obligation. When such a person makes independent expenditures 
aggregating $10,000 or more for an election in any calendar year, up to 
and including the 20th day before an election, the person must report 
the independent expenditures on FEC Form 5, or by signed statement if 
the person is not otherwise required to file electronically under 11 CFR 
104.18. (See 11 CFR 104.4(f) for aggregation.) The person making the 
independent expenditures aggregating $10,000 or more must ensure that 
the Commission receives the report or statement by 11:59 p.m. Eastern 
Standard/Daylight Time on the second 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 $10,000 or more, the person 
making the independent expenditures must ensure that the Commission 
receives a new 48-hour report of the subsequent independent 
expenditures. Each 48-hour report must contain the information required 
by paragraph (e)(1) of this section.
    (d) Every person making, after the 20th day, but more than 24 hours 
before 12:01 a.m. of the day of an election, independent expenditures 
aggregating $1,000 or more with respect to a given election must report 
those independent expenditures and ensure that the Commission receives 
the report or signed statement 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 $1,000 
or more, the person making the independent expenditures must ensure that 
the Commission receives a new 24-hour report of the subsequent 
independent expenditures. (See 11 CFR 104.4(f) for aggregation.) Such 
report or statement shall contain the information required by paragraph 
(e) of this section.
    (e) Content of verified reports and statements and verification of 
reports and statements.
    (1) Contents of verified reports and statement. If a signed report 
or statement is submitted, the report or statement shall include:
    (i) The reporting person's name, mailing address, occupation, and 
the name of his or her employer, if any;
    (ii) The identification (name and mailing address) of the person to 
whom the expenditure was made;
    (iii) The amount, date, and purpose of each expenditure;
    (iv) A statement that indicates whether such expenditure was in 
support of, or in opposition to a candidate, together with the 
candidate's name and office sought;
    (v) A verified certification under penalty of perjury as to whether 
such expenditure was made in cooperation, consultation, or concert with, 
or at the request or suggestion of a candidate, a candidate's authorized 
committee, or their agents, or a political party committee or its 
agents; and

[[Page 145]]

    (vi) The identification of each person who made a contribution in 
excess of $200 to the person filing such report, which contribution was 
made for the purpose of furthering the reported independent expenditure.
    (2) Verification of independent expenditure statements and reports. 
Every person shall verify reports and statements of independent 
expenditures filed pursuant to the requirements of this section by one 
of the methods stated in paragraph (e)(2)(i) or (ii) of this section. 
Any report or statement 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.
    (i) For reports or statements filed on paper (e.g., by hand-
delivery, U.S. Mail, or facsimile machine), the person who made the 
independent expenditure shall certify, under penalty of perjury, the 
independence of the expenditure by handwritten signature immediately 
following the certification required by paragraph (e)(1)(v) of this 
section.
    (ii) For reports or statements filed by electronic mail, the person 
who 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 paragraph 
(e)(1)(v) of this section.

[68 FR 451, Jan. 3, 2003, as amended at 81 FR 34863, June 1, 2016]



Sec.  109.11  When is a ``non-authorization notice'' (disclaimer) required?

    Whenever any person makes an independent expenditure for the purpose 
of financing communications expressly advocating the election or defeat 
of a clearly identified candidate, such person shall comply with the 
requirements of 11 CFR 110.11.



                         Subpart C_Coordination



Sec.  109.20  What does ``coordinated'' mean?

    (a) Coordinated means made in cooperation, consultation or concert 
with, or at the request or suggestion of, a candidate, a candidate's 
authorized committee, or a political party committee. For purposes of 
this subpart C, any reference to a candidate, or a candidate's 
authorized committee, or a political party committee includes an agent 
thereof.
    (b) Any expenditure that is coordinated within the meaning of 
paragraph (a) of this section, but that is not made for a coordinated 
communication under 11 CFR 109.21 or a party coordinated communication 
under 11 CFR 109.37, is either an in-kind contribution to, or a 
coordinated party expenditure with respect to, the candidate or 
political party committee with whom or with which it was coordinated and 
must be reported as an expenditure made by that candidate or political 
party committee, unless otherwise exempted under 11 CFR part 100, 
subparts C or E.

[68 FR 451, Jan. 3, 2003, as amended at 71 FR 33208, June 8, 2006]



Sec.  109.21  What is a ``coordinated communication''?

    (a) Definition. A communication is coordinated with a candidate, an 
authorized committee, a political party committee, or an agent of any of 
the foregoing when the communication:
    (1) Is paid for, in whole or in part, by a person other than that 
candidate, authorized committee, or political party committee;
    (2) Satisfies at least one of the content standards in paragraph (c) 
of this section; and
    (3) Satisfies at least one of the conduct standards in paragraph (d) 
of this section.
    (b) Treatment as an in-kind contribution and expenditure; 
Reporting--(1) General rule. A payment for a coordinated communication 
is made for the purpose of influencing a Federal election, and is an in-
kind contribution under 11 CFR 100.52(d) to the candidate, authorized 
committee, or political party committee with whom or which it is 
coordinated, unless excepted under 11 CFR part 100, subpart C, and must 
be reported as an expenditure made by that candidate, authorized 
committee, or political party committee under 11 CFR 104.13, unless 
excepted under 11 CFR part 100, subpart E.
    (2) In-kind contributions resulting from conduct described in 
paragraphs (d)(4) or (d)(5) of this section. Notwithstanding paragraph 
(b)(1) of this section, the candidate, authorized committee, or

[[Page 146]]

political party committee with whom or which a communication is 
coordinated does not receive or accept an in-kind contribution, and is 
not required to report an expenditure, that results from conduct 
described in paragraphs (d)(4) or (d)(5) of this section, unless the 
candidate, authorized committee, or political party committee engages in 
conduct described in paragraphs (d)(1) through (d)(3) of this section.
    (3) Reporting of coordinated communications. A political committee, 
other than a political party committee, that makes a coordinated 
communication must report the payment for the communication as a 
contribution made to the candidate or political party committee with 
whom or which it was coordinated and as an expenditure in accordance 
with 11 CFR 104.3(b)(1)(v). A candidate, authorized committee, or 
political party committee with whom or which a communication paid for by 
another person is coordinated must report the usual and normal value of 
the communication as an in-kind contribution in accordance with 11 CFR 
104.13, meaning that it must report the amount of the payment as a 
receipt under 11 CFR 104.3(a) and as an expenditure under 11 CFR 
104.3(b).
    (c) Content standards. Each of the types of content described in 
paragraphs (c)(1) through (c)(5) of this section satisfies the content 
standard of this section.
    (1) A communication that is an electioneering communication under 11 
CFR 100.29.
    (2) A public communication, as defined in 11 CFR 100.26, that 
disseminates, distributes, or republishes, in whole or in part, campaign 
materials prepared by a candidate or the candidate's authorized 
committee, unless the dissemination, distribution, or republication is 
excepted under 11 CFR 109.23(b). For a communication that satisfies this 
content standard, see paragraph (d)(6) of this section.
    (3) A public communication, as defined in 11 CFR 100.26, that 
expressly advocates, as defined in 11 CFR 100.22, the election or defeat 
of a clearly identified candidate for Federal office.
    (4) A public communication, as defined in 11 CFR 100.26, that 
satisfies paragraph (c)(4)(i), (ii), (iii), or (iv) of this section:
    (i) References to House and Senate candidates. The public 
communication refers to a clearly identified House or Senate candidate 
and is publicly distributed or otherwise publicly disseminated in the 
clearly identified candidate's jurisdiction 90 days or fewer before the 
clearly identified candidate's general, special, or runoff election, or 
primary or preference election, or nominating convention or caucus.
    (ii) References to Presidential and Vice Presidential candidates. 
The public communication refers to a clearly identified Presidential or 
Vice Presidential candidate and is publicly distributed or otherwise 
publicly disseminated in a jurisdiction during the period of time 
beginning 120 days before the clearly identified candidate's primary or 
preference election in that jurisdiction, or nominating convention or 
caucus in that jurisdiction, up to and including the day of the general 
election.
    (iii) References to political parties. The public communication 
refers to a political party, does not refer to a clearly identified 
Federal candidate, and is publicly distributed or otherwise publicly 
disseminated in a jurisdiction in which one or more candidates of that 
political party will appear on the ballot.
    (A) When the public communication is coordinated with a candidate 
and it is publicly distributed or otherwise publicly disseminated in 
that candidate's jurisdiction, the time period in paragraph (c)(4)(i) or 
(ii) of this section that would apply to a communication containing a 
reference to that candidate applies;
    (B) When the public communication is coordinated with a political 
party committee and it is publicly distributed or otherwise publicly 
disseminated during the two-year election cycle ending on the date of a 
regularly scheduled non-Presidential general election, the time period 
in paragraph (c)(4)(i) of this section applies;
    (C) When the public communication is coordinated with a political 
party committee and it is publicly distributed or otherwise publicly 
disseminated during the two-year election

[[Page 147]]

cycle ending on the date of a Presidential general election, the time 
period in paragraph (c)(4)(ii) of this section applies.
    (iv) References to both political parties and clearly identified 
Federal candidates. The public communication refers to a political party 
and a clearly identified Federal candidate, and is publicly distributed 
or otherwise publicly disseminated in a jurisdiction in which one or 
more candidates of that political party will appear on the ballot.
    (A) When the public communication is coordinated with a candidate 
and it is publicly distributed or otherwise publicly disseminated in 
that candidate's jurisdiction, the time period in paragraph (c)(4)(i) or 
(ii) of this section that would apply to a communication containing a 
reference to that candidate applies;
    (B) When the public communication is coordinated with a political 
party committee and it is publicly distributed or otherwise publicly 
disseminated in the clearly identified candidate's jurisdiction, the 
time period in paragraph (c)(4)(i) or (ii) of this section that would 
apply to a communication containing only a reference to that candidate 
applies;
    (C) When the public communication is coordinated with a political 
party committee and it is publicly distributed or otherwise publicly 
disseminated outside the clearly identified candidate's jurisdiction, 
the time period in paragraph (c)(4)(iii)(B) or (C) of this section that 
would apply to a communication containing only a reference to a 
political party applies.
    (5) A public communication, as defined in 11 CFR 100.26, that is the 
functional equivalent of express advocacy. For purposes of this section, 
a communication is the functional equivalent of express advocacy if it 
is susceptible of no reasonable interpretation other than as an appeal 
to vote for or against a clearly identified Federal candidate.
    (d) Conduct standards. Any one of the following types of conduct 
satisfies the conduct standard of this section whether or not there is 
agreement or formal collaboration, as defined in paragraph (e) of this 
section:
    (1) Request or suggestion. (i) The communication is created, 
produced, or distributed at the request or suggestion of a candidate, 
authorized committee, or political party committee; or
    (ii) The communication is created, produced, or distributed at the 
suggestion of a person paying for the communication and the candidate, 
authorized committee, or political party committee assents to the 
suggestion.
    (2) Material involvement. This paragraph, (d)(2), is not satisfied 
if the information material to the creation, production, or distribution 
of the communication was obtained from a publicly available source. A 
candidate, authorized committee, or political party committee is 
materially involved in decisions regarding:
    (i) The content of the communication;
    (ii) The intended audience for the communication;
    (iii) The means or mode of the communication;
    (iv) The specific media outlet used for the communication;
    (v) The timing or frequency of the communication; or
    (vi) The size or prominence of a printed communication, or duration 
of a communication by means of broadcast, cable, or satellite.
    (3) Substantial discussion. This paragraph, (d)(3), is not satisfied 
if the information material to the creation, production, or distribution 
of the communication was obtained from a publicly available source. The 
communication is created, produced, or distributed after one or more 
substantial discussions about the communication between the person 
paying for the communication, or the employees or agents of the person 
paying for the communication, and the candidate who is clearly 
identified in the communication, or the candidate's authorized 
committee, the candidate's opponent, the opponent's authorized 
committee, or a political party committee. A discussion is substantial 
within the meaning of this paragraph if information about the 
candidate's or political party committee's campaign plans, projects, 
activities, or needs is conveyed to a person paying for the 
communication, and that information is material to the creation, 
production, or distribution of the communication.

[[Page 148]]

    (4) Common vendor. All of the following statements in paragraphs 
(d)(4)(i) through (d)(4)(iii) of this section are true:
    (i) The person paying for the communication, or an agent of such 
person, contracts with or employs a commercial vendor, as defined in 11 
CFR 116.1(c), to create, produce, or distribute the communication;
    (ii) That commercial vendor, including any owner, officer, or 
employee of the commercial vendor, has provided any of the following 
services to the candidate who is clearly identified in the 
communication, or the candidate's authorized committee, the candidate's 
opponent, the opponent's authorized committee, or a political party 
committee, during the previous 120 days:
    (A) Development of media strategy, including the selection or 
purchasing of advertising slots;
    (B) Selection of audiences;
    (C) Polling;
    (D) Fundraising;
    (E) Developing the content of a public communication;
    (F) Producing a public communication;
    (G) Identifying voters or developing voter lists, mailing lists, or 
donor lists;
    (H) Selecting personnel, contractors, or subcontractors; or
    (I) Consulting or otherwise providing political or media advice; and
    (iii) This paragraph, (d)(4)(iii), is not satisfied if the 
information material to the creation, production, or distribution of the 
communication used or conveyed by the commercial vendor was obtained 
from a publicly available source. That commercial vendor uses or conveys 
to the person paying for the communication:
    (A) Information about the campaign plans, projects, activities, or 
needs of the clearly identified candidate, the candidate's opponent, or 
a political party committee, and that information is material to the 
creation, production, or distribution of the communication; or
    (B) Information used previously by the commercial vendor in 
providing services to the candidate who is clearly identified in the 
communication, or the candidate's authorized committee, the candidate's 
opponent, the opponent's authorized committee, or a political party 
committee, and that information is material to the creation, production, 
or distribution of the communication.
    (5) Former employee or independent contractor. Both of the following 
statements in paragraphs (d)(5)(i) and (d)(5)(ii) of this section are 
true:
    (i) The communication is paid for by a person, or by the employer of 
a person, who was an employee or independent contractor of the candidate 
who is clearly identified in the communication, or the candidate's 
authorized committee, the candidate's opponent, the opponent's 
authorized committee, or a political party committee, during the 
previous 120 days; and
    (ii) This paragraph, (d)(5)(ii), is not satisfied if the information 
material to the creation, production, or distribution of the 
communication used or conveyed by the former employee or independent 
contractor was obtained from a publicly available source. That former 
employee or independent contractor uses or conveys to the person paying 
for the communication:
    (A) Information about the campaign plans, projects, activities, or 
needs of the clearly identified candidate, the candidate's opponent, or 
a political party committee, and that information is material to the 
creation, production, or distribution of the communication; or
    (B) Information used by the former employee or independent 
contractor in providing services to the candidate who is clearly 
identified in the communication, or the candidate's authorized 
committee, the candidate's opponent, the opponent's authorized 
committee, or a political party committee, and that information is 
material to the creation, production, or distribution of the 
communication.
    (6) Dissemination, distribution, or republication of campaign 
material. A communication that satisfies the content standard of 
paragraph (c)(2) of this section or 11 CFR 109.37(a)(2)(i) shall only 
satisfy the conduct standards of paragraphs (d)(1) through (d)(3) of 
this section on the basis of conduct by the candidate, the candidate's 
authorized committee, or the agents of any of the foregoing, that occurs 
after the original

[[Page 149]]

preparation of the campaign materials that are disseminated, 
distributed, or republished. The conduct standards of paragraphs (d)(4) 
and (d)(5) of this section may also apply to such communications as 
provided in those paragraphs.
    (e) Agreement or formal collaboration. Agreement or formal 
collaboration between the person paying for the communication and the 
candidate clearly identified in the communication, or the candidate's 
authorized committee, the candidate's opponent, the opponent's 
authorized committee, or a political party committee, is not required 
for a communication to be a coordinated communication. Agreement means a 
mutual understanding or meeting of the minds on all or any part of the 
material aspects of the communication or its dissemination. Formal 
collaboration means planned, or systematically organized, work on the 
communication.
    (f) Safe harbor for responses to inquiries about legislative or 
policy issues. A candidate's or a political party committee's response 
to an inquiry about that candidate's or political party committee's 
positions on legislative or policy issues, but not including a 
discussion of campaign plans, projects, activities, or needs, does not 
satisfy any of the conduct standards in paragraph (d) of this section.
    (g) Safe harbor for endorsements and solicitations by Federal 
candidates. (1) A public communication in which a candidate for Federal 
office endorses another candidate for Federal or non-Federal office is 
not a coordinated communication with respect to the endorsing Federal 
candidate unless the public communication promotes, supports, attacks, 
or opposes the endorsing candidate or another candidate who seeks 
election to the same office as the endorsing candidate.
    (2) A public communication in which a candidate for Federal office 
solicits funds for another candidate for Federal or non-Federal office, 
a political committee, or organizations as permitted by 11 CFR 300.65, 
is not a coordinated communication with respect to the soliciting 
Federal candidate unless the public communication promotes, supports, 
attacks, or opposes the soliciting candidate or another candidate who 
seeks election to the same office as the soliciting candidate.
    (h) Safe harbor for establishment and use of a firewall. The conduct 
standards in paragraph (d) of this section are not met if the commercial 
vendor, former employee, or political committee has established and 
implemented a firewall that meets the requirements of paragraphs (h)(1) 
and (h)(2) of this section. This safe harbor provision does not apply if 
specific information indicates that, despite the firewall, information 
about the candidate's or political party committee's campaign plans, 
projects, activities, or needs that is material to the creation, 
production, or distribution of the communication was used or conveyed to 
the person paying for the communication.
    (1) The firewall must be designed and implemented to prohibit the 
flow of information between employees or consultants providing services 
for the person paying for the communication and those employees or 
consultants currently or previously providing services to the candidate 
who is clearly identified in the communication, or the candidate's 
authorized committee, the candidate's opponent, the opponent's 
authorized committee, or a political party committee; and
    (2) The firewall must be described in a written policy that is 
distributed to all relevant employees, consultants, and clients affected 
by the policy.
    (i) Safe harbor for commercial transactions. A public communication 
in which a Federal candidate is clearly identified only in his or her 
capacity as the owner or operator of a business that existed prior to 
the candidacy is not a coordinated communication with respect to the 
clearly identified candidate if:
    (1) The medium, timing, content, and geographic distribution of the 
public communication are consistent with public communications made 
prior to the candidacy; and
    (2) The public communication does not promote, support, attack, or 
oppose that candidate or another candidate who seeks the same office as 
that candidate.

[68 FR 451, Jan. 3, 2003, as amended at 71 FR 33208, June 8, 2006; 75 FR 
55961, Sept. 15, 2010]

[[Page 150]]



Sec.  109.22  Who is prohibited from making coordinated communications?

    Any person who is otherwise prohibited from making contributions or 
expenditures under any part of the Act or Commission regulations is 
prohibited from paying for a coordinated communication.



Sec.  109.23  Dissemination, distribution, or republication of candidate
campaign materials.

    (a) General rule. The financing of the dissemination, distribution, 
or republication, in whole or in part, of any broadcast or any written, 
graphic, or other form of campaign materials prepared by the candidate, 
the candidate's authorized committee, or an agent of either of the 
foregoing shall be considered a contribution for the purposes of 
contribution limitations and reporting responsibilities of the person 
making the expenditure. The candidate who prepared the campaign material 
does not receive or accept an in-kind contribution, and is not required 
to report an expenditure, unless the dissemination, distribution, or 
republication of campaign materials is a coordinated communication under 
11 CFR 109.21 or a party coordinated communication under 11 CFR 109.37.
    (b) Exceptions. The following uses of campaign materials do not 
constitute a contribution to the candidate who originally prepared the 
materials:
    (1) The campaign material is disseminated, distributed, or 
republished by the candidate or the candidate's authorized committee who 
prepared that material;
    (2) The campaign material is incorporated into a communication that 
advocates the defeat of the candidate or party that prepared the 
material;
    (3) The campaign material is disseminated, distributed, or 
republished in a news story, commentary, or editorial exempted under 11 
CFR 100.73 or 11 CFR 100.132;
    (4) The campaign material used consists of a brief quote of 
materials that demonstrate a candidate's position as part of a person's 
expression of its own views; or
    (5) A national political party committee or a State or subordinate 
political party committee pays for such dissemination, distribution, or 
republication of campaign materials using coordinated party expenditure 
authority under 11 CFR 109.32.

[68 FR 451, Jan. 3, 2003, as amended at 71 FR 33210, June 8, 2006]



       Subpart D_Special Provisions for Political Party Committees



Sec.  109.30  How are political party committees treated for purposes
of coordinated and independent expenditures?

    Political party committees may make independent expenditures subject 
to the provisions in this subpart. See 11 CFR 109.36. Political party 
committees may also make coordinated party expenditures in connection 
with the general election campaign of a candidate, subject to the limits 
and other provisions in this subpart. See 11 CFR 109.32 through 11 CFR 
109.34.

[69 FR 63920, Nov. 3, 2004]



Sec.  109.31  [Reserved]



Sec.  109.32  What are the coordinated party expenditure limits?

    (a) Coordinated party expenditures in Presidential elections. (1) 
The national committee of a political party may make coordinated party 
expenditures in connection with the general election campaign of any 
candidate for President of the United States affiliated with the party.
    (2) The coordinated party expenditures shall not exceed an amount 
equal to two cents multiplied by the voting age population of the United 
States. See 11 CFR 110.18. This limitation shall be increased in 
accordance with 11 CFR 110.17.
    (3) Any coordinated party expenditure under paragraph (a) of this 
section shall be in addition to--
    (i) Any expenditure by a national committee of a political party 
serving as the principal campaign committee of a candidate for President 
of the United States; and
    (ii) Any contribution by the national committee to the candidate 
permissible under 11 CFR 110.1 or 110.2.
    (4) Any coordinated party expenditures made by the national 
committee

[[Page 151]]

of a political party pursuant to paragraph (a) of this section, or made 
by any other party committee under authority assigned by a national 
committee of a political party under 11 CFR 109.33, on behalf of that 
party's Presidential candidate shall not count against the candidate's 
expenditure limitations under 11 CFR 110.8.
    (b) Coordinated party expenditures in other Federal elections. (1) 
The national committee of a political party, and a State committee of a 
political party, including any subordinate committee of a State 
committee, may each make coordinated party expenditures in connection 
with the general election campaign of a candidate for Federal office in 
that State who is affiliated with the party.
    (2) The coordinated party expenditures shall not exceed:
    (i) In the case of a candidate for election to the office of 
Senator, or of Representative from a State which is entitled to only one 
Representative, the greater of--
    (A) Two cents multiplied by the voting age population of the State 
(see 11 CFR 110.18); or
    (B) Twenty thousand dollars.
    (ii) In the case of a candidate for election to the office of 
Representative, Delegate, or Resident Commissioner in any other State, 
$10,000.
    (3) The limitations in paragraph (b)(2) of this section shall be 
increased in accordance with 11 CFR 110.17.
    (4) Any coordinated party expenditure under paragraph (b) of this 
section shall be in addition to any contribution by a political party 
committee to the candidate permissible under 11 CFR 110.1 or 110.2.



Sec.  109.33  May a political party committee assign its coordinated
party expenditure authority to another political party committee?

    (a) Assignment. The national committee of a political party and a 
State committee of a political party, including any subordinate 
committee of a State committee, may assign its authority to make 
coordinated party expenditures authorized by 11 CFR 109.32 to another 
political party committee. Such an assignment must be made in writing, 
must state the amount of the authority assigned, and must be received by 
the assignee committee before any coordinated party expenditure is made 
pursuant to the assignment.
    (b) Compliance. For purposes of the coordinated party expenditure 
limits, State committee includes a subordinate committee of a State 
committee and includes a district or local committee to which 
coordinated party expenditure authority has been assigned. State 
committees and subordinate State committees and such district or local 
committees combined shall not exceed the coordinated party expenditure 
limits set forth in 11 CFR 109.32. The State committee shall administer 
the limitation in one of the following ways:
    (1) The State committee shall be responsible for insuring that the 
coordinated party expenditures of the entire party organization are 
within the coordinated party expenditure limits, including receiving 
reports from any subordinate committee of a State committee or district 
or local committee making coordinated party expenditures under 11 CFR 
109.32, and filing consolidated reports showing all coordinated party 
expenditures in the State with the Commission; or
    (2) Any other method, submitted in advance and approved by the 
Commission, that permits control over coordinated party expenditures.
    (c) Recordkeeping. (1) A political party committee that assigns its 
authority to make coordinated party expenditures under this section must 
maintain the written assignment for at least three years in accordance 
with 11 CFR 104.14.
    (2) A political party committee that is assigned authority to make 
coordinated party expenditures under this section must maintain the 
written assignment for at least three years in accordance with 11 CFR 
104.14.

[68 FR 451, Jan. 3, 2003, as amended at 69 FR 63920, Nov. 3, 2004]



Sec.  109.34  When may a political party committee make coordinated
party expenditures?

    A political party committee authorized to make coordinated party 
expenditures may make such expenditures in connection with the general 
election campaign before or after its candidate

[[Page 152]]

has been nominated. All pre-nomination coordinated party expenditures 
shall be subject to the coordinated party expenditure limitations of 
this subpart, whether or not the candidate on whose behalf they are made 
receives the party's nomination.



Sec.  109.35  [Reserved]



Sec.  109.36  Are there circumstances under which a political party
committee is prohibited from making independent expenditures?

    The national committee of a political party must not make 
independent expenditures in connection with the general election 
campaign of a candidate for President of the United States if the 
national committee of that political party is designated as the 
authorized committee of its Presidential candidate pursuant to 11 CFR 
9002.1(c).



Sec.  109.37  What is a ``party coordinated communication''?

    (a) Definition. A political party communication is coordinated with 
a candidate, a candidate's authorized committee, or agent of any of the 
foregoing, when the communication satisfies the conditions set forth in 
paragraphs (a)(1), (a)(2), and (a)(3) of this section.
    (1) The communication is paid for by a political party committee or 
its agent.
    (2) The communication satisfies at least one of the content 
standards described in paragraphs (a)(2)(i) through (a)(2)(iii) of this 
section.
    (i) A public communication that disseminates, distributes, or 
republishes, in whole or in part, campaign materials prepared by a 
candidate, the candidate's authorized committee, or an agent of any of 
the foregoing, unless the dissemination, distribution, or republication 
is excepted under 11 CFR 109.23(b). For a communication that satisfies 
this content standard, see 11 CFR 109.21(d)(6).
    (ii) A public communication that expressly advocates the election or 
defeat of a clearly identified candidate for Federal office.
    (iii) A public communication, as defined in 11 CFR 100.26, that 
satisfies paragraphs (a)(2)(iii)(A) or (B) of this section:
    (A) References to House and Senate candidates. The public 
communication refers to a clearly identified House or Senate candidate 
and is publicly distributed or otherwise publicly disseminated in the 
clearly identified candidate's jurisdiction 90 days or fewer before the 
clearly identified candidate's general, special, or runoff election, or 
primary or preference election, or nominating convention or caucus.
    (B) References to Presidential and Vice Presidential candidates. The 
public communication refers to a clearly identified Presidential or Vice 
Presidential candidate and is publicly distributed or otherwise publicly 
disseminated in a jurisdiction during the period of time beginning 120 
days before the clearly identified candidate's primary or preference 
election in that jurisdiction, or nominating convention or caucus in 
that jurisdiction, up to and including the day of the general election.
    (3) The communication satisfies at least one of the conduct 
standards in 11 CFR 109.21(d)(1) through (d)(6), subject to the 
provisions of 11 CFR 109.21(e), (g), and (h). A candidate's response to 
an inquiry about that candidate's positions on legislative or policy 
issues, but not including a discussion of campaign plans, projects, 
activities, or needs, does not satisfy any of the conduct standards in 
11 CFR 109.21(d)(1) through (d)(6). Notwithstanding paragraph (b)(1) of 
this section, the candidate with whom a party coordinated communication 
is coordinated does not receive or accept an in-kind contribution, and 
is not required to report an expenditure that results from conduct 
described in 11 CFR 109.21(d)(4) or (d)(5), unless the candidate, 
authorized committee, or an agent of any of the foregoing, engages in 
conduct described in 11 CFR 109.21(d)(1) through (d)(3).
    (b) Treatment of a party coordinated communication. A payment by a 
political party committee for a communication that is coordinated with a 
candidate, and that is not otherwise exempted under 11 CFR part 100, 
subpart C or E, must be treated by the political party committee making 
the payment as either:

[[Page 153]]

    (1) An in-kind contribution for the purpose of influencing a Federal 
election under 11 CFR 100.52(d) to the candidate with whom it was 
coordinated, which must be reported under 11 CFR part 104; or
    (2) A coordinated party expenditure pursuant to coordinated party 
expenditure authority under 11 CFR 109.32 in connection with the general 
election campaign of the candidate with whom it was coordinated, which 
must be reported under 11 CFR part 104.

[68 FR 451, Jan. 3, 2003, as amended at 71 FR 33210, June 8, 2006]



PART 110_CONTRIBUTION AND EXPENDITURE LIMITATIONS AND PROHIBITIONS
--Table of Contents



Sec.
110.1 Contributions by persons other than multicandidate political 
          committees (52 U.S.C. 30116(a)(1)).
110.2 Contributions by multicandidate political committees (52 U.S.C. 
          30116(a)(2)).
110.3 Contribution limitations for affiliated committees and political 
          party committees; transfers (52 U.S.C. 30116(a)(4), 
          30116(a)(5)).
110.4 Contributions in the name of another; cash contributions (52 
          U.S.C. 30122, 30123, 30102(c)(2)).
110.5 [Reserved]
110.6 Earmarked contributions (52 U.S.C. 30116(a)(8)).
110.7 [Reserved]
110.8 Presidential candidate expenditure limitations.
110.9 Violation of limitations.
110.10 Expenditures by candidates.
110.11 Communications; advertising; disclaimers (52 U.S.C. 30120).
110.12 Candidate appearances on public educational institution premises.
110.13 Candidate debates.
110.14 Contributions to and expenditures by delegates and delegate 
          committees.
110.15 [Reserved]
110.16 Prohibitions on fraudulent misrepresentatitons.
110.17 Price index increase.
110.18 Voting age population.
110.19 Contributions by minors.
110.20 Prohibition on contributions, donations, expenditures, 
          independent expenditures, and disbursements by foreign 
          nationals (52 U.S.C. 30121, 36 U.S.C. 510).

    Authority: 52 U.S.C. 30101(8), 30101(9), 30102(c)(2), 30104(i)(3), 
30111(a)(8), 30116, 30118, 30120, 30121, 30122, 30123, 30124, and 36 
U.S.C. 510.



Sec.  110.1  Contributions by persons other than multicandidate political
committees (52 U.S.C. 30116(a)(1)).

    (a) Scope. This section applies to all contributions made by any 
person as defined in 11 CFR 100.10, except multicandidate political 
committees as defined in 11 CFR 100.5(e)(3) or entities and individuals 
prohibited from making contributions under 11 CFR 110.20 and 11 CFR 
parts 114 and 115.
    (b) Contributions to candidates; designations; and redesignations. 
(1) No person shall make contributions to any candidate, his or her 
authorized political committees or agents with respect to any election 
for Federal office that, in the aggregate, exceed $2,000.
    (i) The contribution limitation in the introductory text of 
paragraph (b)(1) of this section shall be increased by the percent 
difference in the price index in accordance with 11 CFR 110.17.
    (ii) The increased contribution limitation shall be in effect for 
the 2-year period beginning on the first day following the date of the 
last general election in the year preceding the year in which the 
contribution limitation is increased and ending on the date of the next 
general election. For example, an increase in the contribution 
limitation made in January 2005 is effective from November 3, 2004 to 
November 7, 2006.
    (iii) In every odd numbered year, the Commission will publish in the 
Federal Register the amount of the contribution limitation in effect and 
place such information on the Commission's Web site.
    (2) For purposes of this section, with respect to any election 
means--
    (i) In the case of a contribution designated in writing by the 
contributor for a particular election, the election so designated. 
Contributors to candidates are encouraged to designate their 
contributions in writing for particular elections. See 11 CFR 
110.1(b)(4).
    (ii) In the case of a contribution not designated in writing by the 
contributor for a particular election, the next election for that 
Federal office after the contribution is made.
    (3)(i) A contribution designated in writing for a particular 
election, but made after that election, shall be made

[[Page 154]]

only to the extent that the contribution does not exceed net debts 
outstanding from such election. To the extent that such contribution 
exceeds net debts outstanding, the candidate or the candidate's 
authorized political committee shall return or deposit the contribution 
within ten days from the date of the treasurer's receipt of the 
contribution as provided by 11 CFR 103.3(a), and if deposited, then 
within sixty days from the date of the treasurer's receipt the treasurer 
shall take the following action, as appropriate:
    (A) Refund the contribution using a committee check or draft; or
    (B) Obtain a written redesignation by the contributor for another 
election in accordance with 11 CFR 110.1(b)(5); or
    (C) Obtain a written reattribution to another contributor in 
accordance with 11 CFR 110.1(k)(3).
    If the candidate is not a candidate in the general election, all 
contributions made for the general election shall be either returned or 
refunded to the contributors or redesignated in accordance with 11 CFR 
110.1(b)(5), or reattributed in accordance with 11 CFR 110.1(k)(3), as 
appropriate.
    (ii) In order to determine whether there are net debts outstanding 
from a particular election, the treasurer of the candidate's authorized 
political committee shall calculate net debts outstanding as of the date 
of the election. For purposes of this section, net debts outstanding 
means the total amount of unpaid debts and obligations incurred with 
respect to an election, including the estimated cost of raising funds to 
liquidate debts incurred with respect to the election and, if the 
candidate's authorized committee terminates or if the candidate will not 
be a candidate for the next election, estimated necessary costs 
associated with termination of political activity, such as the costs of 
complying with the post-election requirements of the Act and other 
necessary administrative costs associated with winding down the 
campaign, including office space rental, staff salaries and office 
supplies, less the sum of:
    (A) The total cash on hand available to pay those debts and 
obligations, including: currency; balances on deposit in banks, savings 
and loan institutions, and other depository institutions; traveler's 
checks; certificates of deposit; treasury bills; and any other committee 
investments valued at fair market value;
    (B) The total amounts owed to the candidate or political committee 
in the form of credits, refunds of deposits, returns, or receivables, or 
a commercially reasonable amount based on the collectibility of those 
credits, refunds, returns, or receivables; and
    (C) The amount of personal loans, as defined in 11 CFR 116.11(b), 
that in the aggregate exceed $250,000 per election.
    (iii) The amount of the net debts outstanding shall be adjusted as 
additional funds are received and expenditures are made. The candidate 
and his or her authorized political committee(s) may accept 
contributions made after the date of the election if:
    (A) Such contributions are designated in writing by the contributor 
for that election;
    (B) Such contributions do not exceed the adjusted amount of net 
debts outstanding on the date the contribution is received; and
    (C) Such contributions do not exceed the contribution limitations in 
effect on the date of such election.
    (iv) This paragraph shall not be construed to prevent a candidate 
who is a candidate in the general election or his or her authorized 
political committee(s) from paying primary election debts and 
obligations with funds which represent contributions made with respect 
to the general election.
    (4) For purposes of this section, a contribution shall be considered 
to be designated in writing for a particular election if--
    (i) The contribution is made by check, money order, or other 
negotiable instrument which clearly indicates the particular election 
with respect to which the contribution is made;
    (ii) The contribution is accompanied by a writing, signed by the 
contributor, which clearly indicates the particular election with 
respect to which the contribution is made; or
    (iii) The contribution is redesignated in accordance with 11 CFR 
110.1(b)(5).
    (5)(i) The treasurer of an authorized political committee may 
request a written redesignation of a contribution

[[Page 155]]

by the contributor for a different election if--
    (A) The contribution was designated in writing for a particular 
election, and the contribution, either on its face or when aggregated 
with other contributions from the same contributor for the same 
election, exceeds the limitation on contributions set forth in 11 CFR 
110.1(b)(1);
    (B) The contribution was designated in writing for a particular 
election and the contribution was made after that election and the 
contribution cannot be accepted under the net debts outstanding 
provisions of 11 CFR 110.1(b)(3);
    (C) The contribution was not designated in writing for a particular 
election, and the contribution exceeds the limitation on contributions 
set forth in 11 CFR 110.1(b)(1); or
    (D) The contribution was not designated in writing for a particular 
election, and the contribution was received after the date of an 
election for which there are net debts outstanding on the date the 
contribution is received.
    (ii)(A) A contribution shall be considered to be redesignated for 
another election if--
    (1) The treasurer of the recipient authorized political committee 
requests that the contributor provide a written redesignation of the 
contribution and informs the contributor that the contributor may 
request the refund of the contribution as an alternative to providing a 
written redesignation; and
    (2) Within sixty days from the date of the treasurer's receipt of 
the contribution, the contributor provides the treasurer with a written 
redesignation of the contribution for another election, which is signed 
by the contributor.
    (B) Notwithstanding paragraph (b)(5)(ii)(A) of this section or any 
other provision of this section, the treasurer of the recipient 
authorized political committee may treat all or part of the amount of 
the contribution that exceeds the contribution limits in paragraph 
(b)(1) of this section as made with respect to the general election, 
provided that:
    (1) The contribution was made before the primary election;
    (2) The contribution was not designated for a particular election;
    (3) The contribution would exceed the limitation on contributions 
set forth in paragraph (b)(1) of this section if it were treated as a 
contribution made for the primary election;
    (4) Such redesignation would not cause the contributor to exceed any 
of the limitations on contributions set forth in paragraph (b)(1) of 
this section;
    (5) The treasurer of the recipient authorized political committee 
notifies the contributor of the amount of the contribution that was 
redesignated and that the contributor may request a refund of the 
contribution; and
    (6) Within sixty days from the date of the treasurer's receipt of 
the contribution, the treasurer shall provide notification required in 
paragraph (b)(5)(ii)(B)(5) of this section to the contributor by any 
written method including electronic mail.
    (C) Notwithstanding paragraph (b)(5)(ii)(A) of this section or any 
other provision of this section, the treasurer of the recipient 
authorized political committee may treat all or part of the amount of 
the contribution that exceeds the contribution limits in paragraph 
(b)(1) of this section as made with respect to the primary election, 
provided that:
    (1) The contribution was made after the primary election but before 
the general election;
    (2) The contribution was not designated for a particular election;
    (3) The contribution would exceed the limitation on contributions 
set forth in paragraph (b)(1) of this section if it were treated as a 
contribution made for the general election;
    (4) Such redesignation would not cause the contributor to exceed any 
of the limitations on contributions set forth in paragraph (b)(1) of 
this section;
    (5) The contribution does not exceed the committee's net debts 
outstanding for the primary election;
    (6) The treasurer of the recipient authorized political committee 
notifies the contributor of how the contribution was redesignated and 
that the contributor may request a refund of the contribution; and

[[Page 156]]

    (7) Within sixty days from the date of the treasurer's receipt of 
the contribution, the treasurer shall provide notification required in 
paragraph (b)(5)(ii)(C)(6) of this section to the contributor by any 
written method, including electronic mail.
    (iii) A contribution redesignated for another election shall not 
exceed the limitations on contributions made with respect to that 
election. A contribution redesignated for a previous election shall be 
subject to the requirements of 11 CFR 110.1(b)(3) regarding net debts 
outstanding.
    (6) For the purposes of this section, a contribution shall be 
considered to be made when the contributor relinquishes control over the 
contribution. A contributor shall be considered to relinquish control 
over the contribution when it is delivered by the contributor to the 
candidate, to the political committee, or to an agent of the political 
committee. A contribution that is mailed to the candidate, or to the 
political committee or to an agent of the political committee, shall be 
considered to be made on the date of the postmark. See 11 CFR 
110.1(l)(4). An in-kind contribution shall be considered to be made on 
the date that the goods or services are provided by the contributor.
    (c) Contributions to political party committees. (1) No person shall 
make contributions to the political committees established and 
maintained by a national political party in any calendar year that in 
the aggregate exceed $25,000.
    (i) The contribution limitation in paragraph (c)(1) of this section 
shall be increased by the percent difference in the price index in 
accordance with 11 CFR 110.17.
    (ii) The increased contribution limitation shall be in effect for 
the two calendar years starting on January 1 of the year in which the 
contribution limitation is increased.
    (iii) In every odd-numbered year, the Commission will publish in the 
Federal Register the amount of the contribution limitation in effect and 
place such information on the Commission's Web site.
    (2) For purposes of this section, political committees established 
and maintained by a national political party means--
    (i) The national committee;
    (ii) The House campaign committee; and
    (iii) The Senate campaign committee.
    (3) Each recipient committee referred to in 11 CFR 110.1(c)(2) may 
receive up to the $25,000 limitation from a contributor.
    (4) The recipient committee shall not be an authorized political 
committee of any candidate, except as provided in 11 CFR 9002.1(c).
    (5) On or after January 1, 2003, no person shall make contributions 
to a political committee established and maintained by a State committee 
of a political party in any calendar year that, in the aggregate, exceed 
$10,000.
    (d) Contributions to other political committees. No person shall 
make contributions to any other political committee in any calendar year 
which, in the aggregate, exceed $5,000.
    (e) Contributions by partnerships. A contribution by a partnership 
shall be attributed to the partnership and to each partner--
    (1) In direct proportion to his or her share of the partnership 
profits, according to instructions which shall be provided by the 
partnership to the political committee or candidate; or
    (2) By agreement of the partners, as long as--
    (i) Only the profits of the partners to whom the contribution is 
attributed are reduced (or losses increased), and
    (ii) These partners' profits are reduced (or losses increased) in 
proportion to the contribution attributed to each of them.

A contribution by a partnership shall not exceed the limitations on 
contributions in 11 CFR 110.1 (b), (c), and (d). No portion of such 
contribution may be made from the profits of a corporation that is a 
partner.
    (f) Contributions to candidates for more than one Federal office. If 
an individual is a candidate for more than one Federal office, a person 
may make contributions which do not exceed $2,000 to the candidate, or 
his or her authorized political committees for each election for each 
office, as long as--

[[Page 157]]

    (1) Each contribution is designated in writing by the contributor 
for a particular office;
    (2) The candidate maintains separate campaign organizations, 
including separate principal campaign committees and separate accounts; 
and
    (3) No principal campaign committee or other authorized political 
committee of that candidate for one election for one Federal office 
transfers funds to, loans funds to, makes contributions to, or makes 
expenditures on behalf of another principal campaign committee or other 
authorized political committee of that candidate for another election 
for another Federal office, except as provided in 11 CFR 110.3(c)(4).
    (g) Contributions by limited liability companies (``LLC'')--(1) 
Definition. A limited liability company is a business entity that is 
recognized as a limited liability company under the laws of the State in 
which it is established.
    (2) A contribution by an LLC that elects to be treated as a 
partnership by the Internal Revenue Service pursuant to 26 CFR 301.7701-
3, or does not elect treatment as either a partnership or a corporation 
pursuant to that section, shall be considered a contribution from a 
partnership pursuant to 11 CFR 110.1(e).
    (3) An LLC that elects to be treated as a corporation by the 
Internal Revenue Service, pursuant to 26 CFR 301.7701-3, or an LLC with 
publicly-traded shares, shall be considered a corporation pursuant to 11 
CFR Part 114.
    (4) A contribution by an LLC with a single natural person member 
that does not elect to be treated as a corporation by the Internal 
Revenue Service pursuant to 26 CFR 301.7701-3 shall be attributed only 
to that single member.
    (5) An LLC that makes a contribution pursuant to paragraph (g)(2) or 
(g)(4) of this section shall, at the time it makes the contribution, 
provide information to the recipient committee as to how the 
contribution is to be attributed, and affirm to the recipient committee 
that it is eligible to make the contribution.
    (h) Contributions to committees supporting the same candidate. A 
person may contribute to a candidate or his or her authorized committee 
with respect to a particular election and also contribute to a political 
committee which has supported, or anticipates supporting, the same 
candidate in the same election, as long as--
    (1) The political committee is not the candidate's principal 
campaign committee or other authorized political committee or a single 
candidate committee;
    (2) The contributor does not give with the knowledge that a 
substantial portion will be contributed to, or expended on behalf of, 
that candidate for the same election; and
    (3) The contributor does not retain control over the funds.
    (i) Contributions by spouses. The limitations on contributions of 
this section shall apply separately to contributions made by each spouse 
even if only one spouse has income.
    (j) Application of limitations to elections. (1) The limitations on 
contributions of this section shall apply separately with respect to 
each election as defined in 11 CFR 100.2, except that all elections held 
in a calendar year for the office of President of the United States 
(except a general election for that office) shall be considered to be 
one election.
    (2) An election in which a candidate is unopposed is a separate 
election for the purposes of the limitations on contributions of this 
section.
    (3) A primary or general election which is not held because a 
candidate is unopposed or received a majority of votes in a previous 
election is a separate election for the purposes of the limitations on 
contributions of this section. The date on which the election would have 
been held shall be considered to be the date of the election.
    (4) A primary election which is not held because a candidate was 
nominated by a caucus or convention with authority to nominate is not a 
separate election for the purposes of the limitations on contributions 
of this section.
    (k) Joint contributions and reattributions. (1) Any contribution 
made by more than one person, except for a contribution made by a 
partnership, shall

[[Page 158]]

include the signature of each contributor on the check, money order, or 
other negotiable instrument or in a separate writing.
    (2) If a contribution made by more than one person does not indicate 
the amount to be attributed to each contributor, the contribution shall 
be attributed equally to each contributor.
    (3)(i) If a contribution to a candidate or political committee, 
either on its face or when aggregated with other contributions from the 
same contributor, exceeds the limitations on contributions set forth in 
11 CFR 110.1 (b), (c) or (d), as appropriate, the treasurer of the 
recipient political committee may ask the contributor whether the 
contribution was intended to be a joint contribution by more than one 
person.
    (ii)(A) A contribution shall be considered to be reattributed to 
another contributor if--
    (1) The treasurer of the recipient political committee asks the 
contributor whether the contribution is intended to be a joint 
contribution by more than one person, and informs the contributor that 
he or she may request the return of the excessive portion of the 
contribution if it is not intended to be a joint contribution; and
    (2) Within sixty days from the date of the treasurer's receipt of 
the contribution, the contributor provides the treasurer with a written 
reattribution of the contribution, which is signed by each contributor, 
and which indicates the amount to be attributed to each contributor if 
equal attribution is not intended.
    (B)(1) Notwithstanding paragraph (k)(3)(ii)(A) of this section or 
any other provision of this section, any excessive portion of a 
contribution described in paragraph (k)(3)(i) of this section that was 
made by a written instrument that is imprinted with the names of more 
than one individual may be attributed among the individuals listed 
unless a different instruction is on the instrument or in a separate 
writing signed by the contributor(s), provided that such attribution 
would not cause any contributor to exceed any of the limitations on 
contributions set forth in paragraph (b)(1) of this section.
    (2) The treasurer of the recipient political committee shall notify 
each contributor of how the contribution was attributed and that the 
contributor may request the refund of the excessive portion of the 
contribution if it is not intended to be a joint contribution.
    (3) Within sixty days from the date of the treasurer's receipt of 
the contribution, the treasurer shall provide such notification to each 
contributor by any written method, including electronic mail.
    (l) Supporting evidence. (1) If a political committee receives a 
contribution designated in writing for a particular election, the 
treasurer shall retain a copy of the written designation, as required by 
11 CFR 110.1(b)(4) or 110.2(b)(4), as appropriate. If the written 
designation is made on a check or other written instrument, the 
treasurer shall retain a full-size photocopy of the check or written 
instrument.
    (2) If a political committee receives a written redesignation of a 
contribution for a different election, the treasurer shall retain the 
written redesignation provided by the contributor, as required by 11 CFR 
110.1(b)(5) or 110.2(b)(5), as appropriate.
    (3) If a political committee receives a written reattribution of a 
contribution to a different contributor, the treasurer shall retain the 
written reattribution signed by each contributor, as required by 11 CFR 
110.1(k).
    (4)(i) If a political committee chooses to rely on a postmark as 
evidence of the date on which a contribution was made, the treasurer 
shall retain the envelope or a copy of the envelope containing the 
postmark and other identifying information; and
    (ii) If a political committee chooses to rely on the redesignation 
presumption in 11 CFR 110.1(b)(5)(ii)(B) or (C) or the reattribution 
presumption in 11 CFR 110.1(k)(3)(ii)(B), the treasurer shall retain a 
full-size photocopy of the check or written instrument, of any signed 
writings that accompanied the contribution, and of the notices sent to 
the contributors as required by 11 CFR 110.1(b)(5)(ii)(B) and 
(k)(3)(ii)(B).
    (5) If a political committee does not retain the written records 
concerning designation required under 11 CFR 110.1(l)(1), the 
contribution shall not be considered designated in writing for a

[[Page 159]]

particular election, and the provisions of 11 CFR 110.1(b)(2)(ii) or 11 
CFR 110.2(b)(2)(ii) shall apply. If a political committee does not 
retain the written records concerning redesignation or reattribution 
required under 11 CFR 110.1(l)(2), (3), (4)(ii) or (6), including the 
contributor notices, the redesignation or reattribution shall not be 
effective, and the original designation or attribution shall control.
    (6) For each written redesignation or written reattribution of a 
contribution described in paragraph (b)(5) or paragraph (k)(3) of this 
section, the political committee shall retain documentation 
demonstrating when the written redesignation or written reattribution 
was received. Such documentation shall consist of:
    (i) A copy of the envelope bearing the postmark and the 
contributor's name, or return address or other identifying code; or
    (ii) A copy of the written redesignation or written reattribution 
with a date stamp indicating the date of the committee's receipt; or
    (iii) A copy of the written redesignation or written reattribution 
dated by the contributor.
    (m) Contributions to delegates and delegate committees. (1) 
Contributions to delegates for the purpose of furthering their selection 
under 11 CFR 110.14 are not subject to the limitations of this section.
    (2) Contributions to delegate committees under 11 CFR 110.14 are 
subject to the limitations of this section.
    (n) Contributions to committees making independent expenditures. The 
limitations on contributions of this section also apply to contributions 
made to political committees making independent expenditures under 11 
CFR Part 109.

[52 FR 769, Jan. 9, 1987]

    Editorial Note: For Federal Register citations affecting Sec.  
110.1, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec.  110.2  Contributions by multicandidate political committees
(52 U.S.C. 30116(a)(2)).

    (a)(1) Scope. This section applies to all contributions made by any 
multicandidate political committee as defined in 11 CFR 100.5(e)(3). See 
11 CFR 102.2(a)(3) for multicandidate political committee certification 
requirements. A political committee becomes a multicandidate committee 
at the time the political committee meets the requirements of 11 CFR 
100.5(e)(3) or becomes affiliated with an existing multicandidate 
committee, whether or not the political committee has certified its 
status as a multicandidate committee with the Commission in accordance 
with 11 CFR 102.2(a)(3).
    (2) Notice to recipients. Each multicandidate committee that makes a 
contribution under this section shall notify the recipient in writing of 
its status as a multicandidate committee.
    (b) Contributions to candidates; designations; and redesignations. 
(1) No multicandidate political committee shall make contributions to 
any candidate, his or her authorized political committees or agents with 
respect to any election for Federal office which, in the aggregate, 
exceed $5,000.
    (2) For purposes of this section, with respect to any election 
means--
    (i) In the case of a contribution designated in writing by the 
contributor for a particular election, the election so designated. 
Multicandidate political committees making contributions to candidates 
are encouraged to designate their contributions in writing for 
particular elections. See 11 CFR 110.2(b)(4).
    (ii) In the case of a contribution not designated in writing by the 
contributor for a particular election, the next election for that 
Federal office after the contribution is made.
    (3)(i) A contribution designated in writing for a particular 
election, but made after that election, shall be made only to the extent 
that the contribution does not exceed net debts outstanding from such 
election. To the extent that such contribution exceeds net debts 
outstanding, the candidate or the candidate's authorized political 
committee shall return or deposit the contribution within ten days from 
the date of the treasurer's receipt of the contribution as provided by 
11 CFR 103.3(a), and if deposited, then within sixty days from the date 
of the treasurer's receipt the treasurer shall take the following 
action, as appropriate:

[[Page 160]]

    (A) Refund the contribution using a committee check or draft; or
    (B) Obtain a written redesignation by the contributor for another 
election in accordance with 11 CFR 110.2(b)(5).
    If the candidate is not a candidate in the general election, all 
contributions made for the general election shall be either returned or 
refunded to the contributors or redesignated in accordance with 11 CFR 
110.2(b)(5).
    (ii) The treasurer of the candidate's authorized political committee 
shall calculate net debts outstanding in accordance with 11 CFR 
110.1(b)(3)(ii). The amount of the net debts outstanding shall be 
adjusted as additional funds are received and expenditures are made. The 
candidate and his or her authorized political committee(s) may accept 
contributions made after the date of the election if such contributions 
are designated in writing by the contributor for that election and if 
such contributions do not exceed the adjusted amount of net debts 
outstanding on the date the contribution is received.
    (4) For purposes of this section, a contribution shall be considered 
to be designated in writing for a particular election if--
    (i) The contribution is made by check, money order, or other 
negotiable instrument which clearly indicates the particular election 
with respect to which the contribution is made;
    (ii) The contribution is accompanied by a writing, signed by the 
contributor, which clearly indicates the particular election with 
respect to which the contribution is made; or
    (iii) The contribution is redesignated in accordance with 11 CFR 
110.2(b)(5).
    (5)(i) The treasurer of an authorized political committee may 
request a written redesignation of a contribution by the contributor for 
a different election if--
    (A) The contribution was designated in writing for a particular 
election, and the contribution, either on its face or when aggregated 
with other contributions from the same contributor for the same 
election, exceeds the limitation on contributions set forth in 11 CFR 
110.2(b)(1);
    (B) The contribution was designated in writing for a particular 
election and the contribution was made after that election and the 
contribution cannot be accepted under the net debts outstanding 
provisions of 11 CFR 110.2(b)(3);
    (C) The contribution was not designated in writing for a particular 
election, and the contribution exceeds the limitation on contributions 
set forth in 11 CFR 110.2(b)(1); or
    (D) The contribution was not designated in writing for a particular 
election and the contribution was received after the date of an election 
for which there are net debts outstanding on the date the contribution 
is received.
    (ii) A contribution shall be considered to be redesignated for 
another election if--
    (A) The treasurer of the recipient authorized political committee 
requests that the contributor provide a written redesignation of the 
contribution and informs the contributor that the contributor may 
request the refund of the contribution as an alternative to providing a 
written redesignation; and
    (B) Within sixty days from the date of the treasurer's receipt of 
the contribution, the contributor provides the treasurer with a written 
redesignation of the contribution for another election, which is signed 
by the contributor.
    (iii) A contribution redesignated for another election shall not 
exceed the limitations on contributions made with respect to that 
election. A contribution redesignated for a previous election shall be 
subject to the requirements of 11 CFR 110.2(b)(3) regarding net debts 
outstanding.
    (6) For the purposes of this section, a contribution shall be 
considered to be made when the contributor relinquishes control over the 
contribution. A contributor shall be considered to relinquish control 
over the contribution when it is delivered by the contributor to the 
candidate, to the political committee, or to an agent of the political 
committee. A contribution that is mailed to the candidate, or to the 
political committee or to an agent of the political committee, shall be 
considered to be made on the date of the postmark. See 11 CFR 
110.1(l)(4). An in-kind

[[Page 161]]

contribution shall be considered to be made on the date that the goods 
or services are provided by the contributor.
    (c) Contributions to political party committees. (1) No 
multicandidate political committee shall make contributions to the 
political committees established and maintained by a national political 
party in any calendar year which, in the aggregate, exceed $15,000.
    (2) For purposes of this section, political committees established 
and maintained by a national political party means--
    (i) The national committee;
    (ii) The House campaign committee; and
    (iii) The Senate campaign committee.
    (3) Each recipient committee referred to in 11 CFR 110.2(c)(2) may 
receive up to the $15,000 limitation from a multicandidate political 
committee.
    (4) The recipient committee shall not be an authorized political 
committee of any candidate, except as provided in 11 CFR 9002.1(c).
    (d) Contributions to other political committees. No multicandidate 
political committee shall make contributions to any other political 
committee in any calendar year which, in the aggregate, exceed $5,000.
    (e) Contributions by political party committees to Senatorial 
candidates. (1) Notwithstanding any other provision of the Act, or of 
these regulations, the Republican and Democratic Senatorial campaign 
committees, or the national committee of a political party, may make 
contributions of not more than a combined total of $35,000 to a 
candidate for nomination or election to the Senate during the calendar 
year of the election for which he or she is a candidate. Any 
contribution made by such committee to a Senatorial candidate under this 
paragraph in a year other than the calendar year in which the election 
is held shall be considered to be made during the calendar year in which 
the election is held.
    (2) The contribution limitation in paragraph (e)(1) of this section 
shall be increased by the percent difference in the price index in 
accordance with 11 CFR 110.17. The increased contribution limitation 
shall be in effect for the two calendar years starting on January 1 of 
the year in which the contribution limitation is increased. In every 
odd-numbered year, the Commission will publish in the Federal Register 
the amount of the contribution limitation in effect and place such 
information on the Commission's Web site.
    (f) Contributions to candidates for more than one Federal office. If 
an individual is a candidate for more than one Federal office, a 
multicandidate political committee may make contributions which do not 
exceed $5,000 to the candidate, or his or her authorized political 
committees for each election for each office, provided that the 
requirements set forth in 11 CFR 110.1(f)(1), (2), and (3) are 
satisfied.
    (g) Contributions to retire pre-1975 debts. Contributions made to 
retire debts resulting from elections held prior to January 1, 1975 are 
not subject to the limitations of 11 CFR part 110, as long as 
contributions and solicitations to retire these debts are designated in 
writing and used for that purpose. Contributions made to retire debts 
resulting from elections held after December 31, 1974 are subject to the 
limitations of 11 CFR part 110.
    (h) Contributions to committees supporting the same candidate. A 
multicandidate political committee may contribute to a candidate or his 
or her authorized committee with respect to a particular election and 
also contribute to a political committee which has supported, or 
anticipates supporting, the same candidate in the same election, as long 
as--
    (1) The recipient political committee is not the candidate's 
principal campaign committee or other authorized political committee or 
a single candidate committee;
    (2) The multicandidate political committee does not give with the 
knowledge that a substantial portion will be contributed to, or expended 
on behalf of, that candidate for the same election; and
    (3) The multicandidate political committee does not retain control 
over the funds.
    (i) Application of limitations to elections. (1) The limitations on 
contributions of this section (other than paragraph (e) of this section) 
shall apply

[[Page 162]]

separately with respect to each election as defined in 11 CFR 100.2, 
except that all elections held in a calendar year for the office of 
President of the United States (except a general election for that 
office) shall be considered to be one election.
    (2) An election in which a candidate is unopposed is a separate 
election for the purposes of the limitations on contributions of this 
section.
    (3) A primary or general election which is not held because a 
candidate is unopposed or received a majority of votes in a previous 
election is a separate election for the purposes of the limitations on 
contributions of this section. The date on which the election would have 
been held shall be considered to be the date of the election.
    (4) A primary election which is not held because a candidate was 
nominated by a caucus or convention with authority to nominate is not a 
separate election for the purposes of the limitations on contributions 
of this section.
    (j) Contributions to delegates and delegate committees. (1) 
Contributions to delegates for the purpose of furthering their selection 
under 11 CFR 110.14 are not subject to the limitations of this section.
    (2) Contributions to delegate committees under 11 CFR 110.14 are 
subject to the limitations of this section.
    (k) Contributions to multicandidate political committees making 
independent expenditures. The limitations on contributions of this 
section also apply to contributions made to multicandidate political 
committees making independent expenditures under 11 CFR Part 109.
    (l) Pre-candidacy expenditures by multicandidate political 
committees deemed in-kind contributions; effect of reimbursement. (1) A 
payment by a multicandidate political committee is deemed an in-kind 
contribution to and an expenditure by a Presidential candidate, even 
though made before the individual becomes a candidate under 11 CFR 
100.3, if--
    (i) The expenditure is made on or after January 1 of the year 
immediately following the last Presidential election year;
    (ii) With respect to the goods or services involved, the candidate 
accepted or received them, requested or suggested their provision, was 
materially involved in the decision to provide them, or was involved in 
substantial discussions about their provision; and
    (iii) The goods or services are--
    (A) Polling expenses for determining the favorability, name 
recognition, or relative support level of the candidate involved;
    (B) Compensation paid to employees, consultants, or vendors for 
services rendered in connection with establishing and staffing offices 
in States where Presidential primaries, caucuses, or preference polls 
are to be held, other than offices in the candidate's home state and in 
or near the District of Columbia;
    (C) Administrative expenses, including rent, utilities, office 
supplies and equipment, in connection with establishing and staffing 
offices in States where Presidential primaries, caucuses, or preference 
polls are to be held, other than offices in the candidate's home state 
and in or near the District of Columbia; or
    (D) Expenses of individuals seeking to become delegates in the 
Presidential nomination process.
    (2) Notwithstanding paragraph (l)(1) of this section, if the 
candidate, through an authorized committee, reimburses the 
multicandidate political committee within 30 days of becoming a 
candidate, the payment shall not be deemed an in-kind contribution for 
either entity, and the reimbursement shall be an expenditure of the 
candidate.

[52 FR 772, Jan. 9, 1987, as amended at 52 FR 35534, Sept. 22, 1987; 58 
FR 42173, Aug. 6, 1993; 67 FR 69948, Nov. 19, 2002; 68 FR 457, Jan. 3, 
2003; 68 FR 47414, Aug. 8, 2003; 68 FR 64516, Nov. 14, 2003; 81 FR 
34863, June 1, 2016]



Sec.  110.3  Contribution limitations for affiliated committees and
political party committees; transfers (52 U.S.C. 30116(a)(4),
30116(a)(5)).

    (a) Contribution limitations for affiliated committees. (1) For the 
purposes of the contribution limitations of 11 CFR 110.1 and 110.2, all 
contributions made or received by more than one affiliated committee, 
regardless of whether they

[[Page 163]]

are political committees under 11 CFR 100.5, shall be considered to be 
made or received by a single political committee. See 11 CFR 100.5(g). 
Application of this paragraph means that all contributions made or 
received by the following committees shall be considered to be made or 
received by a single political committee--
    (i) Authorized committees of the same candidate for the same 
election to Federal office; or
    (ii) 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. For the purposes of this section, local unit may include, in 
appropriate cases, a franchisee, licensee, or State or regional 
association.
    (2) Affiliated committees sharing a single contribution limitation 
under paragraph (a)(1)(ii) of this section include all of the committees 
established, financed, maintained or controlled by--
    (i) A single corporation and/or its subsidiaries;
    (ii) A single national or international union and/or its local 
unions or other subordinate organizations;
    (iii) An organization of national or international unions and/or all 
its State and local central bodies;
    (iv) A membership organization, (other than political party 
committees, see paragraph (b) of this section) 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.
    (3)(i) The Commission may examine the relationship between 
organizations that sponsor committees, between the committees 
themselves, or between one sponsoring organization and a committee 
established by another organization to determine whether committees are 
affiliated.
    (ii) In determining whether committees not described in paragraphs 
(a)(2) (i)-(iv) of this section are affiliated, the Commission will 
consider the circumstantial factors described in paragraphs (a)(3)(ii) 
(A) through (J) of this section. The Commission will examine these 
factors in the context of the overall relationship between committees or 
sponsoring organizations to determine whether the presence of any factor 
or factors is evidence of one committee or organization having been 
established, financed, maintained or controlled by another committee or 
sponsoring organization. Such factors include, but are not limited to:
    (A) Whether a sponsoring organization owns a controlling interest in 
the voting stock or securities of the sponsoring organization of another 
committee;
    (B) Whether a sponsoring organization or committee has the authority 
or ability to direct or participate in the governance of another 
sponsoring organization or committee through provisions of 
constitutions, bylaws, contracts, or other rules, or through formal or 
informal practices or procedures;
    (C) Whether a sponsoring organization or committee has the authority 
or ability to hire, appoint, demote or otherwise control the officers, 
or other decisionmaking employees or members of another sponsoring 
organization or committee;
    (D) Whether a sponsoring organization or committee has a common or 
overlapping membership with another sponsoring organization or committee 
which indicates a formal or ongoing relationship between the sponsoring 
organizations or committees;
    (E) Whether a sponsoring organization or committee has common or 
overlapping officers or employees with another sponsoring organization 
or committee which indicates a formal or ongoing relationship between 
the sponsoring organizations or committees;
    (F) Whether a sponsoring organization or committee has any members, 
officers or employees who were members, officers or employees of another 
sponsoring organization or committee which indicates a formal or ongoing 
relationship between the sponsoring organizations or committees, or 
which indicates the creation of a successor entity;

[[Page 164]]

    (G) Whether a sponsoring organization or committee provides funds or 
goods in a significant amount or on an ongoing basis to another 
sponsoring organization or committee, such as through direct or indirect 
payments for administrative, fundraising, or other costs, but not 
including the transfer to a committee of its allocated share of proceeds 
jointly raised pursuant to 11 CFR 102.17;
    (H) Whether a sponsoring organization or committee causes or 
arranges for funds in a significant amount or on an ongoing basis to be 
provided to another sponsoring organization or committee, but not 
including the transfer to a committee of its allocated share of proceeds 
jointly raised pursuant to 11 CFR 102.17;
    (I) Whether a sponsoring organization or a committee or its agent 
had an active or significant role in the formation of another sponsoring 
organization or committee; and
    (J) Whether the sponsoring organizations or committees have similar 
patterns of contributions or contributors which indicates a formal or 
ongoing relationshp between the sponsoring organizations or committees.
    (b) Contribution limitations for political party committees. (1) For 
the purposes of the contribution limitations of 11 CFR 110.1 and 110.2, 
all contributions made or received by the following political committees 
shall be considered to be made or received by separate political 
committees--
    (i) The national committee of a political party and any political 
committees established, financed, maintained, or controlled by the same 
national committee; and
    (ii) The State committee of the same political party.
    (2) Application of paragraph (b)(1)(i) of this section means that--
    (i) The House campaign committee and the national committee of a 
political party shall have separate limitations on contributions under 
11 CFR 110.1 and 110.2.
    (ii) The Senate campaign committee and the national committee of a 
political party shall have separate limitations on contributions, except 
that contributions to a senatorial candidate made by the Senate campaign 
committee and the national committee of a political party are subject to 
a single contribution limitation under 11 CFR 110.2(e).
    (3) All contributions made by the political committees established, 
financed, maintained, or controlled by a State party committee and by 
subordinate State party committees shall be presumed to be made by one 
political committee. This presumption shall not apply if--
    (i) The political committee of the party unit in question has not 
received funds from any other political committee established, financed, 
maintained, or controlled by any party unit; and
    (ii) The political committee of the party unit in question does not 
make its contributions in cooperation, consultation or concert with, or 
at the request or suggestion of any other party unit or political 
committee established, financed, maintained, or controlled by another 
party unit.
    (c) Permissible Transfers. The contribution limitations of 11 CFR 
110.1 and 110.2 shall not limit the transfers set forth below in 11 CFR 
110.3(c) (1) through (6)--
    (1) Transfers of funds between affiliated committees or between 
party committees of the same political party whether or not they are 
affiliated or by collecting agents to a separate segregated fund made 
pursuant to 11 CFR 102.6;
    (2) Transfers of joint fundraising proceeds between organizations or 
committees participating in the joint fundraising activity provided that 
no participating committee or organization governed by 11 CFR 102.17 
received more than its allocated share of the funds raised;
    (3) Transfers of funds between the primary campaign and general 
election campaign of a candidate of funds unused for the primary;
    (4) Transfers of funds between a candidate's previous Federal 
campaign committee and his or her current Federal campaign committee, or 
between previous Federal campaign committees, provided that the 
candidate is not a candidate for more than one Federal office at the 
same time, and provided

[[Page 165]]

that the funds transferred are not composed of contributions that would 
be in violation of the Act. The cash on hand from which the transfer is 
made shall be considered to consist of the funds most recently received 
by the transferor committee. The transferor committee must be able to 
demonstrate that such cash on hand contains sufficient funds at the time 
of the transfer that comply with the limitations and prohibitions of the 
Act to cover the amount transferred.
    (i) Previous Federal campaign committee means a principal campaign 
committee, or other authorized committee, that was organized to further 
the candidate's campaign in a Federal election that has already been 
held.
    (ii) Current Federal campaign committee means a principal campaign 
committee, or other authorized committee, organized to further the 
candidate's campaign in a future Federal election.
    (iii) For purposes of the contribution limits, a contribution made 
after an election has been held, or after an individual ceases to be a 
candidate in an election, shall be aggregated with other contributions 
from the same contributor for the next election unless the contribution 
is designated for the previous election, or is designated for another 
election, and the candidate has net debts outstanding for the election 
so designated pursuant to 11 CFR 110.1(b)(3).
    (iv) For purposes of this section, an individual ceases to be a 
candidate in an election as of the earlier of the following dates--
    (A) The date on which the candidate publicly announces that he or 
she will no longer be a candidate in that election for that office and 
ceases to conduct campaign activities with respect to that election; or
    (B) The date on which the candidate is or becomes ineligible for 
nomination or election to that office by operation of law;
    (5) Transfers of funds between the principal campaign committees of 
an individual seeking nomination or election to more than one Federal 
office, as long as the conditions in 11 CFR 110.3(c)(5) (i), (ii) and 
(iii) are met. An individual will be considered to be seeking nomination 
or election to more than one Federal office if the individual is 
concurrently a candidate for more than one Federal office during the 
same or overlapping election cycles.
    (i) The transfer shall not be made when the individual is actively 
seeking nomination or election to more than one Federal office. An 
individual will not be considered to be actively seeking nomination or 
election to a Federal office if:
    (A) The individual publicly announces that he or she will no longer 
seek nomination or election to that office and ceases to conduct 
campaign activities with respect to that election, except in connection 
with the retirement of debts outstanding at the time of the 
announcement;
    (B) The individual is or becomes ineligible for nomination or 
election to that office by operation of law;
    (C) The individual has filed a proper termination report with the 
Commission under 11 CFR 102.3; or
    (D) The individual has notified the Commission in writing that the 
individual and his or her authorized committees will conduct no further 
campaign activities with respect to that election, except in connection 
with the retirement of debts outstanding at the time of the 
notification;
    (ii) The limitations on contributions by persons shall not be 
exceeded by the transfer. The cash on hand from which the transfer is 
made shall be considered to consist of the funds most recently received 
by the transferor committee. The transferor committee must be able to 
demonstrate that such cash on hand contains sufficient funds at the time 
of the transfer that comply with the limitations and prohibitions of the 
Act to cover the amount transferred. A contribution shall be excluded 
from the amount transferred to the extent that such contribution, when 
aggregated with other contributions from the same contributor to the 
transferee principal campaign committee, exceeds the contribution limits 
set forth at 11 CFR 110.1 or 110.2, as appropriate; and
    (iii) The candidate has not elected to receive funds under 26 U.S.C. 
9006 or 9037 for either election; or
    (6) [Reserved]

[[Page 166]]

    (7) The authorized committees of a candidate for more than one 
Federal office, or for a Federal office and a nonfederal office, shall 
follow the requirements for separate campaign organizations set forth at 
11 CFR 110.8(d).
    (d) Transfers from nonfederal to federal campaigns. Transfers of 
funds or assets from a candidate's campaign committee or account for a 
nonfederal election to his or her principal campaign committee or other 
authorized committee for a federal election are prohibited. However, at 
the option of the nonfederal committee, the nonfederal committee may 
refund contributions, and may coordinate arrangements with the 
candidate's principal campaign committee or other authorized committee 
for a solicitation by such committee(s) to the same contributors. The 
full cost of this solicitation shall be paid by the Federal committee.

[54 FR 34110, Aug. 17, 1989, and 54 FR 48580, Nov. 24, 1989; 58 FR 3476, 
Jan. 8, 1993]



Sec.  110.4  Contributions in the name of another; cash contributions
(52 U.S.C. 30122, 30123, 30102(c)(2)).

    (a) [Reserved]
    (b) Contributions in the name of another. (1) No person shall--
    (i) Make a contribution in the name of another;
    (ii) Knowingly permit his or her name to be used to effect that 
contribution;
    (iii) Knowingly help or assist any person in making a contribution 
in the name of another; or
    (iv) Knowingly accept a contribution made by one person in the name 
of another.
    (2) Examples of contributions in the name of another include--
    (i) Giving money or anything of value, all or part of which was 
provided to the contributor by another person (the true contributor) 
without disclosing the source of money or the thing of value to the 
recipient candidate or committee at the time the contribution is made, 
see 11 CFR 110.6; or
    (ii) Making a contribution of money or anything of value and 
attributing as the source of the money or thing of value another person 
when in fact the contributor is the source.
    (c) Cash contributions. (1) With respect to any campaign for 
nomination for election or election to Federal office, no person shall 
make contributions to a candidate or political committee of currency of 
the United States, or of any foreign country, which in the aggregate 
exceed $100.
    (2) A candidate or committee receiving a cash contribution in excess 
of $100 shall promptly return the amount over $100 to the contributor.
    (3) A candidate or committee receiving an anonymous cash 
contribution in excess of $50 shall promptly dispose of the amount over 
$50. The amount over $50 may be used for any lawful purpose unrelated to 
any Federal election, campaign, or candidate.

[54 FR 34112, Aug. 17, 1989, and 54 FR 48580, Nov. 24, 1989, as amended 
at 54 FR 48582, Nov. 24, 1989; 55 FR 1139, Jan. 11, 1990; 67 FR 69948, 
Nov. 19, 2002]



Sec.  110.5  [Reserved]



Sec.  110.6  Earmarked contributions 52 U.S.C. 30116(a)(8)).

    (a) General. All contributions by a person made on behalf of or to a 
candidate, including contributions which are in any way earmarked or 
otherwise directed to the candidate through an intermediary or conduit, 
are contributions from the person to the candidate.
    (b) Definitions. (1) For purposes of this section, earmarked means a 
designation, instruction, or encumbrance, whether direct or indirect, 
express or implied, oral or written, which results in all or any part of 
a contribution or expenditure being made to, or expended on behalf of, a 
clearly identified candidate or a candidate's authorized committee.
    (2) For purposes of this section, conduit or intermediary means any 
person who receives and forwards an earmarked contribution to a 
candidate or a candidate's authorized committee, except as provided in 
paragraph (b)(2)(i) of this section.
    (i) For purposes of this section, the following persons shall not be 
considered to be conduits or intermediaries:
    (A) An individual who is an employee or a full-time volunteer 
working for

[[Page 167]]

the candidate's authorized committee, provided that the individual is 
not acting in his or her capacity as a representative of an entity 
prohibited from making contributions;
    (B) A fundraising representative conducting joint fundraising with 
the candidate's authorized committee pursuant to 11 CFR 102.17 or 
9034.8;
    (C) An affiliated committee, as defined in 11 CFR 100.5(g);
    (D) A commercial fundraising firm retained by the candidate or the 
candidate's authorized committee to assist in fundraising; and
    (E) An individual who is expressly authorized by the candidate or 
the candidate's authorized committee to engage in fundraising, and who 
occupies a significant position within the candidate's campaign 
organization, provided that the individual is not acting in his or her 
capacity as a representative of an entity prohibited from making 
contributions.
    (ii) Any person who is prohibited from making contributions or 
expenditures in connection with an election for Federal office shall be 
prohibited from acting as a conduit for contributions earmarked to 
candidates or their authorized committees. The provisions of this 
section shall not restrict the ability of an organization or committee 
to serve as a collecting agent for a separate segregated fund pursuant 
to 11 CFR 102.6.
    (iii) Any person who receives an earmarked contribution shall 
forward such earmarked contribution to the candidate or authorized 
committee in accordance with 11 CFR 102.8, except that--
    (A) A fundraising representative shall follow the joint fundraising 
procedures set forth at 11 CFR 102.17.
    (B) A person who is prohibited from acting as a conduit pursuant to 
paragraph (b)(2)(ii) of this section shall return the earmarked 
contribution to the contributor.
    (c) Reporting of earmarked contributions--(1) Reports by conduits 
and intermediaries. (i) The intermediary or conduit of the earmarked 
contribution shall report the original source and the recipient 
candidate or authorized committee to the Commission or the Secretary of 
the Senate, as appropriate (see 11 CFR part 105), and to the recipient 
candidate or authorized committee.
    (ii) The report to the Commission or Secretary shall be included in 
the conduit's or intermediary's report for the reporting period in which 
the earmarked contribution was received, or, if the conduit or 
intermediary is not required to report under 11 CFR part 104, by letter 
to the Commission within thirty days after forwarding the earmarked 
contribution.
    (iii) The report to the recipient candidate or authorized committee 
shall be made when the earmarked contribution is forwarded to the 
recipient candidate or authorized committee pursuant to 11 CFR 102.8.
    (iv) The report by the conduit or intermediary shall contain the 
following information:
    (A) The name and mailing address of each contributor and, for each 
earmarked contribution in excess of $200, the contributor's occupation 
and the name of his or her employer;
    (B) The amount of each earmarked contribution, the date received by 
the conduit, and the intended recipient as designated by the 
contributor; and
    (C) The date each earmarked contribution was forwarded to the 
recipient candidate or authorized committee and whether the earmarked 
contribution was forwarded in cash or by the contributor's check or by 
the conduit's check.
    (v) For each earmarked contribution passed through the conduit's or 
intermediary's account, the information specified in paragraph 
(c)(1)(iv) (A) through (C) of this section shall be itemized on the 
appropriate schedules of receipts and disbursements attached to the 
conduit's or intermediary's report, or shall be disclosed by letter, as 
appropriate. For each earmarked contribution forwarded in the form of 
the contributor's check or other written instrument, the information 
specified in paragraph (c)(1)(iv) (A) through (C) of this section shall 
be disclosed as a memo entry on the appropriate schedules of receipts 
and disbursements attached to the conduit's or intermediary's report, or 
shall be disclosed by letter, as appropriate.

[[Page 168]]

    (2) Reports by recipient candidates and authorized committees. (i) 
The recipient candidate or authorized committee shall report each 
conduit or intermediary who forwards one or more earmarked contributions 
which in the aggregate exceed $200 in any election cycle.
    (ii) The report by the recipient candidate or authorized committee 
shall contain the following information:
    (A) The identification of the conduit or intermediary, as defined in 
11 CFR 100.12;
    (B) The total amount of earmarked contributions received from the 
conduit or intermediary and the date of receipt; and
    (C) The information required under 11 CFR 104.3(a) (3) and (4) for 
each earmarked contribution which in the aggregate exceeds $200 in any 
election cycle.
    (iii) The information specified in paragraph (c)(2)(ii) (A) through 
(C) of this section shall be itemized on Schedule A attached to the 
report for the reporting period in which the earmarked contribution is 
received.
    (d) Direction or control. (1) A conduit's or intermediary's 
contribution limits are not affected by the forwarding of an earmarked 
contribution except where the conduit or intermediary exercises any 
direction or control over the choice of the recipient candidate.
    (2) If a conduit or intermediary exercises any direction or control 
over the choice of the recipient candidate, the earmarked contribution 
shall be considered a contribution by both the original contributor and 
the conduit or intermediary. If the conduit or intermediary exercises 
any direction or control over the choice of the recipient candidate, the 
report filed by the conduit or intermediary and the report filed by the 
recipient candidate or authorized committee shall indicate that the 
earmarked contribution is made by both the original contributor and the 
conduit or intermediary, and that the entire amount of the contribution 
is attributed to each.

[54 FR 34113, Aug. 17, 1989 and 54 FR 48580, Nov. 24, 1989; 61 FR 3550, 
Feb. 1, 1996; 81 FR 94240, Dec. 23, 2016]



Sec.  110.7  [Reserved]



Sec.  110.8  Presidential candidate expenditure limitations.

    (a)(1) No candidate for the office of President of the United States 
who is eligible under 26 U.S.C. 9003 (relating to conditions for 
eligibility for payments) or under 26 U.S.C. 9033 (relating to 
eligibility for payments) to receive payments from the Secretary of the 
Treasury and has received payments, may make expenditures in excess of--
    (i) $10,000,000 in the case of a campaign for nomination for 
election to the office, except the aggregate of expenditures under this 
paragraph in any one State shall not exceed the greater of 16 cents 
multiplied by the voting age population of the State or $200,000; or
    (ii) $20,000,000 in the case of a campaign for election to the 
office.
    (2) The expenditure limitations in paragraph (a)(1) of this section 
shall be increased in accordance with 11 CFR 110.17.
    (3) Voting age population is defined at 11 CFR 110.18.
    (b) The expenditure limitations shall not be considered violated if, 
after the date of the primary or general election, convention or caucus, 
receipt of refunds and rebates causes a candidate's expenditures to be 
within the limitations.
    (c) For the State limitations in paragraph (a)(1) of this section--
    (1) Expenditures made in a State after the date of the primary 
election, convention or caucus relating to the primary election, 
convention or caucus count toward that State's expenditure limitation;
    (2) The candidate may treat an amount that does not exceed 50% of 
the candidate's total expenditures allocable to a particular State under 
11 CFR 106.2 as exempt fundraising expenses, and may exclude this amount 
from the candidate's total expenditures attributable to the expenditure 
limitations for that State. The candidate may treat 100% of the cost of 
mass mailings as exempt fundraising expenses, unless the mass mailings 
were mailed within 28 days before the state's primary election, 
convention or caucus. The total of all amounts excluded for exempt 
fundraising expenses shall

[[Page 169]]

not exceed 20% of the overall expenditure limitation under 11 CFR 
9035.1.
    (d)(1) If an individual is a candidate for more than one Federal 
office, or for a Federal office and a State office, he or she must 
designate separate principal campaign committees and establish 
completely separate campaign organizations.
    (2) No funds, goods, or services, including loans and loan 
guarantees, may be transferred between or used by the separate 
campaigns, except as provided in 11 CFR 110.3(c)(5).
    (3) Except for Presidential candidates receiving Presidential 
Primary Matching Funds, see 26 U.S.C. 9032, or General Election Public 
Financing, see 26 U.S.C. 9002, campaigns may share personnel and 
facilities, as long as expenditures are allocated between the campaigns, 
and the payment made from each campaign account reflects the allocation.
    (e)(1) A political party may make reimbursement for the expenses of 
a candidate who is engaging in party-building activities, without the 
payment being considered a contribution to the candidate, and without 
the unreimbursed expense being considered an expenditure counting 
against the limitations in paragraph (a) (1) or (2) of this section, as 
long as--
    (i) The event is a bona fide party event or appearance; and
    (ii) No aspect of the solicitation for the event, the setting of the 
event, and the remarks or activities of the candidate in connection with 
the event were for the purpose of influencing the candidate's nomination 
or election.
    (2)(i) An event or appearance meeting the requirements of paragraph 
(e)(1) of this section and occurring prior to January 1 of the year of 
the election for which the individual is a candidate is presumptively 
party-related;
    (ii) Notwithstanding the requirements of paragraph (e)(1) of this 
section, an event or appearance occurring on or after January 1 of the 
year of the election for which the individual is a candidate is 
presumptively for the purpose of influencing the candidate's election, 
and any contributions or expenditures are governed by the contribution 
and expenditure limitations of this part 110.
    (iii) The presumptions in paragraphs (e)(2) (i) and (ii) of this 
section may be rebutted by a showing to the Commission that the 
appearance or event was, or was not, party-related, as the case may be.
    (f)(1) Expenditures made by or on behalf of any candidate nominated 
by a political party for election to the office of Vice President of the 
United States shall be considered to be expenditures made by or on 
behalf of the candidate of such party for election to the office of 
President of the United States.
    (2) Expenditures from personal funds made by a candidate for Vice 
President shall be considered to be expenditures by the candidate for 
President, if the candidate is receiving General Election Public 
Financing, see Sec.  9003.2(c).
    (g) An expenditure is made on behalf of a candidate, including a 
Vice-Presidential candidate, if it is made by--
    (1) An authorized committee or any other agent of the candidate for 
purposes of making any expenditure;
    (2) Any person authorized or requested by the candidate, an 
authorized committee of the candidate, or an agent of the candidate to 
make the expenditure; or
    (3) A committee not authorized in writing, so long as it is 
requested by the candidate, an authorized committee of the candidate, or 
an agent of the candidate to make the expenditure.

[41 FR 35948, Aug. 25, 1976, as amended at 45 FR 21210, Apr. 1, 1980; 54 
FR 34114, Aug. 17, 1989; 54 FR 48580, Nov. 24, 1989; 56 FR 35911, July 
29, 1991; 68 FR 457, Jan. 3, 2003; 68 FR 6346, Feb. 7, 2003]



Sec.  110.9  Violation of limitations.

    No candidate or political committee shall knowingly accept any 
contribution or make any expenditure in violation of the provisions of 
11 CFR part 110. No officer or employee of a political committee shall 
knowingly accept a contribution made for the benefit or use of a 
candidate, or make any expenditure on behalf of a candidate, in 
violation of any limitation imposed on contributions and expenditures 
under this part 110.

[67 FR 69949, Nov. 19, 2002]

[[Page 170]]



Sec.  110.10  Expenditures by candidates.

    Except as provided in 11 CFR parts 9001, et seq. and 9031, et seq., 
candidates for Federal office may make unlimited expenditures from 
personal funds as defined in 11 CFR 100.33.

[68 FR 3996, Jan. 27, 2003]



Sec.  110.11  Communications; advertising; disclaimers (52 U.S.C. 30120).

    (a) Scope. The following communications must include disclaimers, as 
specified in this section:
    (1) All public communications, as defined in 11 CFR 100.26, made by 
a political committee; electronic mail of more than 500 substantially 
similar communications when sent by a political committee; and all 
Internet websites of political committees available to the general 
public.
    (2) All public communications, as defined in 11 CFR 100.26, by any 
person that expressly advocate the election or defeat of a clearly 
identified candidate.
    (3) All public communications, as defined in 11 CFR 100.26, by any 
person that solicit any contribution.
    (4) All electioneering communications by any person.
    (b) General content requirements. A disclaimer required by paragraph 
(a) of this section must contain the following information:
    (1) If the communication, including any solicitation, is paid for 
and authorized by a candidate, an authorized committee of a candidate, 
or an agent of either of the foregoing, the disclaimer must clearly 
state that the communication has been paid for by the authorized 
political committee;
    (2) If the communication, including any solicitation, is authorized 
by a candidate, an authorized committee of a candidate, or an agent of 
either of the foregoing, but is paid for by any other person, the 
disclaimer must clearly state that the communication is paid for by such 
other person and is authorized by such candidate, authorized committee, 
or agent; or
    (3) If the communication, including any solicitation, is not 
authorized by a candidate, authorized committee of a candidate, or an 
agent of either of the foregoing, the disclaimer must clearly state the 
full name and permanent street address, telephone number, or World Wide 
Web address of the person who paid for the communication, and that the 
communication is not authorized by any candidate or candidate's 
committee.
    (c) Disclaimer specifications--(1) Specifications for all 
disclaimers. A disclaimer required by paragraph (a) of this section must 
be presented in a clear and conspicuous manner, to give the reader, 
observer, or listener adequate notice of the identity of the person or 
political committee that paid for and, where required, that authorized 
the communication. A disclaimer is not clear and conspicuous if it is 
difficult to read or hear, or if the placement is easily overlooked.
    (2) Specific requirements for printed communications. In addition to 
the general requirement of paragraphs (b) and (c)(1) of this section, a 
disclaimer required by paragraph (a) of this section that appears on any 
printed public communication must comply with all of the following:
    (i) The disclaimer must be of sufficient type size to be clearly 
readable by the recipient of the communication. A disclaimer in twelve 
(12)-point type size satisfies the size requirement of this paragraph 
(c)(2)(i) when it is used for signs, posters, flyers, newspapers, 
magazines, or other printed material that measure no more than twenty-
four (24) inches by thirty-six (36) inches.
    (ii) The disclaimer must be contained in a printed box set apart 
from the other contents of the communication.
    (iii) The disclaimer must be printed with a reasonable degree of 
color contrast between the background and the printed statement. A 
disclaimer satisfies the color contrast requirement of this paragraph 
(c)(2)(iii) if it is printed in black text on a white background or if 
the degree of color contrast between the background and the text of the 
disclaimer is no less than the color contrast between the background and 
the largest text used in the communication.
    (iv) The disclaimer need not appear on the front or cover page of 
the communication as long as it appears within

[[Page 171]]

the communication, except on communications, such as billboards, that 
contain only a front face.
    (v) A communication that would require a disclaimer if distributed 
separately, that is included in a package of materials, must contain the 
required disclaimer.
    (3) Specific requirements for radio and television communications 
authorized by candidates. In addition to the general requirements of 
paragraphs (b) and (c)(1) of this section, a communication that is 
authorized or paid for by a candidate or the authorized committee of a 
candidate (see paragraph (b)(1) or (b)(2) of this section) that is 
transmitted through radio or television, or through any broadcast, 
cable, or satellite transmission, must comply with the following:
    (i) A communication transmitted through radio must include an audio 
statement by the candidate that identifies the candidate and states that 
he or she has approved the communication; or
    (ii) A communication transmitted through television or through any 
broadcast, cable, or satellite transmission, must include a statement 
that identifies the candidate and states that he or she has approved the 
communication. The candidate shall convey the statement either:
    (A) Through an unobscured, full-screen view of himself or herself 
making the statement, or
    (B) Through a voice-over by himself or herself, accompanied by a 
clearly identifiable photographic or similar image of the candidate. A 
photographic or similar image of the candidate shall be considered 
clearly identified if it is at least eighty (80) percent of the vertical 
screen height.
    (iii) A communication transmitted through television or through any 
broadcast, cable, or satellite transmission, must also include a similar 
statement that must appear in clearly readable writing at the end of the 
television communication. To be clearly readable, this statement must 
meet all of the following three requirements:
    (A) The statement must appear in letters equal to or greater than 
four (4) percent of the vertical picture height;
    (B) The statement must be visible for a period of at least four (4) 
seconds; and
    (C) The statement must appear with a reasonable degree of color 
contrast between the background and the text of the statement. A 
statement satisfies the color contrast requirement of this paragraph 
(c)(3)(iii)(C) if it is printed in black text on a white background or 
if the degree of color contrast between the background and the text of 
the statement is no less than the color contrast between the background 
and the largest type size used in the communication.
    (iv) The following are examples of acceptable statements that 
satisfy the spoken statement requirements of paragraph (c)(3) of this 
section with respect to a radio, television, or other broadcast, cable, 
or satellite communication, but they are not the only allowable 
statements:
    (A) ``I am [insert name of candidate], a candidate for [insert 
Federal office sought], and I approved this advertisement.''
    (B) ``My name is [insert name of candidate]. I am running for 
[insert Federal office sought], and I approved this message.''
    (4) Specific requirements for radio and television communications 
paid for by other persons and not authorized by a candidate. In addition 
to the general requirements of paragraphs (b) and (c)(1) of this 
section, a communication not authorized by a candidate or a candidate's 
authorized committee that is transmitted through radio or television or 
through any broadcast, cable, or satellite transmission, must comply 
with the following:
    (i) A communication transmitted through radio or television or 
through any broadcast, cable, or satellite transmission, must include 
the following audio statement, ``XXX is responsible for the content of 
this advertising,'' spoken clearly, with the blank to be filled in with 
the name of the political committee or other person paying for the 
communication, and the name of the connected organization, if any, of 
the payor unless the name of the connected organization is already 
provided in the ``XXX is responsible'' statement; and

[[Page 172]]

    (ii) A communication transmitted through television, or through any 
broadcast, cable, or satellite transmission, must include the audio 
statement required by paragraph (c)(4)(i) of this section. That 
statement must be conveyed by an unobscured full-screen view of a 
representative of the political committee or other person making the 
statement, or by a representative of such political committee or other 
person in voice-over.
    (iii) A communication transmitted through television or through any 
broadcast, cable, or satellite transmission, must also include a similar 
statement that must appear in clearly readable writing at the end of the 
communication. To be clearly readable, the statement must meet all of 
the following three requirements:
    (A) The statement must appear in letters equal to or greater than 
four (4) percent of the vertical picture height;
    (B) The statement must be visible for a period of at least four (4) 
seconds; and
    (C) The statement must appear with a reasonable degree of color 
contrast between the background and the disclaimer statement. A 
disclaimer satisfies the color contrast requirement of this paragraph 
(c)(4)(iii)(C) if it is printed in black text on a white background or 
if the degree of color contrast between the background and the text of 
the disclaimer is no less than the color contrast between the background 
and the largest type size used in the communication.
    (d) Coordinated party expenditures and independent expenditures by 
political party committees. (1)(i) For a communication paid for by a 
political party committee pursuant to 52 U.S.C. 30116(d), the disclaimer 
required by paragraph (a) of this section must identify the political 
party committee that makes the expenditure as the person who paid for 
the communication, regardless of whether the political party committee 
was acting in its own capacity or as the designated agent of another 
political party committee.
    (ii) A communication made by a political party committee pursuant to 
52 U.S.C. 30116(d) and distributed prior to the date the party's 
candidate is nominated shall satisfy the requirements of this section if 
it clearly states who paid for the communication.
    (2) For purposes of this section, a communication paid for by a 
political party committee, other than a communication covered by 
paragraph (d)(1)(ii) of this section, that is being treated as a 
coordinated expenditure under 52 U.S.C. 30116(d) and that was made with 
the approval of a candidate, a candidate's authorized committee, or the 
agent of either shall identify the political party that paid for the 
communication and shall state that the communication is authorized by 
the candidate or candidate's authorized committee.
    (3) For a communication paid for by a political party committee that 
constitutes an independent expenditure under 11 CFR 100.16, the 
disclaimer required by this section must identify the political party 
committee that paid for the communication, and must state that the 
communication is not authorized by any candidate or candidate's 
authorized committee.
    (e) Exempt activities. A public communication authorized by a 
candidate, authorized committee, or political party committee, that 
qualifies as an exempt activity under 11 CFR 100.140, 100.147, 100.148, 
or 100.149, must comply with the disclaimer requirements of paragraphs 
(a), (b), (c)(1), and (c)(2) of this section, unless excepted under 
paragraph (f)(1) of this section, but the disclaimer does not need to 
state whether the communication is authorized by a candidate, or any 
authorized committee or agent of any candidate.
    (f) Exceptions. (1) The requirements of paragraphs (a) through (e) 
of this section do not apply to the following:
    (i) Bumper stickers, pins, buttons, pens, and similar small items 
upon which the disclaimer cannot be conveniently printed;
    (ii) Skywriting, water towers, wearing apparel, or other means of 
displaying an advertisement of such a nature that the inclusion of a 
disclaimer would be impracticable; or
    (iii) Checks, receipts, and similar items of minimal value that are 
used for purely administrative purposes and do not contain a political 
message.
    (2) For purposes of this section, whenever a separate segregated 
fund or

[[Page 173]]

its connected organization solicits contributions to the fund from those 
persons it may solicit under the applicable provisions of 11 CFR part 
114, or makes a communication to those persons, such communication shall 
not be considered a type of public communication and need not contain 
the disclaimer required by paragraphs (a) through (c) of this section.
    (g) Comparable rate for campaign purposes. (1) No person who sells 
space in a newspaper or magazine to a candidate, an authorized committee 
of a candidate, or an agent of the candidate, for use in connection with 
the candidate's campaign for nomination or for election, shall charge an 
amount for the space which exceeds the comparable rate for the space for 
non-campaign purposes.
    (2) For purposed of this section, comparable rate means the rate 
charged to a national or general rate advertiser, and shall include 
discount privileges usually and normally available to a national or 
general rate advertiser.

[67 FR 76975, Dec. 13, 2002, as amended at 71 FR 18613, Apr. 12, 2006; 
79 FR 77847, Dec. 29, 2014]



Sec.  110.12  Candidate appearances on public educational institution premises.

    (a) Rental of facilities at usual and normal charge. Any 
unincorporated public educational institution exempt from federal 
taxation under 26 U.S.C. 115, such as a school, college or university, 
may make its facilities available to any candidate or political 
committee in the ordinary course of business and at the usual and normal 
charge. In this event, the requirements of paragraph (b) of this section 
are not applicable.
    (b) Use of facilities at no charge or at less than the usual and 
normal charge. An unincorporated public educational institution exempt 
from federal taxation under 26 U.S.C. 115, such as a school, college or 
university, may sponsor appearances by candidates, candidates' 
representatives or representatives of political parties at which such 
individuals address or meet the institution's academic community or the 
general public (whichever is invited) on the educational institution's 
premises at no charge or at less than the usual and normal charge, if:
    (1) The educational institution makes reasonable efforts to ensure 
that the appearances constitute speeches, question and answer sessions, 
or similar communications in an academic setting, and makes reasonable 
efforts to ensure that the appearances are not conducted as campaign 
rallies or events; and
    (2) The educational institution does not, in conjunction with the 
appearance, expressly advocate the election or defeat of any clearly 
identified candidate(s) or candidates of a clearly identified political 
party, and does not favor any one candidate or political party over any 
other in allowing such appearances.

[60 FR 64273, Dec. 14, 1995]



Sec.  110.13  Candidate debates.

    (a) Staging organizations. (1) Nonprofit organizations described in 
26 U.S.C. 501 (c)(3) or (c)(4) and which do not endorse, support, or 
oppose political candidates or political parties may stage candidate 
debates in accordance with this section and 11 CFR 114.4(f).
    (2) Broadcasters (including a cable television operator, programmer 
or producer), bona fide newspapers, magazines and other periodical 
publications may stage candidate debates in accordance with this section 
and 11 CFR 114.4(f), provided that they are not owned or controlled by a 
political party, political committee or candidate. In addition, 
broadcasters (including a cable television operator, programmer or 
producer), bona fide newspapers, magazines and other periodical 
publications, acting as press entities, may also cover or carry 
candidate debates in accordance with 11 CFR part 100, subparts B and C 
and part 100, subparts D and E.
    (b) Debate structure. The structure of debates staged in accordance 
with this section and 11 CFR 114.4(f) is left to the discretion of the 
staging organizations(s), provided that:
    (1) Such debates include at least two candidates; and
    (2) The staging organization(s) does not structure the debates to 
promote or advance one candidate over another.

[[Page 174]]

    (c) Criteria for candidate selection. For all debates, staging 
organization(s) must use pre-established objective criteria to determine 
which candidates may participate in a debate. For general election 
debates, staging organizations(s) shall not use nomination by a 
particular political party as the sole objective criterion to determine 
whether to include a candidate in a debate. For debates held prior to a 
primary election, caucus or convention, staging organizations may 
restrict candidate participation to candidates seeking the nomination of 
one party, and need not stage a debate for candidates seeking the 
nomination of any other political party or independent candidates.

[61 FR 18051, Apr. 24, 1996; 61 FR 24533, May 15, 1996, as amended at 67 
FR 78681, Dec. 26, 2002]



Sec.  110.14  Contributions to and expenditures by delegates and
delegate committees.

    (a) Scope. This section sets forth the prohibitions, limitations and 
reporting requirements under the Act applicable to all levels of a 
delegate selection process.
    (b) Definitions--(1) Delegate. Delegate means an individual who 
becomes or seeks to become a delegate, as defined by State law or party 
rule, to a national nominating convention or to a State, district, or 
local convention, caucus or primary that is held to select delegates to 
a national nominating convention.
    (2) Delegate committee. A delegate committee is a group of persons 
that receives contributions or makes expenditures for the sole purpose 
of influencing the selection of one or more delegates to a national 
nominating convention. The term delegate committee includes a group of 
delegates, a group of individuals seeking selection as delegates and a 
group of individuals supporting delegates. A delegate committee that 
qualifies as a political committee under 11 CFR 100.5 must register with 
the Commission pursuant to 11 CFR part 102 and report its receipts and 
disbursements in accordance with 11 CFR part 104.
    (c) Funds received and expended; Prohibited funds. (1) Funds 
received or disbursements made for the purpose of furthering the 
selection of a delegate to a national nominating convention are 
contributions or expenditures for the purpose of influencing a federal 
election, see 11 CFR 100.2 (c)(3) and (e), except that--
    (i) Payments made by an individual to a State committee or 
subordinate State committee as a condition for ballot access as a 
delegate are not contributions or expenditures. Such payments are 
neither required to be reported under 11 CFR part 104 nor subject to 
limitation under 11 CFR 110.1; and
    (ii) Payments made by a State committee or subordinate State party 
committee for administrative expenses incurred in connection with 
sponsoring conventions or caucuses during which delegates to a national 
nominating convention are selected are not contributions or 
expenditures. Such payments are neither required to be reported under 11 
CFR part 104 nor subject to limitation under 11 CFR 110.1 and 110.2.
    (2) All funds received or disbursements made for the purpose of 
furthering the selection of a delegate to a national nominating 
convention, including payments made under paragraphs (c)(1)(i) and 
(c)(1)(ii) of this section, shall be made from funds permissible under 
the Act. See 11 CFR parts 110, 114 and 115.
    (d) Contributions to a delegate. (1) The limitations on 
contributions to candidates and political committees under 11 CFR 110.1 
and 110.2 do not apply to contributions made to a delegate for the 
purpose of furthering his or her selection.
    (2) Contributions to a delegate made by the authorized committee of 
a presidential candidate count against the presidential candidate's 
expenditure limitation under 11 CFR 110.8(a).
    (3) A delegate is not required to report contributions received for 
the purpose of furthering his or her selection.
    (e) Expenditures by delegate to advocate only his or her selection. 
(1) Expenditures by a delegate that advocate only his or her selection 
are neither contributions to a candidate, subject to limitation under 11 
CFR 110.1, nor chargeable to the expenditure limits of any Presidential 
candidate under 11

[[Page 175]]

CFR 110.8(a). Such expenditures may include, but are not limited to: 
Payments for travel and subsistence during the delegate selection 
process, including the national nominating convention, and payments for 
any communications advocating only the delegate's selection.
    (2) A delegate is not required to report expenditures made to 
advocate only his or her selection.
    (f) Expenditures by a delegate referring to a candidate for public 
office--(1) Volunteer activities that do not use public political 
advertising. (i) Expenditures by a delegate to defray the costs of 
certain campaign materials (such as pins, bumper stickers, handbills, 
brochures, posters and yard signs) that advocate his or her selection 
and also include information on or reference to a candidate for the 
office of President or any other public office are neither contributions 
to the candidate referred to nor subject to limitation under 11 CFR 
110.1 provided that:
    (A) The materials are used in connection with volunteer activities; 
and
    (B) The expenditures are not for costs incurred in the use of 
broadcasting, newspapers, magazines, billboards, direct mail or similar 
types of general public communication or political advertising.
    (ii) Such expenditures are not chargeable to the expenditure 
limitation of a presidential candidate under 11 CFR 110.8(a).
    (iii) A delegate is not required to report expenditures made 
pursuant to this paragraph.
    (2) Use of public political advertising. A delegate may make 
expenditures to defray costs incurred in the use of broadcasting, 
newspapers, magazines, billboards, direct mail or similar types of 
general public communication or political advertising to advocate his or 
her selection and also include information on or reference to a 
candidate for the office of President or any other public office.
    (i) Such expenditures are in-kind contributions to a Federal 
candidate if they are coordinated communications under 11 CFR 109.21.
    (A) The portion of the expenditure allocable to a Federal candidate 
is subject to the contribution limitations of 11 CFR 110.1.
    (B) A Federal candidate's authorized committee must report the 
portion of the expenditure allocable to the candidate as a contribution 
pursuant to 11 CFR part 104.
    (C) The portion of the expenditure allocable to a presidential 
candidate is chargeable to the presidential candidate's expenditure 
limitation under 11 CFR 110.8(a).
    (ii) Such expenditures are independent expenditures under 11 CFR 
100.16 if they are made for a communication expressly advocating the 
election or defeat of a clearly identified Federal candidate that is not 
a coordinated communication under 11 CFR 109.21.
    (A) Such independent expenditures must be made in accordance with 
the requirements of 11 CFR part 109.
    (B) The delegate shall report the portion of the expenditure 
allocable to the Federal candidate as an independent expenditure in 
accordance with 11 CFR 109.10.
    (3) Republication of candidate materials. Expenditures made to 
finance the dissemination, distribution or republication, in whole or in 
part, of any broadcast or materials prepared by a Federal candidate are 
in-kind contributions to the candidate.
    (i) Such expenditures are subject to the contribution limits of 11 
CFR 110.1.
    (ii) The Federal candidate must report the expenditure as a 
contribution pursuant to 11 CFR part 104.
    (iii) Such expenditures are not chargeable to the presidential 
candidate's expenditure limitation under 11 CFR 110.8 unless they were 
coordinated communications under 11 CFR 109.21.
    (4) For purposes of this paragraph, direct mail means any mailing(s) 
by commercial vendors or any mailing(s) made from lists that were not 
developed by the delegate.
    (g) Contributions made to and by a delegate committee. (1) The 
limitations on contributions to political committees under 11 CFR 110.1 
and 110.2 apply to contributions made to and by a delegate committee.

[[Page 176]]

    (2) A delegate committee shall report contributions it makes and 
receives pursuant to 11 CFR part 104.
    (h) Expenditures by a delegate committee to advocate only the 
selection of one or more delegates. (1) Expenditures by a delegate 
committee that advocate only the selection of one or more delegates are 
neither contributions to a candidate, subject to limitation under 11 CFR 
110.1 nor chargeable to the expenditure limits of any Presidential 
candidate under 11 CFR 110.8(a). Such expenditures may include but are 
not limited to: Payments for travel and subsistence during the delegate 
selection process, including the national nominating convention, and 
payments for any communications advocating only the selection of one or 
more delegates.
    (2) A delegate committee shall report expenditures made pursuant to 
this paragraph.
    (i) Expenditures by a delegate committee referring to a candidate 
for public office--(1) Volunteer activities that do not use public 
political advertising. (i) Expenditures by a delegate committee to 
defray the costs of certain campaign materials (such as pins, bumper 
stickers, handbills, brochures, posters and yard signs) that advocate 
the selection of a delegate and also include information on or reference 
to a candidate for the office of President or any other public office 
are neither contributions to the candidate referred to, nor subject to 
limitation under 11 CFR 110.1 provided that:
    (A) The materials are used in connection with volunteer activities; 
and
    (B) The expenditures are not for costs incurred in the use of 
broadcasting, newspapers, magazines, billboards, direct mail or similar 
types of general public communication or political advertising.
    (ii) Such expenditures are not chargeable to the expenditure 
limitation of a presidential candidate under 11 CFR 110.8(a).
    (iii) A delegate committee shall report expenditures made pursuant 
to this paragraph.
    (2) Use of public political advertising. A delegate committee may 
make expenditures to defray costs incurred in the use of broadcasting, 
newspapers, magazines, billboards, direct mail or similar types of 
general public communication or political advertising to advocate the 
selection of one or more delegates and also include information on or 
reference to a candidate for the office of President or any other public 
office. If such expenditures are in-kind contributions or independent 
expenditures under paragraphs (i) or (ii) below, the delegate committee 
shall allocate the portion of the expenditures relating to the 
delegate(s) and candidate(s) referred to in the communications between 
them and report the portion allocable to each.
    (i) Such expenditures are in-kind contributions to a Federal 
candidate if they are coordinated communications under 11 CFR 109.21.
    (A) The portion of the expenditure allocable to a Federal candidate 
is subject to the contribution limitations of 11 CFR 110.1. The delegate 
committee shall report the portion allocable to the Federal candidate as 
a contribution in-kind.
    (B) The Federal candidate's authorized committee shall report the 
portion of the expenditure allocable to the candidate as a contribution 
pursuant to 11 CFR part 104.
    (C) The portion of the expenditure allocable to a presidential 
candidate is chargeable to the presidential candidate's expenditure 
limitation under 11 CFR 110.8(a).
    (ii) Such expenditures are independent expenditures under 11 CFR 
100.16 if they are made for a communication expressly advocating the 
election or defeat of a clearly identified Federal candidate that is not 
a coordinated communication under 11 CFR 109.21.
    (A) Such independent expenditures must be made in accordance with 
the requirements of 11 CFR part 100.16.
    (B) The delegate committee shall report the portion of the 
expenditure allocable to the Federal candidate as an independent 
expenditure in accordance with 11 CFR 109.10.
    (3) Republication of candidate materials. Expenditures made to 
finance the dissemination, distribution or republication, in whole or in 
part, of any broadcast or materials prepared by a

[[Page 177]]

Federal candidate are in-kind contributions to the candidate.
    (i) Such expenditures are subject to the contribution limitations of 
11 CFR 110.1. The delegate committee shall report the expenditure as a 
contribution in-kind.
    (ii) The Federal candidate's authorized committee shall report the 
expenditure as a contribution pursuant to 11 CFR part 104.
    (iii) Such expenditures are not chargeable to the presidential 
candidate's expenditure limitation under 11 CFR 110.8 unless they were 
coordinated communications under 11 CFR 109.21.
    (4) For purposes of this paragraph, direct mail means any mailing(s) 
by commercial vendors or any mailing(s) made from lists that were not 
developed by the delegate committee or any participating delegate.
    (j) Affiliation of delegate committees with a Presidential 
candidate's authorized committee. (1) For purposes of the contribution 
limits of 11 CFR 110.1 and 110.2, a delegate committee shall be 
considered to be affiliated with a Presidential candidate's authorized 
committee if both such committees are established, financed, maintained 
or controlled by the same person, such as the Presidential candidate, or 
the same group of persons.
    (2) Factors the Commission may consider in determining whether a 
delegate committee is affiliated under paragraph (j)(1) of this section 
with a Presidential candidate's authorized committee may include, but 
are not limited to:
    (i) Whether the Presidential candidate or any other person 
associated with the Presidential authorized committee played a 
significant role in the formation of the delegate committee;
    (ii) Whether any delegate associated with a delegate committee is or 
has been a staff member of the Presidential authorized committee;
    (iii) Whether the committees have common or overlapping officers or 
employees;
    (iv) Whether the Presidential authorized committee provides funds or 
goods in a significant amount or on an ongoing basis to the delegate 
committee, such as through direct or indirect payments for 
administrative, fundraising, or other costs, but not including the 
transfer to a committee of its allocated share of proceeds jointly 
raised pursuant to 11 CFR 102.17 or 9034.8;
    (v) Whether the Presidential candidate or any other person 
associated with the Presidential authorized committee suggested, 
recommended or arranged for contributions to be made to the delegate 
committee;
    (vi) Similar patterns of contributions received by the committees;
    (vii) Whether one committee provides a mailing list to the other 
committee;
    (viii) Whether the Presidential authorized committee or any person 
associated with that committee provides ongoing administrative support 
to the other committee;
    (ix) Whether the Presidential authorized committee or any person 
associated with that committee directs or organizes the specific 
campaign activities of the delegate committee; and
    (x) Whether the Presidential authorized committee or any person 
associated with that committee files statements or reports on behalf of 
the delegate committee.
    (k) Affiliation between delegate committees. Delegate committees 
will be considered to be affiliated with each other if they meet the 
criteria for affiliation set forth at 11 CFR 100.5(g).

[52 FR 35534, Sept. 22, 1987, as amended at 65 FR 76146, Dec. 6, 2000; 
68 FR 457, Jan. 3, 2003; 68 FR 6346, Feb. 7, 2003; 75 FR 32, Jan. 4, 
2010; 79 FR 62336, Oct. 17, 2014]



Sec.  110.15  [Reserved]



Sec.  110.16  Prohibitions on fraudulent misrepresentations.

    (a) In general. No person who is a candidate for Federal office or 
an employee or agent of such a candidate shall--
    (1) Fraudulently misrepresent the person or any committee or 
organization under the person's control as speaking or writing or 
otherwise acting for or on behalf of any other candidate or political 
party or employee or agent thereof in a matter which is damaging to such 
other candidate or political party or employee or agent thereof; or
    (2) Willfully and knowingly participate in or conspire to 
participate in

[[Page 178]]

any plan, scheme, or design to violate paragraph (a)(1) of this section.
    (b) Fraudulent solicitation of funds. No person shall--
    (1) Fraudulently misrepresent the person as speaking, writing, or 
otherwise acting for or on behalf of any candidate or political party or 
employee or agent thereof for the purpose of soliciting contributions or 
donations; or
    (2) Willfully and knowingly participate in or conspire to 
participate in any plan, scheme, or design to violate paragraph (b)(1) 
of this section.

[67 FR 76977, Dec. 13, 2002]



Sec.  110.17  Price index increase.

    (a) Price index increases for party committee expenditure 
limitations and Presidential candidate expenditure limitations. The 
limitations on expenditures established by 11 CFR 109.32 and 110.8 shall 
be increased by the percent difference between the price index, as 
certified to the Commission by the Secretary of Labor, for the 12 months 
preceding the beginning of the calendar year and the price index for the 
base period.
    (1) Each expenditure limitation so increased shall be the 
expenditure limitation in effect for that calendar year.
    (2) For purposes of this paragraph (a), the term base period means 
calendar year 1974.
    (b) Price index increases for contributions by persons and political 
party committees to Senatorial candidates. The limitations on 
contributions established by 11 CFR 110.1(b) and (c) and 110.2(e) shall 
be increased only in odd-numbered years by the percent difference 
between the price index, as certified to the Commission by the Secretary 
of Labor, for the 12 months preceding the beginning of the calendar year 
and the price index for the base period.
    (1) The increased contribution limitations shall be in effect as 
provided in 11 CFR 110.1(b)(1)(ii), 110.1(c)(1)(ii), and 110.2(e)(2).
    (2) For purposes of this paragraph (b) the term base period means 
calendar year 2001.
    (c) Rounding of price index increases. If any amount after the 
increases under paragraph (a) or (b) of this section is not a multiple 
of $100, such amount shall be rounded to the nearest multiple of $100.
    (d) Definition of price index. For purposes of this section, the 
term price index means the average over a calendar year of the Consumer 
Price Index (all items--United States city average) published monthly by 
the Bureau of Labor Statistics.
    (e) Publication of price index increases--(1) Expenditure and 
Contribution Limitations. In every odd-numbered year, the Commission 
will publish in the Federal Register the amount of the expenditure and 
contribution limitations in effect and place such information on the 
Commission's Web site.
    (2) Lobbyist/registrant and lobbyist/registrant PAC contribution 
bundling disclosure threshold. In every calendar year, the Commission 
will publish in the Federal Register the amount of the lobbyist/
registrant and lobbyist/registrant PAC contribution bundling disclosure 
threshold in effect and place such information on the Commission's Web 
site.
    (f) Price index increases for lobbyist/registrant and lobbyist/
registrant PAC contribution bundling threshold. The threshold for 
disclosure of lobbyists/registrants and lobbyist/registrant PACs that 
bundle contributions shall be indexed for each calendar year in 
accordance with 11 CFR 104.22(g).

[67 FR 69949, Nov. 19, 2002, as amended at 74 FR 7304, Feb. 17, 2009; 75 
FR 32, Jan. 4, 2010; 79 FR 62336, Oct. 17, 2014]



Sec.  110.18  Voting age population.

    There is annually published by the Department of Commerce in the 
Federal Register an estimate of the voting age population based on an 
estimate of the voting age population of the United States, of each 
State, and of each Congressional district. The term voting age 
population means resident population, 18 years of age or older.

[68 FR 457, Jan. 3, 2003]



Sec.  110.19  Contributions by minors.

    An individual who is 17 years old or younger (a Minor) may make 
contributions to any candidate or political committee that in the 
aggregate do not exceed the limitations on contributions of 11 CFR 
110.1, if--

[[Page 179]]

    (a) The decision to contribute is made knowingly and voluntarily by 
the Minor;
    (b) The funds, goods, or services contributed are owned or 
controlled by the Minor, such as income earned by the Minor, the 
proceeds of a trust for which the Minor is the beneficiary, or funds 
withdrawn by the Minor from a financial account opened and maintained in 
the Minor's name; and
    (c) The contribution is not made from the proceeds of a gift, the 
purpose of which was to provide funds to be contributed, or is not in 
any other way controlled by another individual.

[70 FR 5568, Feb. 3, 2005, as amended at 79 FR 62336, Oct. 17, 2014]



Sec.  110.20  Prohibition on contributions, donations, expenditures,
independent expenditures, and disbursements by foreign nationals 
(52 U.S.C. 30121, 36 U.S.C. 510).

    (a) Definitions. For purposes of this section, the following 
definitions apply:
    (1) Disbursement has the same meaning as in 11 CFR 300.2(d).
    (2) Donation has the same meaning as in 11 CFR 300.2(e).
    (3) Foreign national means--
    (i) A foreign principal, as defined in 22 U.S.C. 611(b); or
    (ii) An individual who is not a citizen of the United States and who 
is not lawfully admitted for permanent residence, as defined in 8 U.S.C. 
1101(a)(20); however,
    (iii) Foreign national shall not include any individual who is a 
citizen of the United States, or who is a national of the United States 
as defined in 8 U.S.C. 1101(a)(22).
    (4) Knowingly means that a person must:
    (i) Have actual knowledge that the source of the funds solicited, 
accepted or received is a foreign national;
    (ii) Be aware of facts that would lead a reasonable person to 
conclude that there is a substantial probability that the source of the 
funds solicited, accepted or received is a foreign national; or
    (iii) Be aware of facts that would lead a reasonable person to 
inquire whether the source of the funds solicited, accepted or received 
is a foreign national, but the person failed to conduct a reasonable 
inquiry.
    (5) For purposes of paragraph (a)(4) of this section, pertinent 
facts include, but are not limited to:
    (i) The contributor or donor uses a foreign passport or passport 
number for identification purposes;
    (ii) The contributor or donor provides a foreign address;
    (iii) The contributor or donor makes a contribution or donation by 
means of a check or other written instrument drawn on a foreign bank or 
by a wire transfer from a foreign bank; or
    (iv) The contributor or donor resides abroad.
    (6) Solicit has the same meaning as in 11 CFR 300.2(m).
    (7) Safe Harbor. For purposes of paragraph (a)(4)(iii) of this 
section, a person shall be deemed to have conducted a reasonable inquiry 
if he or she seeks and obtains copies of current and valid U.S. passport 
papers for U.S. citizens who are contributors or donors described in 
paragraphs (a)(5)(i) through (iv) of this section. No person may rely on 
this safe harbor if he or she has actual knowledge that the source of 
the funds solicited, accepted, or received is a foreign national.
    (b) Contributions and donations by foreign nationals in connection 
with elections. A foreign national shall not, directly or indirectly, 
make a contribution or a donation of money or other thing of value, or 
expressly or impliedly promise to make a contribution or a donation, in 
connection with any Federal, State, or local election.
    (c) Contributions and donations by foreign nationals to political 
committees and organizations of political parties. A foreign national 
shall not, directly or indirectly, make a contribution or donation to:
    (1) A political committee of a political party, including a national 
party committee, a national congressional campaign committee, or a 
State, district, or local party committee, including a non-Federal 
account of a State, district, or local party committee, or
    (2) An organization of a political party whether or not the 
organization is a political committee under 11 CFR 100.5.

[[Page 180]]

    (d) Contributions and donations by foreign nationals for office 
buildings. A foreign national shall not, directly or indirectly, make a 
contribution or donation to a committee of a political party for the 
purchase or construction of an office building. See 11 CFR 300.10 and 
300.35.
    (e) Disbursements by foreign nationals for electioneering 
communications. A foreign national shall not, directly or indirectly, 
make any disbursement for an electioneering communication as defined in 
11 CFR 100.29.
    (f) Expenditures, independent expenditures, or disbursements by 
foreign nationals in connection with elections. A foreign national shall 
not, directly or indirectly, make any expenditure, independent 
expenditure, or disbursement in connection with any Federal, State, or 
local election.
    (g) Solicitation, acceptance, or receipt of contributions and 
donations from foreign nationals. No person shall knowingly solicit, 
accept, or receive from a foreign national any contribution or donation 
prohibited by paragraphs (b) through (d) of this section.
    (h) Providing substantial assistance. (1) No person shall knowingly 
provide substantial assistance in the solicitation, making, acceptance, 
or receipt of a contribution or donation prohibited by paragraphs (b) 
through (d), and (g) of this section.
    (2) No person shall knowingly provide substantial assistance in the 
making of an expenditure, independent expenditure, or disbursement 
prohibited by paragraphs (e) and (f) of this section.
    (i) Participation by foreign nationals in decisions involving 
election-related activities. A foreign national shall not direct, 
dictate, control, or directly or indirectly participate in the decision-
making process of any person, such as a corporation, labor organization, 
political committee, or political organization with regard to such 
person's Federal or non-Federal election-related activities, such as 
decisions concerning the making of contributions, donations, 
expenditures, or disbursements in connection with elections for any 
Federal, State, or local office or decisions concerning the 
administration of a political committee.
    (j) Donations by foreign nationals to inaugural committees. A 
foreign national shall not, directly or indirectly, make a donation to 
an inaugural committee, as defined in 11 CFR 104.21(a)(1). No person 
shall knowingly accept from a foreign national any donation to an 
inaugural committee.

[67 FR 69950, Nov. 19, 2002, as amended at 69 FR 59780, Oct. 6, 2004]



PART 111_COMPLIANCE PROCEDURE (52 U.S.C. 30109, 30107(a))
--Table of Contents



                          Subpart A_Enforcement

Sec.
111.1 Scope (52 U.S.C. 30109).
111.2 Computation of time.
111.3 Initiation of compliance matters (52 U.S.C. 30109(a)(1), (2)).
111.4 Complaints (52 U.S.C. 30109(a)(1)).
111.5 Initial complaint processing; notification (52 U.S.C. 
          30109(a)(1)).
111.6 Opportunity to demonstrate that no action should be taken on 
          complaint-generated matters (52 U.S.C. 30109(a)(1)).
111.7 General Counsel's recommendation on complaint-generated matters 
          (52 U.S.C. 30109(a)(1)).
111.8 Internally generated matters; referrals (52 U.S.C. 30109(a)(2)).
111.9 The reason to believe finding; notification (52 U.S.C. 
          30109(a)(2)).
111.10 Investigation (52 U.S.C. 30109(a)(2)).
111.11 Written questions under order (52 U.S.C. 30107(a)(1)).
111.12 Subpoenas and subpoenas duces tecum; depositions (52 U.S.C. 
          30107(a)(3), (4)).
111.13 Service of subpoenas, orders and notifications (52 U.S.C. 
          30107(a)(3), (4)).
111.14 Witness fees and mileage (52 U.S.C. 30107(a)(5)).
111.15 Motions to quash or modify a subpoena (52 U.S.C. 30107(a)(3), 
          (4)).
111.16 The probable cause to believe recommendation; briefing procedures 
          (52 U.S.C. 30109(a)(3)).
111.17 The probable cause to believe finding; notification (52 U.S.C. 
          30109(a)(4)).
111.18 Conciliation (52 U.S.C. 30109(a)(4)).
111.19 Civil proceedings (52 U.S.C. 30109(a)(6)).
111.20 Public disclosure of Commission action (52 U.S.C. 30109(a)(4)).
111.21 Confidentiality (52 U.S.C. 30109(a)(12)).
111.22 Ex parte communications.
111.23 Representation by counsel; notification.
111.24 Civil Penalties (52 U.S.C. 30109(a)(5), (6), (12), 28 U.S.C. 2461 
          nt.).

[[Page 181]]

                     Subpart B_Administrative Fines

111.30 When will subpart B apply?
111.31 Does this subpart replace subpart A of this part for violations 
          of the reporting requirements of 52 U.S.C. 30104(a)?
111.32 How will the Commission notify respondents of a reason to believe 
          finding and a proposed civil money penalty?
111.33 What are the respondent's choices upon receiving the reason to 
          believe finding and the proposed civil money penalty?
111.34 If the respondent decides to pay the civil money penalty and not 
          to challenge the reason to believe finding, what should the 
          respondent do?
111.35 If the respondent decides to challenge the alleged violation or 
          proposed civil money penalty, what should the respondent do?
111.36 Who will review the respondent's written response?
111.37 What will the Commission do once it receives the respondent's 
          written response and the reviewing officer's recommendation?
111.38 Can the respondent appeal the Commission's final determination?
111.39 When must the respondent pay the civil money penalty?
111.40 What happens if the respondent does not pay the civil money 
          penalty pursuant to 11 CFR 111.34 and does not submit a 
          written response to the reason to believe finding pursuant to 
          11 CFR 111.35?
111.41 [Reserved]
111.42 Will the enforcement file be made available to the public?
111.43 What are the schedules of penalties?
111.44 What is the schedule of penalties for 48-hour notices that are 
          not filed or are filed late?
111.45 [Reserved]
111.46 How will the respondent be notified of actions taken by the 
          Commission and the reviewing officer?

       Subpart C_Collection of Debts Arising From Enforcement and 
                 Administration of Campaign Finance Laws

111.50 Purpose and scope.
111.51 Debts that are covered.
111.52 Administrative collection of claims.
111.53 Litigation by the Commission.
111.54 Bankruptcy claims.
111.55 Interest, penalties, and administrative costs.

    Authority: 52 U.S.C. 30102(i), 30109, 30107(a), 30111(a)(8); 28 
U.S.C. 2461 note; 31 U.S.C. 3701, 3711, 3716-3719, and 3720A, as 
amended; 31 CFR parts 285 and 900-904.

    Source: 45 FR 15120, Mar. 7, 1980, unless otherwise noted.



                          Subpart A_Enforcement



Sec.  111.1  Scope (52 U.S.C. 30109).

    These regulations provide procedures for processing possible 
violations of the Federal Election Campaign Act of 1971, as amended (52 
U.S.C. 30101, et seq.) and chapters 95 and 96 of the Internal Revenue 
Code of 1954 (26 U.S.C. 9001, et seq. and 9031 et seq.).

[45 FR 15120, Mar. 7, 1980, as amended at 79 FR 77847, Dec. 29, 2014]



Sec.  111.2  Computation of time.

    (a) General rule. In computing any period of time prescribed or 
allowed by this part, the day of the act, event, or default from which 
the designated period of time begins to run shall not be included. The 
last day of the period so computed shall be included, unless it is a 
Saturday, a Sunday, or a legal holiday. As used in this section, the 
term legal holiday includes New Year's Day, President's Day, Memorial 
Day, Independence Day, Labor Day, Columbus Day, Veterans Day, 
Thanksgiving Day, Christmas Day, and any other day appointed as a 
holiday for employees of the United States by the President or the 
Congress of the United States.
    (b) Special rule for periods less than seven days. When the period 
of time prescribed or allowed is less than seven (7) days, intermediate 
Saturdays, Sundays, and legal holidays shall be excluded in the 
computation.
    (c) Special rule for service by mail. Whenever the Commission or any 
person has the right or is required to do some act within a prescribed 
period after the service of any paper by or upon the Commission or such 
person and the paper is served by or upon the Commission or such person 
by mail, three (3) days shall be added to the prescribed period.



Sec.  111.3  Initiation of compliance matters (52 U.S.C. 30109(a)(1), (2)).

    (a) Compliance matters may be initiated by a complaint or on the 
basis of information ascertained by the Commission in the normal course 
of carrying out its supervisory responsibilities.
    (b) Matters initiated by complaint are subject to the provisions of 
11 CFR

[[Page 182]]

111.4 through 111.7. Matters initiated on the basis of information 
ascertained by the Commission in the normal course of carrying out its 
supervisory responsibilities are subject to the provisions of 11 CFR 
111.8. All compliance matters are subject to the provisions of 11 CFR 
111.2 and 111.9 through 111.23.



Sec.  111.4  Complaints (52 U.S.C. 30109(a)(1)).

    (a) Any person who believes that a violation of any statute or 
regulation over which the Commission has jurisdiction has occurred or is 
about to occur may file a complaint in writing to the General Counsel, 
Federal Election Commission, 999 E Street, NW., Washington, DC 20463. If 
possible, three (3) copies should be submitted.
    (b) A complaint shall comply with the following:
    (1) It shall provide the full name and address of the complainant; 
and
    (2) The contents of the complaint shall be sworn to and signed in 
the presence of a notary public and shall be notarized.
    (c) All statements made in a complaint are subject to the statutes 
governing perjury and to 18 U.S.C. 1001. The complaint should 
differentiate between statements based upon personal knowledge and 
statements based upon information and belief.
    (d) The complaint should conform to the following provisions:
    (1) It should clearly identify as a respondent each person or entity 
who is alleged to have committed a violation;
    (2) Statements which are not based upon personal knowledge should be 
accompanied by an identification of the source of information which 
gives rise to the complainants belief in the truth of such statements;
    (3) It should contain a clear and concise recitation of the facts 
which describe a violation of a statute or regulation over which the 
Commission has jurisdiction; and
    (4) It should be accompanied by any documentation supporting the 
facts alleged if such documentation is known of, or available to, the 
complainant.

[45 FR 15120, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985]



Sec.  111.5  Initial complaint processing; notification (52 U.S.C. 30109(a)(1)).

    (a) Upon receipt of a complaint, the General Counsel shall review 
the complaint for substantial compliance with the technical requirements 
of 11 CFR 111.4, and, if it complies with those requirements shall 
within five (5) days after receipt notify each respondent that the 
complaint has been filed, advise them of Commission compliance 
procedures, and enclose a copy of the complaint.
    (b) If a complaint does not comply with the requirements of 11 CFR 
111.4, the General Counsel shall so notify the complainant and any 
person(s) or entity(ies) identified therein as respondent(s), within the 
five (5) day period specified in 11 CFR 111.5(a), that no action shall 
be taken on the basis of that complaint. A copy of the complaint shall 
be enclosed with the notification to each respondent.



Sec.  111.6  Opportunity to demonstrate that no action should be taken
on complaint-generated matters (52 U.S.C. 30109 (a)(1)).

    (a) A respondent shall be afforded an opportunity to demonstrate 
that no action should be taken on the basis of a complaint by 
submitting, within fifteen (15) days from receipt of a copy of the 
complaint, a letter or memorandum setting forth reasons why the 
Commission should take no action.
    (b) The Commission shall not take any action, or make any finding, 
against a respondent other than action dismissing the complaint, unless 
it has considered such response or unless no such response has been 
served upon the Commission within the fifteen (15) day period specified 
in 11 CFR 111.6(a).



Sec.  111.7  General Counsel's recommendation on complaint-generated
matters (52 U.S.C. 30109(a)(1).

    (a) Following either the expiration of the fifteen (15) day period 
specified by 11 CFR 111.6(a) or the receipt of a response as specified 
by 11 CFR 111.6(a), whichever occurs first, the General Counsel may 
recommend to the Commission whether or not it should find reason to 
believe that a respondent has

[[Page 183]]

committed or is about to commit a violation of statutes or regulations 
over which the Commission has jurisdiction.
    (b) The General Counsel may recommend that the Commission find that 
there is no reason to believe that a violation has been committed or is 
about to be committed, or that the Commission otherwise dismiss a 
complaint without regard to the provisions of 11 CFR 111.6(a).



Sec.  111.8  Internally generated matters; referrals (52 U.S.C. 30109(a)(2)).

    (a) On the basis of information ascertained by the Commission in the 
normal course of carrying out its supervisory responsibilities, or on 
the basis of a referral from an agency of the United States or of any 
state, the General Counsel may recommend in writing that the Commission 
find reason to believe that a person or entity has committed or is about 
to commit a violation of statutes or regulations over which the 
Commission has jurisdiction.
    (b) If the Commission finds reason to believe that a violation has 
occurred or is about to occur the notification to respondent required by 
11 CFR 111.9(a) shall include a copy of a staff report setting forth the 
legal basis and the alleged facts which support the Commission's action.
    (c) Prior to taking any action pursuant to this section against any 
person who has failed to file a disclosure report required by 11 CFR 
104.5(a)(1)(iii) for the calendar quarter immediately preceding the 
election involved or by Sec.  104.5(a)(1)(i), the Commission shall 
notify such person of failure to file the required reports. If a 
satisfactory response is not received within four (4) business days, the 
Commission shall publish before the election the name of the person and 
the report or reports such person has failed to file.
    (d) Notwithstanding Sec. Sec.  111.9 through 111.19, for violations 
of 52 U.S.C. 30104(a),the Commission, when appropriate, may review 
internally generated matters under subpart B of this part.

[45 FR 15120, Mar. 7, 1980, as amended at 45 FR 21210, Apr. 1, 1980; 65 
FR 31794, May 19, 2000; 79 FR 77848, Dec. 29, 2014]



Sec.  111.9  The reason to believe finding; notification
(52 U.S.C. 30109(a)(2)).

    (a) If the Commission, either after reviewing a complaint-generated 
recommendation as described in 11 CFR 111.7 and any response of a 
respondent submitted pursuant to 11 CFR 111.6, or after reviewing an 
internally-generated recommendation as described in 11 CFR 111.8, 
determines by an affirmative vote of four (4) of its members that it has 
reason to believe that a respondent has violated a statute or regulation 
over which the Commission has jurisdiction, its Chairman or Vice 
Chairman shall notify such respondent of the Commission's finding by 
letter, setting forth the sections of the statute or regulations alleged 
to have been violated and the alleged factual basis supporting the 
finding.
    (b) If the Commission finds no reason to believe, or otherwise 
terminates its proceedings, the General Counsel shall so advise both 
complainant and respondent by letter.



Sec.  111.10  Investigation (52 U.S.C. 30109 (a)(2)).

    (a) An investigation shall be conducted in any case in which the 
Commission finds reason to believe that a violation of a statute or 
regulation over which the Commission has jurisdiction has occurred or is 
about to occur.
    (b) In its investigation, the Commission may utilize the provisions 
of 11 CFR 111.11 through 111.15. The investigation may include, but is 
not limited to, field investigations, audits, and other methods of 
information-gathering.



Sec.  111.11  Written questions under order (52 U.S.C. 30107(a)(1)).

    The Commission may authorize its Chairman or Vice Chairman to issue 
an order requiring any person to submit sworn written answers to written 
questions and may specify a date by which such answers must be 
submitted.



Sec.  111.12  Subpoenas and subpoenas duces tecum; depositions
(52 U.S.C. 30107(a)(3), (4)).

    (a) The Commission may authorize its Chairman or Vice Chairman to 
issue subpoenas requiring the attendance

[[Page 184]]

and testimony of any person by deposition and to issue subpoenas duces 
tecum for the production of documentary or other tangible evidence in 
connection with a deposition or otherwise.
    (b) If oral testimony is ordered to be taken by deposition or 
documents are ordered to be produced, the subpoena shall so state and 
shall advise the deponent or person subpoenaed that all testimony will 
be under oath. A deposition may be taken before any person having the 
power to administer oaths.
    (c) The Federal Rules of Civil Procedure, Rule 30(e), shall govern 
the opportunity to review and sign depositions taken pursuant to this 
section.



Sec.  111.13  Service of subpoenas, orders and notifications
(52 U.S.C. 30107(a)(3), (4)).

    (a) Service of a subpoena, order or notification upon a person named 
therein shall be made by delivering a copy to that person in the manner 
described by 11 CFR 111.13 (b), (c), and (d). In the case of subpoenas, 
fees for one day's attendance and mileage shall be tendered as specified 
in 11 CFR 111.14.
    (b) Whenever service is to be made upon a person who has advised the 
Commission of representation by an attorney pursuant to 11 CFR 111.23, 
the service shall be made upon the attorney by any of the methods 
specified in 11 CFR 111.13(c).
    (c) Delivery of subpoenas, orders and notifications to a natural 
person may be made by handing a copy to the person, or leaving a copy at 
his or her office with the person in charge thereof, by leaving a copy 
at his or her dwelling place or usual place of abode with some person of 
suitable age and discretion residing therein, or by mailing a copy by 
registered or certified mail to his or her last known address, or by any 
other method whereby actual notice is given.
    (d) When the person to be served is not a natural person delivery of 
subpoenas, orders and notifications may be made by mailing a copy by 
registered or certified mail to the person at its place of business or 
by handing a copy to a registered agent for service, or to any officer, 
director, or agent in charge of any office of such person, or by mailing 
a copy by registered or certified mail to such representative at his or 
her last known address, or by any other method whereby actual notice is 
given.



Sec.  111.14  Witness fees and mileage (52 U.S.C. 30107 (a)(5)).

    Witnesses subpoenaed to appear for depositions shall be paid the 
same fees and mileage as witnesses in the courts of the United States. 
Such fees may be tendered at the time the witness appears for such 
deposition, or within a reasonable time thereafter.



Sec.  111.15  Motions to quash or modify a subpoena
(52 U.S.C. 30107(a)(3), (4)).

    (a) Any person to whom a subpoena is directed may, prior to the time 
specified therein for compliance, but in no event more than 5 days after 
the date of receipt of such subpoena, apply to the Commission to quash 
or modify such subpoena, accompanying such application with a brief 
statement of the reasons therefor. Motions to quash shall be filed with 
the General Counsel, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463. If possible, three (3) copies should be submitted.
    (b) The Commission may deny the application or quash the subpoena or 
modify the subpoena.
    (c) The person subpoenaed and the General Counsel may agree to 
change the date, time, or place of a deposition or for the production of 
documents without affecting the force and effect of the subpoena, but 
such agreements shall be confirmed in writing.

[45 FR 15120, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985]



Sec.  111.16  The probable cause to believe recommendation;
briefing procedures (52 U.S.C. 30109 (a)(3)).

    (a) Upon completion of the investigation, the General Counsel shall 
prepare a brief setting forth his or her position on the factual and 
legal issues of the case and containing a recommendation on whether or 
not the Commission should find probable cause to believe that a 
violation has occurred or is about to occur.
    (b) The General Counsel shall notify each respondent of the 
recommendation and enclose a copy of his or her brief.

[[Page 185]]

    (c) Within fifteen (15) days from receipt of the General Counsel's 
brief, respondent may file a brief with the Commission Secretary, 
Federal Election Commission, 999 E Street, NW., Washington, DC 20463, 
setting forth respondent's position on the factual and legal issues of 
the case. If possible, ten (10) copies of such brief should be filed 
with the Commission Secretary and three (3) copies should be submitted 
to the General Counsel, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463.
    (d) After reviewing the respondent's brief, the General Counsel 
shall advise the Commission in writing whether he or she intends to 
proceed with the recommendation or to withdraw the recommendation from 
Commission consideration.

[45 FR 15120, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985]



Sec.  111.17  The probable cause to believe finding; notification
(52 U.S.C. 30109(a)(4)).

    (a) If the Commission, after having found reason to believe and 
after following the procedures set forth in 11 CFR 111.16, determines by 
an affirmative vote of four (4) of its members that there is probable 
cause to believe that a respondent has violated a statute or regulation 
over which the Commission has jurisdiction, the Commission shall 
authorize the General Counsel to so notify the respondent by letter.
    (b) If the Commission finds no probable cause to believe or 
otherwise orders a termination of Commission proceedings, it shall 
authorize the General Counsel to so notify both respondent and 
complainant by letter.



Sec.  111.18  Conciliation (52 U.S.C. 30109(a)(4)).

    (a) Upon a Commission finding of probable cause to believe, the 
Office of General Counsel shall attempt to correct or prevent the 
violation by informal methods of conference conciliation and persuasion, 
and shall attempt to reach a tentative conciliation agreement with the 
respondent.
    (b) A conciliation agreement is not binding upon either party unless 
and until it is signed by the respondent and by the General Counsel upon 
approval by the affirmative vote of four (4) members of the Commission.
    (c) If the probable cause to believe finding is made within forty-
five days prior to any election, such conciliation attempt shall 
continue for at least fifteen (15) days from the date of such finding. 
In all other cases such attempts by the Commission shall continue for at 
least thirty (30) days, not to exceed ninety (90) days.
    (d) Nothing in these regulations shall be construed to prevent the 
Commission from entering into a conciliation agreement with a respondent 
prior to a Commission finding of probable cause if a respondent 
indicates by letter to the General Counsel a desire to enter into 
negotiations directed towards reaching such a conciliation agreement. 
However, the Commission is not required to enter into any negotiations 
directed towards reaching a conciliation agreement unless and until it 
makes a finding of probable cause to believe. Any conciliation agreement 
reached under this subsection is subject to the provisions of subsection 
(b) of this section and shall have the same force and effect as a 
conciliation agreement reached after a Commission finding of probable 
cause to believe.
    (e) If a conciliation agreement is reached between the Commission 
and the respondent, the General Counsel shall send a copy of the signed 
agreement to both complainant and respondent.



Sec.  111.19  Civil proceedings (52 U.S.C. 30109(a)(6)).

    (a) If no conciliation agreement is finalized within the applicable 
minimum period specified by 11 CFR 111.18(c) the General Counsel may 
recommend to the Commission that the Commission authorize a civil action 
for relief in an appropriate court of the United States.
    (b) Upon recommendation of the General Counsel, the Commission may, 
by an affirmative vote of four (4) of its members, authorize the General 
Counsel to commence a civil action for relief in an appropriate court of 
the United States.
    (c) The provisions of 11 CFR 111.18(c) shall not preclude the 
Commission upon request of a respondent, from entering into a 
conciliation agreement

[[Page 186]]

even after a recommendation to file a civil action has been made 
pursuant to this section. Any conciliation agreement reached under this 
subsection is subject to the provisions of 11 CFR 111.18(b) and shall 
have the same force and effect as a conciliation agreement reached under 
11 CFR 111.18(c).



Sec.  111.20  Public disclosure of Commission action
(52 U.S.C. 30109(a)(4)).

    (a) If the Commission makes a finding of no reason to believe or no 
probable cause to believe or otherwise terminates its proceedings, it 
shall make public such action and the basis therefor no later than 
thirty (30) days from the date on which the required notifications are 
sent to complainant and respondent.
    (b) If a conciliation agreement is finalized, the Commission shall 
make public such conciliation agreement forthwith.
    (c) For any compliance matter in which a civil action is commenced, 
the Commission will make public the non-exempt 52 U.S.C. 30109 
investigatory materials in the enforcement and litigation files no later 
than thirty (30) days from the date on which the Commission sends the 
complainant and the respondent(s) the required notification of the final 
disposition of the civil action. The final disposition may consist of a 
judicial decision which is not reviewed by a higher court.

[45 FR 15120, Mar. 7, 1980, as amended at 65 FR 31794, May 19, 2000; 79 
FR 77848, Dec. 29, 2014]



Sec.  111.21  Confidentiality (52 U.S.C. 30109(a)(12)).

    (a) Except as provided in 11 CFR 111.20, no complaint filed with the 
Commission, nor any notification sent by the Commission, nor any 
investigation conducted by the Commission, nor any findings made by the 
Commission shall be made public by the Commission or by any person or 
entity without the written consent of the respondent with respect to 
whom the complaint was filed, the notification sent, the investigation 
conducted, or the finding made.
    (b) Except as provided in 11 CFR 111.20(b), no action by the 
Commission or by any person, and no information derived in connection 
with conciliation efforts pursuant to 11 CFR 111.18, may be made public 
by the Commission except upon a written request by respondent and 
approval thereof by the Commission.
    (c) Nothing in these regulations shall be construed to prevent the 
introduction of evidence in the courts of the United States which could 
properly be introduced pursuant to the Federal Rules of Evidence or 
Federal Rules of Civil Procedure.



Sec.  111.22  Ex parte communications.

    (a) In order to avoid the possibility of prejudice, real or 
apparent, to the public interest in enforcement actions pending before 
the Commission pursuant to 11 CFR part 111, except to the extent 
required for the disposition of ex parte matters as required by law (for 
example, during the normal course of an investigation or a conciliation 
effort), no interested person outside the agency shall make or cause to 
be made to any Commissioner or any member of any Commissioner's staff 
any ex parte communication relative to the factual or legal merits of 
any enforcement action, nor shall any Commissioner or member of any 
Commissioner's staff make or entertain any such ex parte communications.
    (b) The prohibition of this regulation shall apply from the time a 
complaint is filed with the Commission pursuant to 11 CFR part 111 or 
from the time that the Commission determines on the basis of information 
ascertained in the normal course of its supervisory responsibilities 
that it has reason to believe that a violation has occurred or may occur 
pursuant to 11 CFR part 111, and remains in force until the Commission 
has finally concluded all action with respect to the enforcement matter 
in question.
    (c) Nothing in this section shall be construed to prohibit contact 
between a respondent or respondent's attorney and any attorney or staff 
member of the Office of General Counsel in the course of representing 
the Commission or the respondent with respect to an enforcement 
proceeding or civil action. No statement made by such a Commission 
attorney or staff member during

[[Page 187]]

any such communication shall bind or estop the Commission in any way.



Sec.  111.23  Representation by counsel; notification.

    (a) If a respondent wishes to be represented by counsel with regard 
to any matter pending before the Commission, respondent shall so advise 
the Commission by sending a letter of representation signed by the 
respondent, which letter shall state the following:
    (1) The name, address, and telephone number of the counsel;
    (2) A statement authorizing such counsel to receive any and all 
notifications and other communications from the Commission on behalf of 
respondent.
    (b) Upon receipt of a letter of representation, the Commission shall 
have no contact with respondent except through the designated counsel 
unless authorized in writing by respondent.



Sec.  111.24  Civil Penalties (52 U.S.C. 30109(a)(5), (6), (12),
28 U.S.C. 2461 nt.).

    (a) Except as provided in 11 CFR part 111, subpart B and in 
paragraph (b) of this section, a civil penalty negotiated by the 
Commission or imposed by a court for a violation of the Act or chapters 
95 or 96 of title 26 (26 U.S.C.) shall be as follows:
    (1) Except as provided in paragraph (a)(2) of this section, in the 
case of a violation of the Act or chapters 95 or 96 of title 26 (26 
U.S.C.), the civil penalty shall not exceed the greater of $18,750 or an 
amount equal to any contribution or expenditure involved in the 
violation.
    (2) Knowing and willful violations. (i) In the case of a knowing and 
willful violation of the Act or chapters 95 or 96 of title 26 (26 
U.S.C.), the civil penalty shall not exceed the greater of $40,000 or an 
amount equal to 200% of any contribution or expenditure involved in the 
violation.
    (ii) Notwithstanding paragraph (a)(2)(i) of this section, in the 
case of a knowing and willful violation of 52 U.S.C. 30122,the civil 
penalty shall not be less than 300% of the amount of any contribution 
involved in the violation and shall not exceed the greater of $65,593 or 
1,000% of the amount of any contribution involved in the violation.
    (b) Any Commission member or employee, or any other person, who in 
violation of 52 U.S.C. 30109(a)(12)(A) makes public any notification or 
investigation under 52 U.S.C. 30109 without receiving the written 
consent of the person receiving such notification, or the person with 
respect to whom such investigation is made, shall be fined not more than 
$5,609. Any such member, employee, or other person who knowingly and 
willfully violates this provision shall be fined not more than $14,023.

[62 FR 11317, Mar. 12, 1997; 62 FR 18167, Apr. 14, 1997; 65 FR 31794, 
May 19, 2000; 67 FR 76977, Dec. 13, 2002; 70 FR 34635, June 15, 2005; 74 
FR 31347, July 1, 2009; 78 FR 44420, July 24, 2013; 79 FR 77848, Dec. 
29, 2014; 81 FR 41199, June 24, 2016]



                     Subpart B_Administrative Fines

    Source: 65 FR 31794, May 19, 2000, unless otherwise noted.



Sec.  111.30  When will subpart B apply?

    Subpart B applies to violations of the reporting requirements of 52 
U.S.C. 30104(a) committed by political committees and their treasurers 
that relate to the reporting periods that begin on or after July 14, 
2000, and that end on or before the date specified by 52 U.S.C. 
30109(a)(4)(C)(v). This subpart, however, does not apply to reports that 
relate to reporting periods that end between January 1, 2014, and 
January 21, 2014.

[79 FR 3303, Jan. 21, 2014, as amended at 79 FR 77848, Dec. 29, 2014]



Sec.  111.31  Does this subpart replace subpart A of this part for
violations of the reporting requirements of 52 U.S.C. 30104(a)?

    (a) No; Sec. Sec.  111.1 through 111.8 and 111.20 through 111.24 
shall apply to all compliance matters. This subpart will apply, rather 
than Sec. Sec.  111.9 through 111.19, when the Commission, on the basis 
of information ascertained by the Commission in the normal course of 
carrying out its supervisory responsibilities, and when appropriate, 
determines that the compliance matter should be subject to this subpart. 
If the

[[Page 188]]

Commission determines that the violation should not be subject to this 
subpart, then the violation will be subject to all sections of subpart A 
of this part.
    (b) Subpart B will apply to compliance matters resulting from a 
complaint filed pursuant to 11 CFR 111.4 through 111.7 if the complaint 
alleges a violation of 52 U.S.C. 30104(a). If the complaint alleges 
violations of any other provision of any statute or regulation over 
which the Commission has jurisdiction, subpart A will apply to the 
alleged violations of these other provisions.

[65 FR 31794, May 19, 2000, as amended at 79 FR 77848, Dec. 29, 2014]



Sec.  111.32  How will the Commission notify respondents of a 
reason to believe finding and a proposed civil money penalty?

    If the Commission determines, by an affirmative vote of at least 
four (4) of its members, that it has reason to believe that a respondent 
has violated 52 U.S.C. 30104(a), the Chairman or Vice-Chairman shall 
notify such respondent of the Commission's finding. The written 
notification shall set forth the following:
    (a) The alleged factual and legal basis supporting the finding 
including the type of report that was due, the filing deadline, the 
actual date filed (if filed), and the number of days the report was late 
(if filed);
    (b) The applicable schedule of penalties;
    (c) The number of times the respondent has been assessed a civil 
money penalty under this subpart during the current two-year election 
cycle and the prior two-year election cycle;
    (d) The amount of the proposed civil money penalty based on the 
schedules of penalties set forth in 11 CFR 111.43 or 111.44; and
    (e) An explanation of the respondent's right to challenge both the 
reason to believe finding and the proposed civil money penalty.

[65 FR 31794, May 19, 2000, as amended at 79 FR 77848, Dec. 29, 2014]



Sec.  111.33  What are the respondent's choices upon receiving the
reason to believe finding and the proposed civil money penalty?

    The respondent must either send payment in the amount of the 
proposed civil money penalty pursuant to 11 CFR 111.34 or submit a 
written response pursuant to 11 CFR 111.35.



Sec.  111.34  If the respondent decides to pay the civil money penalty
and not to challenge the reason to believe finding, what should the respondent do?

    (a) The respondent shall transmit payment in the amount of the civil 
money penalty to the Commission within forty (40) days of the 
Commission's reason to believe finding.
    (b) Upon receipt of the respondent's payment, the Commission shall 
send the respondent a final determination that the respondent has 
violated the statute or regulations and the amount of the civil money 
penalty and an acknowledgment of the respondent's payment.



Sec.  111.35  If the respondent decides to challenge the alleged violation
or proposed civil money penalty, what should the respondent do?

    (a) To challenge a reason to believe finding or proposed civil money 
penalty, the respondent must submit a written response to the Commission 
within forty (40) days of the Commission's reason to believe finding.
    (b) The respondent's written response must assert at least one of 
the following grounds for challenging the reason to believe finding or 
proposed civil money penalty:
    (1) The Commission's reason to believe finding is based on a factual 
error including, but not limited to, the committee was not required to 
file the report, or the committee timely filed the report in accordance 
with 11 CFR 100.19;
    (2) The Commission improperly calculated the civil money penalty; or
    (3) The respondent used best efforts to file in a timely manner in 
that:
    (i) The respondent was prevented from filing in a timely manner by 
reasonably unforeseen circumstances that were beyond the control of the 
respondent; and

[[Page 189]]

    (ii) The respondent filed no later than 24 hours after the end of 
these circumstances.
    (c) Circumstances that will be considered reasonably unforeseen and 
beyond the control of respondent include, but are not limited to:
    (1) A failure of Commission computers or Commission-provided 
software despite the respondent seeking technical assistance from 
Commission personnel and resources;
    (2) A widespread disruption of information transmissions over the 
Internet not caused by any failure of the Commission's or respondent's 
computer systems or Internet service provider; and
    (3) Severe weather or other disaster-related incident.
    (d) Circumstances that will not be considered reasonably unforeseen 
and beyond the control of respondent include, but are not limited to:
    (1) Negligence;
    (2) Delays caused by committee vendors or contractors;
    (3) Illness, inexperience, or unavailability of the treasurer or 
other staff;
    (4) Committee computer, software or Internet service provider 
failures;
    (5) A committee's failure to know filing dates; and
    (6) A committee's failure to use filing software properly.
    (e) Respondent's written response must detail the factual basis 
supporting its challenge and include supporting documentation.

[72 FR 14667, Mar. 29, 2007]



Sec.  111.36  Who will review the respondent's written response?

    (a) A reviewing officer shall review the respondent's written 
response. The reviewing officer shall be a person who has not been 
involved in the reason to believe finding.
    (b) The reviewing officer shall review the reason to believe finding 
with supporting documentation and the respondent's written response with 
supporting documentation. The reviewing officer may request supplemental 
information from the respondent and/or the Commission staff. The 
respondent shall submit the supplemental information to the reviewing 
officer within a time specified by the reviewing officer. The reviewing 
officer will be entitled to draw an adverse inference from the failure 
by the respondent to submit the supplemental information.
    (c) All documents required to be submitted by the respondents 
pursuant to this section and Sec.  111.35 should be submitted in the 
form of affidavits or declarations.
    (d) If the Commission staff, after the respondent files a written 
response pursuant to Sec.  111.35, forwards any additional documents 
pertaining to the matter to the reviewing officer for his or her 
examination, the reviewing officer shall also furnish a copy of the 
document(s) to the respondents.
    (e) Upon completion of the review, the reviewing officer shall 
forward a written recommendation to the Commission along with all 
documents required under this section and 11 CFR 111.32 and 111.35.
    (f) The reviewing office shall also forward a copy of the 
recommendation to the respondent. The respondent may file with the 
Commission Secretary a written response to the recommendation within ten 
(10) days of transmittal of the recommendation. This response may not 
raise any arguments not raised in the respondent's original written 
response or not directly responsive to the reviewing officer's 
recommendation.



Sec.  111.37  What will the Commission do once it receives the
respondent's written response and the reviewing officer's recommendation?

    (a) If the Commission, after having found reason to believe and 
after reviewing the respondent's written response and the reviewing 
officer's recommendation, determines by an affirmative vote of at least 
four (4) of its members, that the respondent has violated 52 U.S.C. 
30104(a) and the amount of the civil money penalty, the Commission shall 
authorize the reviewing officer to notify the respondent by letter of 
its final determination.
    (b) If the Commission, after reviewing the reason to believe 
finding, the respondent's written response, and the reviewing officer's 
written recommendation, determines by an affirmative vote of at least 
four (4) of its

[[Page 190]]

members, that no violation has occurred (either because the Commission 
had based its reason to believe finding on a factual error or because 
the respondent used best efforts to file in a timely manner) or 
otherwise terminates its proceedings, the Commission shall authorize the 
reviewing officer to notify the respondent by letter of its final 
determination.
    (c) The Commission will modify the proposed civil money penalty only 
if the respondent is able to demonstrate that the amount of the proposed 
civil money penalty was calculated on an incorrect basis.
    (d) When the Commission makes a final determination under this 
section, the statement of reasons for the Commission action will, unless 
otherwise indicated by the Commission, consist of the reasons provided 
by the reviewing officer for the recommendation, if approved by the 
Commission, although statements setting forth additional or different 
reasons may also be issued. If the reviewing officer's recommendation is 
modified or not approved, the Commission will indicate the grounds for 
its action and one or more statements of reasons may be issued.

[65 FR 31794, May 19, 2000, as amended at 72 FR 14668, Mar. 29, 2007; 79 
FR 77848, Dec. 29, 2014]



Sec.  111.38  Can the respondent appeal the Commission's final 
determination?

    Yes; within thirty (30) days of receipt of the Commission's final 
determination under 11 CFR 111.37, the respondent may submit a written 
petition to the district court of the United States for the district in 
which the respondent resides, or transacts business, requesting that the 
final determination be modified or set aside. The respondent's failure 
to raise an argument in a timely fashion during the administrative 
process shall be deemed a waiver of the respondent's right to present 
such argument in a petition to the district court under 52 U.S.C. 30109.

[65 FR 31794, May 19, 2000, as amended at 79 FR 77848, Dec. 29, 2014]



Sec.  111.39  When must the respondent pay the civil money penalty?

    (a) If the respondent does not submit a written petition to the 
district court of the United States, the respondent must remit payment 
of the civil money penalty within thirty (30) days of receipt of the 
Commission's final determination under 11 CFR 111.37.
    (b) If the respondent submits a written petition to the district 
court of the United States and, upon the final disposition of the civil 
action, is required to pay a civil money penalty, the respondent shall 
remit payment of the civil money penalty to the Commission within thirty 
(30) days of the final disposition of the civil action. The final 
disposition may consist of a judicial decision which is not reviewed by 
a higher court.
    (c) Failure to pay the civil money penalty may result in the 
commencement of collection action under 31 U.S.C. 3701 et seq. (1996), 
or a civil suit pursuant to 52 U.S.C. 30109(a)(6)(A), or any other legal 
action deemed necessary by the Commission.

[65 FR 31794, May 19, 2000, as amended at 79 FR 77848, Dec. 29, 2014]



Sec.  111.40  What happens if the respondent does not pay the civil
money penalty pursuant to 11 CFR 111.34 and does not submit a written
response to the reason to believe finding pursuant to 11 CFR 111.35?

    (a) If the Commission, after the respondent has failed to pay the 
civil money penalty and has failed to submit a written response, 
determines by an affirmative vote of at least four (4) of its members 
that the respondent has violated 52 U.S.C. 30104(a) and determines the 
amount of the civil money penalty, the respondent shall be notified by 
letter of its final determination.
    (b) The respondent shall transmit payment of the civil money penalty 
to the Commission within thirty (30) days of receipt of the Commission's 
final determination.
    (c) Failure to pay the civil money penalty may result in the 
commencement of collection action under 31 U.S.C. 3701 et seq. (1996), 
or a civil suit pursuant to 52 U.S.C. 30109(a)(6)(A), or any other legal 
action deemed necessary by the Commission.

[65 FR 31794, May 19, 2000, as amended at 79 FR 77848, Dec. 29, 2014]

[[Page 191]]



Sec.  111.41  [Reserved]



Sec.  111.42  Will the enforcement file be made available to the public?

    (a) Yes; the Commission shall make the enforcement file available to 
the public.
    (b) If neither the Commission nor the respondent commences a civil 
action, the Commission shall make the enforcement file available to the 
public pursuant to 11 CFR 4.4(a)(3).
    (c) If a civil action is commenced, the Commission shall make the 
enforcement file available pursuant to 11 CFR 111.20(c).



Sec.  111.43  What are the schedules of penalties?

    (a) The civil money penalty for all reports that are filed late or 
not filed, except election sensitive reports and pre-election reports 
under 11 CFR 104.5, shall be calculated in accordance with the following 
schedule of penalties:

[[Page 192]]



----------------------------------------------------------------------------------------------------------------
  If the level of activity in the     And the report was filed late, the      Or the report was not filed, the
            report was:                    civil money penalty is:                civil money penalty is:
----------------------------------------------------------------------------------------------------------------
$1-4,999.99 \ a\..................  [$32 + ($6 x Number of days late)] x   $321 x [1 + (.25 x Number of previous
                                     [1 + (.25 x Number of previous         violations)].
                                     violations)].
$5,000-9,999.99...................  [$64 + ($6 x Number of days late)] x   $386 x [1 + (.25 x Number of previous
                                     [1 + (.25 x Number of previous         violations)].
                                     violations)].
$10,000-24,999.99.................  [$137 + ($6 x Number of days late)] x  $643 x [1 + (.25 x Number of previous
                                     [1 + (.25 x Number of previous         violations)].
                                     violations)].
$25,000-49,999.99.................  [$273 + ($26 x Number of days late)]   $1,157 x [1 + (.25 x Number of
                                     x [1 + (.25 x Number of previous       previous violations)].
                                     violations)].
$50,000-74,999.99.................  [$410 + ($103 x Number of days late)]  $3,691 x [1 + (.25 x Number of
                                     x [1 + (.25 x Number of previous       previous violations)].
                                     violations)].
$75,000-99,999.99.................  [$547 + ($137 x Number of days late)]  $4,784 x [1 + (.25 x Number of
                                     x [1 + (.25 x Number of previous       previous violations)].
                                     violations)].
$100,000-149,999.99...............  [$820 + ($171 x Number of days late)]  $6,151 x [1 + (.25 x Number of
                                     x [1 + (.25 x Number of previous       previous violations)].
                                     violations)].
$150,000-199,999.99...............  [$1,094 + ($205 x Number of days       $7,518 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$200,000-249,999.99...............  [$1,367 + ($239 x Number of days       $8,885 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$250,000-349,999.99...............  [$2,050 + ($273 x Number of days       $10,935 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$350,000-449,999.99...............  [$2,734 + ($273 x Number of days       $12,302 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$450,000-549,999.99...............  [$3,417 + ($273 x Number of days       $12,985 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$550,000-649,999.99...............  [$4,101 + ($273 x Number of days       $13,669 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$650,000-749,999.99...............  [$4,784 + ($273 x Number of days       $14,352 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$750,000-849,999.99...............  [$5,468 + ($273 x Number of days       $15,036 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$850,000-949,999.99...............  [$6,151 + ($273 x Number of days       $15,719 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$950,000 or over..................  [$6,834 + ($273 x Number of days       $16,403 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
----------------------------------------------------------------------------------------------------------------
\a\ The civil money penalty for a respondent who does not have any previous violations will not exceed the level
  of activity in the report.


[[Page 193]]

    (b) The civil money penalty for election sensitive reports that are 
filed late or not filed shall be calculated in accordance with the 
following schedule of penalties:

[[Page 194]]



----------------------------------------------------------------------------------------------------------------
  If the level of activity in the     And the report was filed late, the      Or the report was not filed, the
            report was:                    civil money penalty is:                civil money penalty is:
----------------------------------------------------------------------------------------------------------------
$1-$4,999.99 \a\..................  [$64 + ($13 x Number of days late)] x  $643 x [1 + (.25 x Number of previous
                                     [1 + (.25 x Number of previous         violations)].
                                     violations)].
$5,000-$9,999.99..................  [$129 + ($13 x Number of days late)]   $771 x [1 + (.25 x Number of previous
                                     x [1 + (.25 x Number of previous       violations)].
                                     violations)].
$10,000-24,999.99.................  [$193 + ($13 x Number of days late)]   $1,157 x [1 + (.25 x Number of
                                     x [1 + (.25 x Number of previous       previous violations)].
                                     violations)].
$25,000-49,999.99.................  [$410 + ($32 x Number of days late)]   $1,800 x [1 + (.25 x Number of
                                     x [1 + (.25 x Number of previous       previous violations)].
                                     violations)].
$50,000-74,999.99.................  [$615 + ($103 x Number of days late)]  $4,101 x [1 + (.25 x Number of
                                     x [1 + (.25 x Number of previous       previous violations)].
                                     violations)].
$75,000-99,999.99.................  [$820 + ($137 x Number of days late)]  $5,468 x [1 + (.25 x Number of
                                     x [1 + (.25 x Number of previous       previous violations)].
                                     violations)].
$100,000-149,999.99...............  [$1,230 + ($171 x Number of days       $6,834 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$150,000-199,999.99...............  [$1,640 + ($205 x Number of days       $8,201 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$200,000-249,999.99...............  [$2,050 + ($239 x Number of days       $10,252 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$250,000-349,999.99...............  [$3,076 + ($273 x Number of days       $12,302 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$350,000-449,999.99...............  [$4,101+ ($273 x Number of days        $13,669 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$450,000-549,999.99...............  [$5,126 + ($273 x Number of days       $15,036 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$550,000-649,999.99...............  [$6,151 + ($273 x Number of days       $16,403 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$650,000-749,999.99...............  [$7,176 + ($273 x Number of days       $17,770 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$750,000-849,999.99...............  [$8,201 + ($273 x Number of days       $19,136 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$850,000-949,999.99...............  [$9,227 + ($273 x Number of days       $20,503 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
$950,000 or over..................  [$10,252 + ($273 x Number of days      $21,870 x [1 + (.25 x Number of
                                     late)] x [1 + (.25 x Number of         previous violations)].
                                     previous violations)].
----------------------------------------------------------------------------------------------------------------
\a\ The civil money penalty for a respondent who does not have any previous violations will not exceed the level
  of activity in the report.


[[Page 195]]

    (c) If the respondent fails to file a required report and the 
Commission cannot calculate the level of activity under paragraph (d) of 
this section, then the civil money penalty shall be $7,518.
    (d) Definitions. For this section only, the following definitions 
will apply:
    (1) Election Sensitive Reports means third quarter reports due on 
October 15th before the general election (for all committees required to 
file this report except committees of candidates who do not participate 
in that general election); monthly reports due October 20th before the 
general election (for all committees required to file this report except 
committees of candidates who do not participate in that general 
election); and pre-election reports for primary, general, and special 
elections under 11 CFR 104.5.
    (2) Estimated level of activity means:
    (i) For an authorized committee, total receipts and disbursements 
reported in the current two-year election cycle divided by the number of 
reports filed to date covering the activity in the current two-year 
election cycle. If the respondent has not filed a report covering 
activity in the current two-year election cycle, estimated level of 
activity for an authorized committee means total receipts and 
disbursements reported in the prior two-year election cycle divided by 
the number of reports filed covering the activity in the prior two-year 
election cycle.
    (ii)(A) For an unauthorized committee, estimated level of activity 
is calculated as follows: [(Total receipts and disbursements reported in 
the current two-year cycle)--(Transfers received from non-Federal 
account(s) as reported on Line 18(a) of FEC Form 3X Disbursements for 
the non-Federal share of operating expenditures attributable to 
allocated Federal/non-Federal activity as reported on Line 21(a)(ii) of 
FEC Form 3X)] / Number of reports filed to date covering the activity in 
the current two-year election cycle.
    (B) If the unauthorized committee has not filed a report covering 
activity in the current two-year election cycle, the estimated level of 
activity is calculated as follows: [(Total receipts and disbursements 
reported in the prior two-year election cycle)--(Transfers received from 
non-Federal account(s) as reported on Line 18(a) of FEC Form 3X 
Disbursements for the non-Federal share of operating expenditures 
attributable to allocated Federal/non-Federal activity as reported on 
Line 21(a)(ii) of FEC Form 3X)] / Number of reports filed covering the 
activity in the prior two-year election cycle.
    (3) Level of activity means:
    (i) For an authorized committee, the total amount of receipts and 
disbursements for the period covered by the late report. If the report 
is not filed, the level of activity is the estimated level of activity 
as set forth in paragraph (d)(2)(i) of this section.
    (ii) For an unauthorized committee, the total amount of receipts and 
disbursements for the period covered by the late report minus the total 
of: Transfers received from non-Federal account(s) as reported on Line 
18(a) of FEC Form 3X and disbursements for the non-Federal share of 
operating expenditures attributable to allocated Federal/non-Federal 
activity as reported on Line 21(a)(ii) of FEC Form 3X for the period 
covered by the late report. If the report is not filed, the level of 
activity is the estimated level of activity as set forth in paragraph 
(d)(2)(ii) of this section.
    (4) Number of previous violations means all prior final civil money 
penalties assessed under this subpart during the current two-year 
election cycle and the prior two-year election cycle.
    (e) For purposes of the schedules of penalties in paragraphs (a) and 
(b) of this section,
    (1) Reports that are not election sensitive reports are considered 
to be filed late if they are filed after their due dates but within 
thirty (30) days of their due dates. These reports are considered to be 
not filed if they are filed after thirty (30) days of their due dates or 
not filed at all.
    (2) Election sensitive reports are considered to be filed late if 
they are filed after their due dates but prior to four (4) days before 
the primary election for pre-primary reports, prior to four (4) days 
before the special election for pre-special election reports, or prior 
to

[[Page 196]]

four (4) days before the general election for all other election 
sensitive reports. These reports are considered to be not filed if they 
are not filed prior to four (4) days before the primary election for 
pre-primary reports, prior to four (4) days before the special election 
for pre-special election reports or prior to four (4) days before the 
general election for all other election sensitive reports.

[65 FR 31794, May 19, 2000, as amended at 68 FR 12577, Mar. 17, 2003; 70 
FR 34636, June 15, 2005; 74 FR 31348, July 1, 2009; 74 FR 37161, July 
28, 2009; 78 FR 44421, July 24, 2013; 81 FR 41199, June 24, 2016]



Sec.  111.44  What is the schedule of penalties for 48-hour notices that
are not filed or are filed late?

    (a) If the respondent fails to file timely a notice regarding 
contribution(s) received after the 20th day but more than 48 hours 
before the election as required under 52 U.S.C. 30104(a)(6), the civil 
money penalty will be calculated as follows:
    (1) Civil money penalty = $137 + (.10 x amount of the 
contribution(s) not timely reported).
    (2) The civil money penalty calculated in paragraph (a)(1) of this 
section shall be increased by twenty-five percent (25%) for each prior 
violation.
    (b) For purposes of this section, prior violation means a final 
civil money penalty that has been assessed against the respondent under 
this subpart in the current two-year election cycle or the prior two-
year election cycle.

[65 FR 31794, May 19, 2000, as amended at 70 FR 34636, June 15, 2005; 74 
FR 31349, July 1, 2009; 79 FR 77848, Dec. 29, 2014; 81 FR 41200, June 
24, 2016]



Sec.  111.45  [Reserved]



Sec.  111.46  How will the respondent be notified of actions taken by
the Commission and the reviewing officer?

    If a statement designating counsel has been filed in accordance with 
11 CFR 111.23, all notifications and other communications to a 
respondent provided for in subpart B of this part will be sent to 
designated counsel. If a statement designating counsel has not been 
filed, all notifications and other communications to a respondent 
provided for in subpart B of this part will be sent to respondent 
political committee and its treasurer at the political committee's 
address as listed in the most recent Statement of Organization, or 
amendment thereto, filed with the Commission in accordance with 11 CFR 
102.2.

[68 FR 12580, Mar. 17, 2003]



       Subpart C_Collection of Debts Arising From Enforcement and 
                 Administration of Campaign Finance Laws

    Source: 75 FR 19876, Apr. 16, 2010, unless otherwise noted.



Sec.  111.50  Purpose and scope.

    Subpart C prescribes standards and procedures under which the 
Commission will collect and dispose of certain debts owed to the United 
States, as described in 11 CFR 111.51. The regulations in this subpart 
implement the Debt Collection Improvement Act of 1996, 31 U.S.C. 3701, 
3711, and 3716-3720A, as amended; and the Federal Claims Collection 
Standards, 31 CFR parts 900-904. The activities covered include: The 
collection of claims of any amount; compromising claims; suspending or 
terminating the collection of claims; and referring debts to the U.S. 
Department of the Treasury for collection action.



Sec.  111.51  Debts that are covered.

    (a) The procedures of this subpart C of part 111 apply to claims for 
payment or debt arising from, or ancillary to, any action undertaken by 
or on behalf of the Commission in furtherance of efforts to ensure 
compliance with the Federal Election Campaign Act, 52 U.S.C. 30101 et 
seq., as amended, and to administer the Presidential Election Campaign 
Fund Act, 26 U.S.C. 9001 et seq., or the Presidential Primary Matching 
Payment Account Act, 26 U.S.C. 9031 et seq., and Commission regulations, 
including:
    (1) Negotiated civil penalties in enforcement matters and 
alternative dispute resolution matters;
    (2) Civil money penalties assessed under the administrative fines 
program;

[[Page 197]]

    (3) Claims reduced to judgment in the courts and that are no longer 
in litigation;
    (4) Repayments of public funds under the Presidential Election 
Campaign Fund Act, 26 U.S.C. 9001 et seq.; or
    (5) Repayment of public funds under the Presidential Primary 
Matching Payment Account Act, 26 U.S.C. 9031 et seq.
    (b) The procedures covered by this subpart do not apply to any of 
the following debts:
    (1) Debts that result from administrative activities of the 
Commission that are governed by 11 CFR part 8.
    (2) Debts involving criminal actions of fraud, the presentation of a 
false claim, or misrepresentation on the part of the debtor or any other 
person having an interest in the claim.
    (3) Debts based in whole or in part on conduct in violation of the 
antitrust laws.
    (4) Debts under the Internal Revenue Code of 1986.
    (5) Debts between the Commission and another Federal agency. The 
Commission will attempt to resolve interagency claims by negotiation in 
accordance with Executive Order 12146, 3 CFR pp. 409-12 (1980 Comp.).
    (6) Debts that have become subject to salary offset under 5 U.S.C. 
5514.

[75 FR 19876, Apr. 16, 2010, as amended at 79 FR 16663, Mar. 26, 2014; 
79 FR 77848, Dec. 29, 2014]



Sec.  111.52  Administrative collection of claims.

    (a) The Commission shall act to collect all claims or debts. These 
collection activities will be undertaken promptly and follow up action 
will be taken as appropriate in accordance with 31 CFR 901.1.
    (b) The Commission may take any and all appropriate collection 
actions authorized and required by the Debt Collection Act of 1982, as 
amended by the Debt Collection Improvement Act of 1996, 31 U.S.C. 3701 
et seq. The U.S. Department of the Treasury regulations at 31 CFR 285.2, 
285.4, 285.7, and 285.11, and the Federal Claims Collection Standards 
issued jointly by the Department of Justice and the U.S. Department of 
the Treasury at 31 CFR parts 900-904, also apply. The Commission has 
adopted these regulations by cross-reference.
    (c) The Commission will refer to the Dept. of Treasury all debt that 
has been delinquent for more than 180 days, and may refer to the Dept. 
of Treasury any debt that has been delinquent for 180 days or less. On 
behalf of the Commission, the U.S. Department of the Treasury will 
attempt to collect the debt, in accordance with the statutory and 
regulatory requirements and authorities applicable to the debt and 
action. This may include referral to another debt collection center, or 
a private collection contractor. See 31 CFR 285.12 (Transfer of debts to 
Treasury for collection). This requirement does not apply to any debt 
that:
    (1) Is in litigation or foreclosure;
    (2) Will be disposed of under an approved asset sale program;
    (3) Has been referred to a private collection contractor for a 
period of time acceptable to the U.S. Department of the Treasury; or
    (4) Will be collected under internal offset procedures within three 
years after the debt first became delinquent.
    (d) The U.S. Department of the Treasury is authorized to charge a 
fee for services rendered regarding referred or transferred debts. The 
Commission will add the fee to the debt as an administrative cost, in 
accordance with 11 CFR 111.55.



Sec.  111.53  Litigation by the Commission.

    Nothing in this subpart C precludes the Commission from filing suit 
in the appropriate court to enforce compliance with a conciliation 
agreement under 52 U.S.C. 30109(a)(5)(D), seek a civil money penalty 
under 52 U.S.C. 30109(a)(6), petition the court for a contempt order 
under 52 U.S.C. 30109(a)(11), or otherwise exercise its authority to 
enforce or administer the statutes specified in 11 CFR 111.51(a).

[75 FR 19876, Apr. 16, 2010, as amended at 79 FR 77848, Dec. 29, 2014]



Sec.  111.54  Bankruptcy claims.

    When the Commission learns that a bankruptcy petition has been filed 
by a debtor, before proceeding with further collection action, the 
Commission will

[[Page 198]]

take any necessary action in accordance with the provision of 31 CFR 
901.2(h).



Sec.  111.55  Interest, penalties, and administrative costs.

    (a) The Commission shall assess interest, penalties, and 
administrative costs on debts owed to the United States Government, 
pursuant to 31 U.S.C. 3717. Interest, penalties, and administrative 
costs will be assessed in accordance with 31 CFR 901.9.
    (b) The Commission shall waive collection of interest and 
administrative costs on a debt or any portion of the debt that is paid 
within thirty days after the date on which the interest begins to 
accrue.
    (c) The Commission may waive collection of interest, penalties, and 
administrative costs if it:
    (1) Determines that collection is against equity and good conscience 
or not in the best interest of the United States, including when an 
administrative offset or installment agreement is in effect; or
    (2) Determines that waiver is appropriate under the criteria for 
compromise of debts set forth at 31 CFR 902.2(a).
    (d) The Commission is authorized to impose interest and related 
charges on debts not subject to 31 U.S.C. 3717, in accordance with 
common law.



PART 112_ADVISORY OPINIONS (52 U.S.C. 30108)--Table of Contents



Sec.
112.1 Requests for advisory opinions (52 U.S.C. 30108(a)(1)).
112.2 Public availability of requests (52 U.S.C. 30108(d)).
112.3 Written comments on requests (52 U.S.C. 30108(d)).
112.4 Issuance of advisory opinions (52 U.S.C. 30108(a) and (b)).
112.5 Reliance on advisory opinions (52 U.S.C. 30108(c)).
112.6 Reconsideration of advisory opinions.

    Authority: 52 U.S.C. 30108, 30111(a)(8).

    Source: 45 FR 15123, Mar. 7, 1980, unless otherwise noted.



Sec.  112.1  Requests for advisory opinions (52 U.S.C. 30108(a)(1)).

    (a) Any person may request in writing an advisory opinion concerning 
the application of the Act, chapters 95 or 96 of the Internal Revenue 
Code of 1954, or any regulation prescribed by the Commission. An 
authorized agent of the requesting person may submit the advisory 
opinion request, but the agent shall disclose the identity of his or her 
principal.
    (b) The written advisory opinion request shall set forth a specific 
transaction or activity that the requesting person plans to undertake or 
is presently undertaking and intends to undertake in the future. 
Requests presenting a general question of interpretation, or posing a 
hypothetical situation, or regarding the activities of third parties, do 
not qualify as advisory opinion requests.
    (c) Advisory opinion requests shall include a complete description 
of all facts relevant to the specific transaction or activity with 
respect to which the request is made.
    (d) The Office of General Counsel shall review all requests for 
advisory opinions submitted under 11 CFR 112.1. If the Office of General 
Counsel determines that a request for an advisory opinion is incomplete 
or otherwise not qualified under 11 CFR 112.1, it shall, within 10 
calendar days of receipt of such request, notify the requesting person 
and specify the deficiencies in the request.
    (e) Advisory opinion requests should be sent to the Federal Election 
Commission, Office of General Counsel, 999 E Street, NW., Washington, DC 
20463.
    (f) Upon receipt by the Commission, each request which qualifies as 
an advisory opinion request (AOR) under 11 CFR 112.1 shall be assigned 
an AOR number for reference purposes.

[45 FR 15123, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985]



Sec.  112.2  Public availability of requests (52 U.S.C. 30108(d)).

    (a) Advisory opinion requests which qualify under 11 CFR 112.1 shall 
be made public at the Commission promptly upon their receipt.
    (b) A copy of the original request and any supplements thereto, 
shall be available for public inspection and purchase at the Public 
Disclosure and

[[Page 199]]

Media Relations Division of the Commission.

[45 FR 15123, Mar. 7, 1980, as amended at 81 FR 94240, Dec. 23, 2016]



Sec.  112.3  Written comments on requests (52 U.S.C. 30108(d)).

    (a) Any interested person may submit written comments concerning 
advisory opinion requests made public at the Commission.
    (b) The written comments shall be submitted within 10 calendar days 
following the date the request is made public at the Commission. 
However, if the 10th calendar day falls on a Saturday, Sunday, or 
Federal holiday, the 10 day period ends at the close of the business day 
next following the weekend or holiday. Additional time for submission of 
written comments may be granted upon written request for an extension by 
the person who wishes to submit comments or may be granted by the 
Commission without an extension request.
    (c) Comments on advisory opinion requests should refer to the AOR 
number of the request, and statutory references should be to the United 
States Code citations, rather than to Public Law citations.
    (d) Written comments and requests for additional time to comment 
shall be sent to the Federal Election Commission, Office of General 
Counsel, 999 E Street, NW., Washington, DC 20463.
    (e) Before it issues an advisory opinion the Commission shall accept 
and consider all written comments submitted within the 10 day comment 
period or any extension thereof.

[45 FR 15123, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985]



Sec.  112.4  Issuance of advisory opinions (52 U.S.C. 30108(a) and (b)).

    (a) Within 60 calendar days after receiving an advisory opinion 
request that qualifies under 11 CFR 112.1, the Commission shall issue to 
the requesting person a written advisory opinion or shall issue a 
written response stating that the Commission was unable to approve an 
advisory opinion by the required affirmative vote of 4 members.
    (b) The 60 calendar day period of 11 CFR 112.4(a) is reduced to 20 
calendar days for an advisory opinion request qualified under 11 CFR 
112.1 provided the request:
    (1) Is submitted by any candidate, including any authorized 
committee of the candidate (or agent of either), within the 60 calendar 
days preceding the date of any election for Federal office in which the 
candidate is seeking nomination or election; and
    (2) Presents a specific transaction or activity related to the 
election that may invoke the 20 day period if the connection is 
explained in the request.
    (c) The 60 day and 20 day periods referred to in 11 CFR 112.4 (a) 
and (b) only apply when the Commission has received a qualified and 
complete advisory opinion request under 11 CFR 112.1, and when the 60th 
or 20th day occurs on a Saturday, Sunday or Federal holiday, the 
respective period ends at the close of the business day next following 
the weekend or holiday.
    (d) The Commission may issue advisory opinions pertaining only to 
the Federal Election Campaign Act of 1971, as amended, chapters 95 or 96 
of the Internal Revenue Code of 1954, or rules or regulations duly 
prescribed under those statutes.
    (e) Any rule of law which is not stated in the Act or in chapters 95 
or 96 of the Internal Revenue Code of 1954, or in a regulation duly 
prescribed by the Commission, may be initially proposed only as a rule 
or regulation pursuant to procedures established in 52 U.S.C. 30111(d) 
or 26 U.S.C. 9009(c) and 9039(c) as applicable.
    (f) No opinion of an advisory nature may be issued by the Commission 
or any of its employees except in accordance with 11 CFR part 112; 
however, this limitation does not preclude distribution by the 
Commission of information consistent with the Act and chapters 95 or 96 
of the Internal Revenue Code of 1954.
    (g) When issued by the Commission, each advisory opinion or other 
response under 11 CFR 112.4(a) shall be made public and sent by mail, or 
personally delivered to the person who requested the opinion.

[45 FR 15123, Mar. 7, 1980, as amended at 79 FR 77849, Dec. 29, 2014]

[[Page 200]]



Sec.  112.5  Reliance on advisory opinions (52 U.S.C. 30108(c)).

    (a) An advisory opinion rendered by the Commission under 11 CFR part 
112 may be relied upon by:
    (1) Any person involved in the specific transaction or activity with 
respect to which such advisory opinion is rendered, and
    (2) Any person involved in any specific transaction or activity 
which is indistinguishable in all its material aspects from the 
transaction or activity with respect to which such advisory opinion is 
rendered.
    (b) Notwithstanding any other provision of law, any person who 
relies upon an advisory opinion in accordance with 11 CFR 112.5(a) and 
who acts in good faith in accordance with that advisory opinion shall 
not, as a result of any such act, be subject to any sanction provided by 
the Federal Election Campaign Act of 1971, as amended, or by chapters 95 
or 96 of the Internal Revenue Code of 1954.



Sec.  112.6  Reconsideration of advisory opinions.

    (a) The Commission may reconsider an advisory opinion previously 
issued if the person to whom the opinion was issued submits a written 
request for reconsideration within 30 calendar days of receipt of the 
opinion and if, upon the motion of a Commissioner who voted with the 
majority that originally approved the opinion, the Commission adopts the 
motion to reconsider by the affirmative vote of 4 members.
    (b) The Commission may reconsider an advisory opinion previously 
issued if, upon the motion of a Commissioner who voted with the majority 
that originally approved the opinion and within 30 calendar days after 
the date the Commission approved the opinion, the Commission adopts the 
motion to reconsider by the affirmative vote of 4 members.
    (c) In the event an advisory opinion is reconsidered pursuant to 11 
CFR 112.6(b), the action taken in good faith reliance on that advisory 
opinion by the person to whom the opinion was issued shall not result in 
any sanction provided by the Act or chapters 95 or 96 of the Internal 
Revenue Code of 1954. 11 CFR 112.6(c) shall not be effective after the 
date when the person to whom the advisory opinion was issued has 
received actual notice of the Commission's decision to reconsider that 
advisory opinion.
    (d) Adoption of a motion to reconsider vacates the advisory opinion 
to which it relates.



PART 113_PERMITTED AND PROHIBITED USES OF CAMPAIGN ACCOUNTS
--Table of Contents



Sec.
113.1 Definitions (52 U.S.C. 30114).
113.2 Permissible non-campaign use of funds (52 U.S.C. 30114).
113.3 Deposits of funds donated to a Federal or State officeholder (52 
          U.S.C. 30102(h)).
113.4 Contribution and expenditure limitations (52 U.S.C. 30116).
113.5 Restrictions on use of campaign funds for flights on noncommercial 
          aircraft (52 U.S.C. 30114(c)).

    Authority: 52 U.S.C. 30102(h), 30111(a)(8), 30114, and 30116.

    Source: 45 FR 15124, Mar. 7, 1980, unless otherwise noted.



Sec.  113.1  Definitions (52 U.S.C. 30114).

    When used in this part--
    (a) Funds donated. Funds donated means all funds, including, but not 
limited to, gifts, loans, advances, credits or deposits of money which 
are donated for the purpose of supporting the activities of a Federal or 
State officeholder; but does not mean funds appropriated by Congress, a 
State legislature, or another similar public appropriating body, or 
personal funds of the officeholder donated to an account containing only 
those personal funds.
    (b) Office account. Office account means an account established for 
the purposes of supporting the activities of a Federal or State 
officeholder which contains campaign funds and funds donated, but does 
not include an account used exclusively for funds appropriated by 
Congress, a State legislature, or another similar public appropriating 
body, or an account of the officeholder which contains only the personal 
funds of the officeholder.
    (c) Federal officeholder. Federal officeholder means an individual 
elected to or serving in the office of President or Vice President of 
the United States; or

[[Page 201]]

a Senator or a Representative in, or Delegate or Resident Commissioner 
to, the Congress of the United States.
    (d) State officeholder. State officeholder means an individual 
elected to or serving in any elected public office within a State of the 
United States, the District of Columbia, the Commonwealth of Puerto Rico 
or any subdivision thereof.
    (e) [Reserved]
    (f) Qualified Member. Qualified Member means an individual who was 
serving as a Senator or Representative in, or Delegate or Resident 
Commissioner to, Congress, on January 8, 1980.
    (g) Personal use. Personal use means any use of funds in a campaign 
account of a present or former candidate to fulfill a commitment, 
obligation or expense of any person that would exist irrespective of the 
candidate's campaign or duties as a Federal officeholder.
    (1)(i) Personal use includes but is not limited to the use of funds 
in a campaign account for any item listed in paragraphs (g)(1)(i)(A) 
through (J) of this section:
    (A) Household food items or supplies.
    (B) Funeral, cremation or burial expenses except those incurred for 
a candidate (as defined in 11 CFR 100.3) or an employee or volunteer of 
an authorized committee whose death arises out of, or in the course of, 
campaign activity.
    (C) Clothing, other than items of de minimis value that are used in 
the campaign, such as campaign ``T-shirts'' or caps with campaign 
slogans.
    (D) Tuition payments, other than those associated with training 
campaign staff.
    (E) Mortgage, rent or utility payments--
    (1) For any part of any personal residence of the candidate or a 
member of the candidate's family; or
    (2) For real or personal property that is owned by the candidate or 
a member of the candidate's family and used for campaign purposes, to 
the extent the payments exceed the fair market value of the property 
usage.
    (F) Admission to a sporting event, concert, theater or other form of 
entertainment, unless part of a specific campaign or officeholder 
activity.
    (G) Dues, fees or gratuities at a country club, health club, 
recreational facility or other nonpolitical organization, unless they 
are part of the costs of a specific fundraising event that takes place 
on the organization's premises.
    (H) Salary payments to a member of the candidate's family, unless 
the family member is providing bona fide services to the campaign. If a 
family member provides bona fide services to the campaign, any salary 
payment in excess of the fair market value of the services provided is 
personal use.
    (I) Salary payments by a candidate's principal campaign to a 
candidate in excess of the lesser of: the minimum salary paid to a 
Federal officeholder holding the Federal office that the candidate 
seeks; or the earned income that the candidate received during the year 
prior to becoming a candidate. Any earned income that a candidate 
receives from salaries or wages from any other source shall count 
against the foregoing limit of the minimum salary paid to a Federal 
officeholder holding the Federal office that the candidate seeks. The 
candidate must provide income tax records from the relevant years and 
other evidence of earned income upon the request of the Commission. 
Salary shall not be paid to a candidate before the filing deadline for 
access to the primary election ballot for the Federal office that the 
candidate seeks, as determined by State law, or in those states that do 
not conduct primaries, on January 1 of each even-numbered year. See 11 
CFR 100.24(a)(1)(i). If the candidate wins the primary election, his or 
her principal campaign committee may pay him or her a salary from 
campaign funds through the date of the general election, up to and 
including the date of any general election runoff. If the candidate 
loses the primary, withdraws from the race, or otherwise ceases to be a 
candidate, no salary payments may be paid beyond the date he or she is 
no longer a candidate. In odd-numbered years in which a special election 
for a Federal office occurs, the principal campaign committee of a 
candidate for that office may pay him or her a salary from campaign 
funds starting on the date the special election is set and ending on the 
day of the special election. See 11 CFR 100.24(a)(1)(ii). During the

[[Page 202]]

time period in which a principal campaign committee may pay a salary to 
a candidate under this paragraph, such payment must be computed on a 
pro-rata basis. A Federal officeholder, as defined in paragraph (c) of 
this section, must not receive salary payments as a candidate from 
campaign funds.
    (J) A vacation.
    (ii) The Commission will determine, on a case-by-case basis, whether 
other uses of funds in a campaign account fulfill a commitment, 
obligation or expense that would exist irrespective of the candidate's 
campaign or duties as a Federal officeholder, and therefore are personal 
use. Examples of such other uses include:
    (A) Legal expenses;
    (B) Meal expenses;
    (C) Travel expenses, including subsistence expenses incurred during 
travel. If a committee uses campaign funds to pay expenses associated 
with travel that involves both personal activities and campaign or 
officeholder-related activities, the incremental expenses that result 
from the personal activities are personal use, unless the person(s) 
benefiting from this use reimburse(s) the campaign account within thirty 
days for the amount of the incremental expenses, and
    (D) Vehicle expenses, unless they are a de minimis amount. If a 
committee uses campaign funds to pay expenses associated with a vehicle 
that is used for both personal activities beyond a de minimis amount and 
campaign or officeholder-related activities, the portion of the vehicle 
expenses associated with the personal activities is personal use, unless 
the person(s) using the vehicle for personal activities reimburse(s) the 
campaign account within thirty days for the expenses associated with the 
personal activities.
    (2) Charitable donations. Donations of campaign funds or assets to 
an organization described in section 170(c) of Title 26 of the United 
States Code are not personal use, unless the candidate receives 
compensation from the organization before the organization has expended 
the entire amount donated for purposes unrelated to his or her personal 
benefit.
    (3) Transfers of campaign assets. The transfer of a campaign 
committee asset is not personal use so long as the transfer is for fair 
market value. Any depreciation that takes place before the transfer must 
be allocated between the committee and the purchaser based on the useful 
life of the asset.
    (4) Gifts. Gifts of nominal value and donations of a nominal amount 
made on a special occasion such as a holiday, graduation, marriage, 
retirement, or death are not personal use, unless made to a member of 
the candidate's family.
    (5) Political or officially connected expenses. The use of campaign 
funds for an expense that would be a political expense under the rules 
of the United States House of Representatives or an officially connected 
expense under the rules of the United States Senate is not personal use 
to the extent that the expense is an expenditure under subpart D of part 
100 or an ordinary and necessary expense incurred in connection with the 
duties of a holder of Federal office. Any use of funds that would be 
personal use under paragraph (g)(1) of this section will not be 
considered an expenditure under subpart D of part 100 or an ordinary and 
necessary expense incurred in connection with the duties of a holder of 
Federal office.
    (6) Third party payments. Notwithstanding that the use of funds for 
a particular expense would be a personal use under this section, payment 
of that expense by any person other than the candidate or the campaign 
committee shall be a contribution under subpart B of part 100 to the 
candidate unless the payment would have been made irrespective of the 
candidacy. Examples of payments considered to be irrespective of the 
candidacy include, but are not limited to, situations where--
    (i) The payment is a donation to a legal expense trust fund 
established in accordance with the rules of the United States Senate or 
the United States House of Representatives;
    (ii) The payment is made from funds that are the candidate's 
personal funds as defined in 11 CFR 100.33, including an account jointly 
held by the candidate and a member of the candidate's family;
    (iii) Payments for that expense were made by the person making the 
payment before the candidate became a

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candidate. Payments that are compensation shall be considered 
contributions unless--
    (A) The compensation results from bona fide employment that is 
genuinely independent of the candidacy;
    (B) The compensation is exclusively in consideration of services 
provided by the employee as part of this employment; and
    (C) The compensation does not exceed the amount of compensation 
which would be paid to any other similarly qualified person for the same 
work over the same period of time.
    (7) Members of the candidate's family. For the purposes of paragraph 
(g) of this section, the candidate's family includes:
    (i) The spouse of the candidate;
    (ii) Any child, step-child, parent, grandparent, sibling, half-
sibling or step-sibling of the candidate or the candidate's spouse;
    (iii) The spouse of any child, step-child, parent, grandparent, 
sibling, half-sibling or step-sibling of the candidate; and
    (iv) A person who shares a residence with the candidate.
    (8) Recordkeeping. For those uses of campaign funds described in 
paragraphs (g)(1)(i) and (g)(1)(ii) of this section that involve both 
personal use and either campaign or office-holder use, a contemporaneous 
log or other record must be kept to document the dates and expenses 
related to the personal use of the campaign funds. The log must be 
updated whenever campaign funds are used for personal expenses, as 
described in paragraph (g)(1) of this section, rather than for campaign 
or office-holder expenses. The log or other record must also be 
maintained and preserved for 3 years after the report disclosing the 
disbursement is filed, pursuant to 11 CFR 102.9 and 104.14(b).

[45 FR 15124, Mar. 7, 1980, as amended at 56 FR 34126, July 25, 1991; 60 
FR 7874, Feb. 9, 1995; 67 FR 38361, June 4, 2002; 67 FR 76978, Dec. 13, 
2002; 73 FR 79602, Dec. 30, 2008; 75 FR 32, Jan. 4, 2010; 79 FR 77849, 
Dec. 29, 2014; 81 FR 34863, June 1, 2016]



Sec.  113.2  Permissible non-campaign use of funds (52 U.S.C. 30114).

    In addition to defraying expenses in connection with a campaign for 
federal office, funds in a campaign account or an account described in 
11 CFR 113.3:
    (a) May be used to defray any ordinary and necessary expenses 
incurred in connection with the recipient's duties as a holder of 
Federal office, if applicable, including:
    (1) The costs of travel by the recipient Federal officeholder and an 
accompanying spouse to participate in a function directly connected to 
bona fide official responsibilities, such as a fact-finding meeting or 
an event at which the officeholder's services are provided through a 
speech or appearance in an official capacity; and
    (2) The costs of winding down the office of a former Federal 
officeholder for a period of 6 months after he or she leaves office; or
    (b) May be contributed to any organization described in section 
170(c) of Title 26, of the United States Code; or
    (c) May be transferred without limitation to any national, State, or 
local committee of any political party; or
    (d) May be donated to State and local candidates subject to the 
provisions of State law; or
    (e) May be used for any other lawful purpose, unless such use is 
personal use under 11 CFR 113.1(g).
    (f) Nothing in this section modifies or supersedes other Federal 
statutory restrictions or relevant State laws that may apply to the use 
of campaign or donated funds by candidates or Federal officeholders.

[45 FR 15124, Mar. 7, 1980, as amended at 56 FR 34126, July 25, 1991; 60 
FR 7875, Feb. 9, 1995; 67 FR 76979, Dec. 13, 2002; 72 FR 56247, Oct. 3, 
2007; 81 FR 94240, Dec. 23, 2016]



Sec.  113.3  Deposits of funds donated to a Federal or State officeholder
(52 U.S.C. 30102(h)).

    All funds donated to a federal officeholder, or State officeholder 
who is a candidate for federal office, shall be deposited into one of 
the following accounts:
    (a) An account of the officeholder's principal campaign committee or 
other authorized committee pursuant to 11 CFR part 103;
    (b) An account to which only funds donated to an individual to 
support his or her activities as a holder of federal

[[Page 204]]

office are deposited (including an office account).



Sec.  113.4  Contribution and expenditure limitations (52 U.S.C. 30116).

    (a) Any contributions to, or expenditures from an office account 
which are made for the purpose of influencing a federal election shall 
be subject to 52 U.S.C. 30116 and 11 CFR part 110 of these regulations.
    (b) If any treasury funds of a corporation or labor organization are 
donated to an office account, no funds from that office account may be 
transferred to a political committee account or otherwise used in 
connection with a federal election.

[45 FR 15124, Mar. 7, 1980, as amended at 79 FR 77849, Dec. 29, 2014]



Sec.  113.5  Restrictions on use of campaign funds for flights on
noncommercial aircraft (52 U.S.C. 30114(c)).

    (a) Presidential, vice-presidential and Senate candidates. 
Notwithstanding any other provision of the Act or Commission 
regulations, a presidential, vice-presidential, or Senate candidate, and 
any authorized committee of such candidate, shall not make any 
expenditure for travel on an aircraft unless the flight is:
    (1) Commercial travel as provided in 11 CFR 100.93(a)(3)(iv);
    (2) Noncommercial travel as provided in 11 CFR 100.93(a)(3)(v), and 
the pro rata share per campaign traveler of the normal and usual charter 
fare or rental charge for travel on a comparable aircraft of comparable 
size, as provided in 11 CFR 100.93(c), is paid by the candidate, the 
authorized committee, or other political committee on whose behalf the 
travel is conducted, to the owner, lessee, or other person who provides 
the aircraft within seven calendar days after the date the flight began, 
except as provided in 11 CFR 100.93(b)(3); or
    (3) Provided by the Federal government or by a State or local 
government.
    (b) House candidates and their leadership PACs. Notwithstanding any 
other provision of the Act or Commission regulations, a candidate for 
the office of Representative in, or Delegate or Resident Commissioner 
to, the Congress, and any authorized committee or leadership PAC of such 
candidate, shall not make any expenditures, or receive any in-kind 
contribution, for travel on an aircraft unless the flight is:
    (1) Commercial travel as provided in 11 CFR 100.93(a)(3)(iv); or
    (2) Provided by the Federal government or by a State or local 
government.
    (c) Exception for aircraft owned or leased by candidates and 
immediate family members of candidates. (1) Paragraphs (a) and (b) of 
this section do not apply to flights on aircraft owned or leased by the 
candidate, or by an immediate family member of the candidate, provided 
that the candidate does not use the aircraft more than the candidate's 
or immediate family member's proportional share of ownership, as defined 
by 11 CFR 100.93(g)(3), allows.
    (2) A candidate, or an immediate family member of the candidate, 
will be considered to own or lease an aircraft under the conditions 
described in 11 CFR 100.93(g)(2).
    (3) An ``immediate family member'' is defined in 11 CFR 
100.93(g)(4).
    (d) In-kind contribution. Except as provided in 11 CFR 100.79, the 
unreimbursed value of transportation provided to any campaign traveler 
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. Such contributions are subject to the reporting requirements, 
limitations and prohibitions of the Act.

[74 FR 63967, Dec. 7, 2009, as amended at 79 FR 77849, Dec. 29, 2014]



PART 114_CORPORATE AND LABOR ORGANIZATION ACTIVITY--Table of Contents



Sec.
114.1 Definitions.
114.2 Prohibitions on contributions, expenditures and electioneering 
          communications.
114.3 Disbursements for communications to the restricted class in 
          connection with a Federal election.
114.4 Disbursements for communications by corporations and labor 
          organizations beyond the restricted class in connection with a 
          Federal election.
114.5 Separate segregated funds.

[[Page 205]]

114.6 Twice yearly solicitations.
114.7 Membership organizations, cooperatives, or corporations without 
          capital stock.
114.8 Trade associations.
114.9 Use of corporate or labor organization facilities.
114.10 Corporations and labor organizations making independent 
          expenditures and electioneering communications.
114.11 Employee participation plans.
114.12 Incorporation of political committees; payment of fringe 
          benefits.
114.13 Use of meeting rooms.
114.14-114.15 [Reserved]

    Authority: 52 U.S.C. 30101(8), 30101(9), 30102, 30104, 30107(a)(8), 
30111(a)(8), 30118.



Sec.  114.1  Definitions.

    (a) For purposes of part 114--
    (1) The terms contribution and expenditure shall include any direct 
or indirect payment, distribution, loan, advance, deposit, or gift of 
money, or any services, or anything of value (except a loan of money by 
a 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, if such loan is made in accordance with 11 
CFR 100.82(a) through (d)) to any candidate, political party or 
committee, organization, or any other person in connection with any 
election to any of the offices referred to in 11 CFR 114.2 (a) or (b) as 
applicable.
    (2) The terms contribution and expenditure shall not include--
    (i) Communications by a corporation to its stockholders and 
executive or administrative personnel and their families or by a labor 
organization to its members and executive or administrative personnel, 
and their families, on any subject;
    (ii) Registration and get-out-the-vote campaigns by a corporation 
aimed at its stockholders and executive or administrative personnel, and 
their families, or by a labor organization aimed at its members and 
executive or administrative personnel, and their families, as described 
in 11 CFR 114.3(c)(4)(ii);
    (iii) The establishment, administration, and solicitation of 
contributions to a separate segregated fund to be utilized for political 
purposes by a corporation, labor organization, membership organization, 
cooperative, or corporation without capital stock;
    (iv) [Reserved]
    (v) The sale of any food or beverage by a corporate vendor for use 
in a candidate's campaign or for use by a political committee of a 
political party at a charge less than the normal or comparable 
commercial rate, if the charge is at least equal to the costs of such 
food or beverage to the vendor, to the extent that: The aggregate value 
of such discount by the vendor on behalf of a single candidate does not 
exceed $1,000 with respect to any single election; and on behalf of all 
political committees of each political party does not exceed $2,000 in a 
calendar year.
    (vi) The payment for legal or accounting services rendered to or on 
behalf of any political committee of a political party other than 
services attributable to activities which directly further the election 
of a designated candidate or candidates for Federal office if the 
corporation or labor organization paying for the services is the regular 
employer of the individual rendering the services. This exclusion shall 
not be applicable if additional employees are hired for the purpose of 
rendering services or if additional employees are hired in order to make 
regular employees available;
    (vii) The payment for legal or accounting services rendered to or on 
behalf of an authorized committee of a candidate or any other political 
committee solely for the purpose of ensuring compliance with this Act or 
chapter 95 or 96 of the Internal Revenue Code of 1954 if the corporation 
or labor organization paying for the services is the regular employer of 
the individual rendering the services, but amounts paid or incurred for 
these services shall be reported in accordance with part 104. This 
exclusion shall not be applicable if additional employees are hired for 
the purpose of rendering services or if additional employees are hired 
in order to make regular employees available;
    (viii) Activity permitted under 11 CFR 9008.9, 9008.52 and 9008.53 
with respect to a presidential nominating convention;

[[Page 206]]

    (ix) Donations to a State or local party committee used for the 
purchase or construction of its office building are subject to 11 CFR 
300.35. No exception applies to contributions or donations to a national 
party committee that are made or used for the purchase or construction 
of any office building or facility; or
    (x) Any activity that is specifically permitted by part 114, but 
this exception does not apply to activities permitted by 11 CFR 
114.3(c)(4), 114.4(a), (c)(1)-(6), and (d), and 114.10(a), other than as 
provided specifically in those sections.
    (b) Establishment, administration, and solicitation costs means the 
cost of office space, phones, salaries, utilities, supplies, legal and 
accounting fees, fund-raising and other expenses incurred in setting up 
and running a separate segregated fund established by a corporation, 
labor organization, membership organization, cooperative, or corporation 
without capital stock.
    (c) Executive or administrative personnel means individuals employed 
by a corporation or labor organization who are paid on a salary rather 
than hourly basis and who have policymaking, managerial, professional, 
or supervisory responsibilities.
    (1) This definition includes--
    (i) The individuals who run the corporation's business such as 
officers, other executives, and plant, division, and section managers; 
and
    (ii) Individuals following the recognized professions, such as 
lawyers and engineers.
    (2) This definition does 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 or labor 
organization, such as consultants, but who are not employees, within the 
meaning of 26 CFR 31.3401(c)-1, of the corporation or labor organization 
for the purpose of income withholding tax on employee wages under 
Internal Revenue Code of 1954, section 3402.
    (3) Individuals on commission may be considered executive or 
administrative personnel if they have policymaking, managerial, 
professional, or supervisory responsibility and if the individuals are 
employees, within the meaning of 26 CFR 31.3401(c)-1 of the corporation 
for the purpose of income withholding tax on employee wages under the 
Internal Revenue Code of 1954, section 3402.
    (4) The Fair Labor Standards Act, 29 U.S.C. 201, et seq. and the 
regulations issued pursuant to that Act, 29 CFR part 541, may serve as a 
guideline in determining whether individuals have policymaking, 
managerial, professional, or supervisory responsibilities.
    (d) Labor organization means any organization of any kind, or any 
agency or employee representative committee or plan, in which employees 
participate and which exists for the purpose, in whole or in part, of 
dealing with employers concerning grievances, labor disputes, wages, 
rates of pay, hours of employment, or conditions of work.
    (e)(1) For purposes of this part membership organization means a 
trade association, cooperative, corporation without capital stock, or a 
local, national, or international labor organization that:
    (i) 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;
    (ii) Expressly states the qualifications and requirements for 
membership in its articles, bylaws, constitution or other formal 
organizational documents;
    (iii) Makes its articles, bylaws, constitution, or other formal 
organizational documents available to its members upon request;
    (iv) Expressly solicits persons to become members;
    (v) 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
    (vi) Is not organized primarily for the purpose of influencing the 
nomination

[[Page 207]]

for election, or election, of any individual to Federal office.
    (2) For purposes of this part, 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:
    (i) Have some significant financial attachment to the membership 
organization, such as a significant investment or ownership stake; or
    (ii) Pay membership dues at least annually, of a specific amount 
predetermined by the organization; or
    (iii) Have a significant organizational attachment to the membership 
organization which 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 directly for 
organization officers; 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.
    (3) Notwithstanding the requirements of paragraph (e)(2) 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 of the organization may be 
considered members for purposes of these rules.
    (4) Notwithstanding the requirements of paragraphs (e)(2)(i) through 
(iii) of this section, members of a local union are considered to be 
members of any national or international union of which the local union 
is a part and of any federation with which the local, national, or 
international union is affiliated.
    (5) In the case of a membership organization which 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 (e)(2)(i), (ii), or 
(iii) of this section shall also qualify as a member of all affiliates 
for purposes of this part. 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.
    (6) The status of a membership organization, and of members, for 
purposes of this part, shall be determined pursuant to paragraph (e)(1) 
of this section and not by provisions of state law governing trade 
associations, cooperatives, corporations without capital stock, or labor 
organizations.
    (f) Method of facilitating the making of contributions means the 
manner in which the contributions are received or collected such as, but 
not limited to, payroll deduction or checkoff systems, other periodic 
payment plans, or return envelopes enclosed in a solicitation request.
    (g) Method of soliciting voluntary contributions means the manner in 
which the solicitation is undertaken including, but not limited to, 
mailings, oral requests for contributions, and hand distribution of 
pamphlets.
    (h) 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.
    (i) Voluntary contributions are contributions which have been 
obtained by the separate segregated fund of a corporation or labor 
organization in a manner which is in compliance with Sec.  114.5(a) and 
which is in accordance with other provisions of the Act.
    (j) Restricted class. A corporation's restricted class is its 
stockholders and executive or administrative personnel, and their 
families, and the executive and administrative personnel of its

[[Page 208]]

subsidiaries, branches, divisions, and departments and their families. A 
labor organization's restricted class is its members and executive or 
administrative personnel, and their families. For communications under 
11 CFR 114.3, the restricted class of an incorporated membership 
organization, incorporated trade association, incorporated cooperative 
or corporation without capital stock is its members and executive or 
administrative personnel, and their families. (The solicitable class of 
a membership organization, cooperative, corporation without capital 
stock or trade association, as described in 11 CFR 114.7 and 114.8, may 
include some persons who are not considered part of the organization's 
restricted class, and may exclude some persons who are in the restricted 
class.)

(52 U.S.C. 30101(8)(B)(iii), 30102(c)(3), 30107(a)(8), 30111(a)(8), 
30118)

[41 FR 35955, Aug. 25, 1976, as amended at 44 FR 63045, Nov. 1, 1979; 45 
FR 15125, Mar. 7, 1980; 45 FR 21210, Apr. 1, 1980; 48 FR 50508, Nov. 2, 
1983; 57 FR 1640, Jan. 15, 1992; 58 FR 45775, Aug. 30, 1993; 59 FR 
33615, June 29, 1994; 60 FR 64273, Dec. 14, 1995; 64 FR 41273, July 30, 
1999; 67 FR 49120, July 29, 2002; 67 FR 78681, Dec. 26, 2002; 79 FR 
77849, Dec. 29, 2014; 80 FR 62817, Oct. 21, 2014]



Sec.  114.2  Prohibitions on contributions, expenditures and
electioneering communications.

    (a) National banks and corporations organized by authority of any 
law of Congress are prohibited from making a contribution, as defined in 
11 CFR 114.1(a), in connection with any election to any political 
office, including local, State and Federal offices, or in connection 
with any primary election or political convention or caucus held to 
select candidates for any political office, including any local, State 
or Federal office. National banks and corporations organized by 
authority of any law of Congress are prohibited from making expenditures 
as defined in 11 CFR 114.1(a) for communications to those outside the 
restricted class expressly advocating the election or defeat of one or 
more clearly identified candidate(s) or the candidates of a clearly 
identified political party, with respect to an election to any political 
office, including any local, State, or Federal office.
    (1) Such national banks and corporations may engage in the 
activities permitted by 11 CFR part 114, except to the extent that such 
activity constitutes a contribution, expenditure, or electioneering 
communication or is foreclosed by provisions of law other than the Act.
    (2) The provisions of 11 CFR part 114 apply to the activities of a 
national bank, or a corporation organized by any law of Congress, in 
connection with local, State and Federal elections.
    (b) Any corporation whatever or any labor organization is prohibited 
from making a contribution as defined in 11 CFR part 100, subpart B. Any 
corporation whatever or any labor organization is prohibited from making 
a contribution as defined in 11 CFR 114.1(a) in connection with any 
Federal election.

    Note to paragraph (b):
    Pursuant to SpeechNow.org v. FEC, 599 F.3d 686 (D.C. Cir. 2010) (en 
banc), and Carey v. FEC, 791 F. Supp. 2d 121 (D.D.C. 2011), corporations 
and labor organizations may make contributions to nonconnected political 
committees that make only independent expenditures, or to separate 
accounts maintained by nonconnected political committees for making only 
independent expenditures, notwithstanding 11 CFR 114.2(b) and 11 CFR 
114.10(a). The Commission has not conducted a rulemaking in response to 
these cases.

    (c) Disbursements by corporations and labor organizations for the 
election-related activities described in 11 CFR 114.3 and 114.4 will not 
cause those activities to be contributions when coordinated with any 
candidate, candidate's agent, candidate's authorized committee(s) or any 
party committee to the extent permitted in those sections. Coordination 
beyond that described in 11 CFR 114.3 and 114.4 shall not cause 
subsequent activities directed at the restricted class to be considered 
contributions. However, such coordination may be considered evidence 
that could negate the independence of subsequent communications to those 
outside the restricted class by the corporation, labor organization or 
its separate segregated fund, and could result in an in-kind 
contribution. See 11 CFR 100.16 regarding independent expenditures and 
coordination with candidates.

[[Page 209]]

    (d) A candidate, political committee, or other person is prohibited 
from knowingly accepting or receiving any contribution prohibited by 
this section.
    (e) No officer or director of any corporation or any national bank, 
and no officer of any labor organization shall consent to any 
contribution or expenditure by the corporation, national bank, or labor 
organization prohibited by this section.
    (f) Facilitating the making of contributions. (1) Corporations and 
labor organizations (including officers, directors or other 
representatives acting as agents of corporations and labor 
organizations) are prohibited from facilitating the making of 
contributions to candidates or political committees, other than to the 
separate segregated funds of the corporations and labor organizations. 
Facilitation means using corporate or labor organization resources or 
facilities to engage in fundraising activities in connection with any 
federal election, such as activities which go beyond the limited 
exemptions set forth in 11 CFR part 100, subparts B and C, part 100, 
subparts D and E, 114.9(a) through (c) and 114.13. A corporation does 
not facilitate the making of a contribution to a candidate or political 
committee if it provides goods or services in the ordinary course of its 
business as a commercial vendor in accordance with 11 CFR part 116 at 
the usual and normal charge.
    (2) Examples of facilitating the making of contributions include but 
are not limited to--
    (i) Fundraising activities by corporations (except commercial 
vendors) or labor organizations that involve--
    (A) Officials or employees of the corporation or labor organization 
ordering or directing subordinates or support staff (who therefore are 
not acting as volunteers) to plan, organize or carry out the fundraising 
project as a part of their work responsibilities using corporate or 
labor organization resources, unless the corporation or labor 
organization receives advance payment for the fair market value of such 
services;
    (B) Failure to reimburse a corporation or labor organization within 
a commercially reasonable time for the use of corporate facilities 
described in 11 CFR 114.9(d) in connection with such fundraising 
activities;
    (C) Using a corporate or labor organization list of customers, 
clients, vendors or others who are not in the restricted class to 
solicit contributions or distribute invitations to the fundraiser, 
unless the corporation or labor organization receives advance payment 
for the fair market value of the list;
    (D) Using meeting rooms that are not customarily made available to 
clubs, civic or community organizations or other groups; or
    (E) Providing catering or other food services operated or obtained 
by the corporation or labor organization, unless the corporation or 
labor organization receives advance payment for the fair market value of 
the services;
    (ii) Providing materials for the purpose of transmitting or 
delivering contributions, such as stamps, envelopes addressed to a 
candidate or political committee other than the corporation's or labor 
organization's separate segregated fund, or other similar items which 
would assist in transmitting or delivering contributions, but not 
including providing the address of the candidate or political committee;
    (iii) Soliciting contributions earmarked for a candidate that are to 
be collected and forwarded by the corporation's or labor organizations's 
separate segregated fund, except to the extent such contributions also 
are treated as contributions to and by the separate segregated fund; or
    (iv) Using coercion, such as the threat of a detrimental job action, 
the threat of any other financial reprisal, or the threat of force, to 
urge any individual to make a contribution or engage in fundraising 
activities on behalf of a candidate or political committee.
    (3) Facilitating the making of contributions does not include the 
following activities if conducted by a separate segregated fund--
    (i) Any activity specifically permitted under 11 CFR 110.1, 110.2, 
or 114.5 through 114.8, including soliciting contributions to a 
candidate or political committee, and making in kind contributions to a 
candidate or political committee; and

[[Page 210]]

    (ii) Collecting and forwarding contributions earmarked to a 
candidate in accordance with 11 CFR 110.6.
    (4) Facilitating the making of contributions also does not include 
the following activities if conducted by a corporation or labor 
organization--
    (i) Enrolling members of a corporation's or labor organization's 
restricted class in a payroll deduction plan or check-off system which 
deducts contributions from dividend or payroll checks to make 
contributions to the corporation's or labor organization's separate 
segregated fund or an employee participation plan pursuant to 11 CFR 
114.11;
    (ii) Soliciting contributions to be sent directly to candidates if 
the solicitation is directed to the restricted class, see 11 CFR 
114.1(a)(2)(i); and
    (iii) Soliciting contributions earmarked for a candidate that are to 
be collected and forwarded by the corporation's or labor organization's 
separate segregated fund, to the extent such contributions also are 
treated as contributions to and by the separate segregated fund.
    (5) Facilitating the making of contributions also does not include 
the provision of incidental services by a corporation to collect and 
forward contributions from its employee stockholders and executive and 
administrative personnel to the separate segregated fund of a trade 
association of which the corporation is a member, including collection 
through a payroll deduction or check-off system, pursuant to 11 CFR 
114.8(e)(4).

[60 FR 64274, Dec. 14, 1995, as amended at 67 FR 65211, Oct. 23, 2002; 
67 FR 78681, Dec. 26, 2002; 70 FR 41944, July 21, 2005; 72 FR 72913, 
Dec. 26, 2007; 79 FR 62817, Oct. 21, 2014; 81 FR 34864, June 1, 2016]



Sec.  114.3  Disbursements for communications to the restricted class in
connection with a Federal election.

    (a) General. (1) Corporations and labor organizations may make 
communications on any subject, including communications containing 
express advocacy, to their restricted class or any part of that class. 
Corporations and labor organizations may also make the communications 
permitted under 11 CFR 114.4 to their restricted class or any part of 
that class. The activities permitted under this section may involve 
election-related coordination with candidates and political committees. 
See 11 CFR 100.16 and 114.2(c) regarding independent expenditures and 
coordination with candidates.
    (2) Incorporated membership organizations, incorporated trade 
associations, incorporated cooperatives and corporations without capital 
stock may make communications to their restricted class, or any part of 
that class as permitted in paragraphs (a)(1) and (c) of this section.
    (b) Reporting communications containing express advocacy to the 
restricted class. Disbursements for communications expressly advocating 
the election or defeat of one or more clearly identified candidate(s) 
made by a corporation, including a corporation described in paragraph 
(a)(2) of this section, or labor organization to its restricted class 
shall be reported in accordance with 11 CFR 100.134(a) and 104.6.
    (c) Communications containing express advocacy. Communications 
containing express advocacy which may be made to the restricted class 
include, but are not limited to, the examples set forth in paragraphs 
(c)(1) through (c)(4) of this section.
    (1) Publications. Printed material expressly advocating the election 
or defeat of one or more clearly identified candidate(s) or candidates 
of a clearly identified political party may be distributed by a 
corporation or by a labor organization to its restricted class, provided 
that:
    (i) The material is produced at the expense of the corporation or 
labor organization; and
    (ii) The material constitutes a communication of the views of the 
corporation or the labor organization, and is not the republication or 
reproduction, in whole or in part, of any broadcast, transcript or tape 
or any written, graphic, or other form of campaign materials prepared by 
the candidate, his or her campaign committees, or their authorized 
agents. A corporation or labor organization may, under this section, use 
brief quotations from speeches or other materials of a candidate that 
demonstrate the candidate's position as part of the corporation's or

[[Page 211]]

labor organization's expression of its own views.
    (2) Candidate and party appearances. (i) A corporation may allow a 
candidate, candidate's representative or party representative to address 
its restricted class at a meeting, convention or other function of the 
corporation, but is not required to do so. A labor organization may 
allow a candidate or party representative to address its restricted 
class at a meeting, convention, or other function of the labor 
organization, but is not required to do so. A corporation or labor 
organization may bar other candidates for the same office or a different 
office and their representatives, and representatives of other parties 
addressing the restricted class. A corporation or labor organization may 
allow the presence of employees outside the restricted class of the 
corporation or labor organization who are necessary to administer the 
meeting, other guests of the corporation or labor organization who are 
being honored or speaking or participating in the event, and 
representatives of the news media.
    (ii) The candidate, candidate's representative or party 
representative may ask for contributions to his or her campaign or 
party, or ask that contributions to the separate segregated fund of the 
corporation or labor organization be designated for his or her campaign 
or party. The incidental solicitation of persons outside the 
corporation's or labor organization's restricted class who may be 
present at the meeting as permitted by this section will not be a 
violation of 11 CFR part 114. The candidate's representative or party 
representative (other than an officer, director or other representative 
of a corporation or official, member or employee of a labor 
organization) or the candidate, may accept contributions before, during 
or after the appearance at the meeting, convention or other function of 
the corporation or labor organization.
    (iii) The corporation or labor organization may suggest that members 
of its restricted class contribute to the candidate or party committee, 
but the collection of contributions by any officer, director or other 
representative of the corporation or labor organization before, during, 
or after the appearance while at the meeting, is an example of a 
prohibited facilitation of contributions under 11 CFR 114.2(f).
    (iv) If the corporation or labor organization permits more than one 
candidate for the same office, or more than one candidate's 
representative or party representative, to address its restricted class, 
and permits the news media to cover or carry an appearance by one 
candidate or candidate's representative or party representative, the 
corporation or labor organization shall also permit the news media to 
cover or carry the appearances by the other candidate(s) for that 
office, or the other candidates' representatives or party 
representatives. If the corporation or labor organization permits a 
representative of the news media to cover or carry a candidate or 
candidate's representative or party representative appearance, the 
corporation or labor organization shall provide all other 
representatives of the news media with equal access for covering or 
carrying that appearance. Equal access is provided by--
    (A) Providing advance information regarding the appearance to the 
representatives of the news media whom the corporation or labor 
organization customarily contacts and other representatives of the news 
media upon request; and
    (B) Allowing all representatives of the news media to cover or carry 
the appearance, through the use of pooling arrangements if necessary.
    (3) Phone banks. A corporation or a labor organization may establish 
and operate phone banks to communicate with its restricted class, urging 
them to register and/or vote for a particular candidate or candidates, 
or to register with a particular political party.
    (4) Registration and get-out-the-vote drives. (i) A corporation or 
labor organization may conduct voter registration and get-out-the-vote 
drives aimed at its restricted class, except as provided in paragraph 
(c)(4)(iii) of this section. Voter registration and get-out-the-vote 
drives include providing transportation to the place of registration

[[Page 212]]

and to the polls. Such drives may include communications containing 
express advocacy, such as urging individuals to register with a 
particular party or to vote for a particular candidate or candidates.
    (ii) Disbursements for a voter registration or get-out-the-vote 
drive conducted under paragraph (c)(4)(i) of this section are not 
contributions or expenditures if the drive is nonpartisan. See 52 U.S.C. 
30118(b)(2)(B). A drive is nonpartisan if it is conducted so that 
information and other assistance regarding registering or voting, 
including transportation and other services offered, is not withheld or 
refused on the basis of support for or opposition to particular 
candidates or a particular political party.
    (iii) A corporation or labor organization may make disbursements to 
conduct voter registration and get-out-the-vote drives that are aimed at 
its restricted class and that do not qualify as nonpartisan under 
paragraph (c)(4)(ii) of this section, provided that the disbursements do 
not constitute coordinated expenditures as defined in 11 CFR 109.20, 
coordinated communications as defined in 11 CFR 109.21, or contributions 
as defined in 11 CFR part 100, subpart B. See also note to 11 CFR 
114.2(b), 114.10(a).

[60 FR 64275, Dec. 14, 1995, as amended at 67 FR 78681, Dec. 26, 2002; 
79 FR 77849, Dec. 29, 2014; 79 FR 62817, Oct. 21, 2014]



Sec.  114.4  Disbursements for communications by corporations and labor
organizations beyond the restricted class in connection with a Federal
election.

    (a) General. A corporation or labor organization may communicate 
beyond the restricted class in accordance with this section. 
Communications that a corporation or labor organization may make only to 
its employees (including its restricted class) and their families, but 
not to the general public, are set forth in paragraph (b) of this 
section. Any communications that a corporation or labor organization may 
make to the general public under paragraph (c) of this section may also 
be made to the corporation's or labor organization's restricted class 
and to other employees and their families. Communications that a 
corporation or labor organization may make only to its restricted class 
are set forth at 11 CFR 114.3. The activities described in paragraphs 
(b) and (c) of this section may be coordinated with candidates and 
political committees only to the extent permitted by this section. For 
the otherwise applicable regulations regarding independent expenditures 
and coordination with candidates, see 11 CFR 100.16, 109.21, and 
114.2(c). Voter registration and get-out-the-vote drives as described in 
paragraph (d) of this section must not include coordinated expenditures 
as defined in 11 CFR 109.20, coordinated communications as defined in 11 
CFR 109.21, or contributions as defined in 11 CFR part 100, subpart B. 
See also note to 11 CFR 114.2(b), 114.10(a). Incorporated membership 
organizations, incorporated trade associations, incorporated 
cooperatives, and corporations without capital stock will be treated as 
corporations for the purpose of this section.
    (b) Communications by a corporation or labor organization to 
employees beyond its restricted class--(1) Candidate and party 
appearances on corporate premises or at a meeting, convention or other 
function. Corporations may permit candidates, candidates' 
representatives or representatives of political parties on corporate 
premises or at a meeting, convention, or other function of the 
corporation to address or meet its restricted class and other employees 
of the corporation and their families, in accordance with the conditions 
set forth in paragraphs (b)(1)(i) through (b)(1)(viii) of this section. 
Other guests of the corporation who are being honored or speaking or 
participating in the event and representatives of the news media may be 
present. A corporation may bar all candidates, candidates' 
representatives and representatives of political parties from addressing 
or meeting its restricted class and other employees of the corporation 
and their families on corporate premises or at any meeting, convention 
or other function of the corporation.
    (i) If a candidate for the House or Senate or a candidate's 
representative is permitted to address or meet employees, all candidates 
for that seat

[[Page 213]]

who request to appear must be given a similar opportunity to appear;
    (ii) If a Presidential or Vice Presidential candidate or candidate's 
representative is permitted to address or meet employees, all candidates 
for that office who are seeking the nomination or election, and who meet 
pre-established objective criteria under 11 CFR 110.13(c), and who 
request to appear must be given a similar opportunity to appear;
    (iii) If representatives of a political party are permitted to 
address or meet employees, representatives of all political parties 
which had a candidate or candidates on the ballot in the last general 
election or which are actively engaged in placing or will have a 
candidate or candidates on the ballot in the next general election and 
who request to appear must be given a similar opportunity to appear;
    (iv) The candidate's representative or party representative (other 
than an officer, director or other representative of a corporation) or 
the candidate, may ask for contributions to his or her campaign or 
party, or ask that contributions to the separate segregated fund of the 
corporation be designated for his or her campaign or party. The 
candidate, candidate's representative or party representative shall not 
accept contributions before, during or after the appearance while at the 
meeting, convention or other function of the corporation, but may leave 
campaign materials or envelopes for members of the audience. A 
corporation, its restricted class, or other employees of the corporation 
or its separate segregated fund shall not, either orally or in writing, 
solicit or direct or control contributions by members of the audience to 
any candidate or party in conjunction with any appearance by any 
candidate or party representative under this section, and shall not 
facilitate the making of contributions to any such candidate or party 
(see 11 CFR 114.2(f));
    (v) A corporation or its separate segregated fund shall not, in 
conjunction with any candidate, candidate representative or party 
representative appearance under this section, expressly advocate the 
election or defeat of any clearly identified candidate(s) or candidates 
of a clearly identified political party and shall not promote or 
encourage express advocacy by employees;
    (vi) No candidate, candidate's representative or party 
representative shall be provided with more time or a substantially 
better location than other candidates, candidates' representatives or 
party representatives who appear, unless the corporation is able to 
demonstrate that it is clearly impractical to provide all candidates, 
candidates' representatives and party representatives with similar times 
or locations;
    (vii) Coordination with each candidate, candidate's agent, and 
candidate's authorized committee(s) may include discussions of the 
structure, format and timing of the candidate appearance and the 
candidate's positions on issues, but shall not include discussions of 
the candidate's plans, projects, or needs relating to the campaign; and
    (viii) Representatives of the news media may be allowed to be 
present during a candidate, candidate representative or party 
representative appearance under this section, in accordance with the 
procedures set forth at 11 CFR 114.3(c)(2)(iv).
    (2) Candidate and party appearances on labor organization premises 
or at a meeting, convention or other function. A labor organization may 
permit candidates, candidates' representatives or representatives of 
political parties on the labor organization's premises or at a meeting, 
convention, or other function of the labor organization to address or 
meet its restricted class and other employees of the labor organization, 
and their families, in accordance with the conditions set forth in 
paragraphs (b)(1) (i) through (iii), (vi) through (viii), and paragraphs 
(b)(2) (i) and (ii) of this section. Other guests of the labor 
organization who are being honored or speaking or participating in the 
event and representatives of the news media may be present. A labor 
organization may bar all candidates, candidates' representatives and 
representatives of political parties from addressing or meeting its 
restricted class and

[[Page 214]]

other employees of the labor organization and their families on the 
labor organization's premises or at any meeting, convention or other 
function of the labor organization.
    (i) The candidate's representative or party representative (other 
than an official, member or employee of a labor organization) or the 
candidate, may ask for contributions to his or her campaign or party, or 
ask that contributions to the separate segregated fund of the labor 
organization be designated for his or her campaign or party. The 
candidate, candidate's representative or party representative shall not 
accept contributions before, during or after the appearance while at the 
meeting, convention or other function of the labor organization, but may 
leave campaign materials or envelopes for members of the audience. No 
official, member, or employee of a labor organization or its separate 
segregated fund shall, either orally or in writing, solicit or direct or 
control contributions by members of the audience to any candidate or 
party representative under this section, and shall not facilitate the 
making of contributions to any such candidate or party. See 11 CFR 
114.2(f).
    (ii) A labor organization or its separate segregated fund shall not, 
in conjunction with any candidate or party representative appearance 
under this section, expressly advocate the election or defeat of any 
clearly identified candidate(s), and shall not promote or encourage 
express advocacy by its members or employees.
    (c) Communications by a corporation or labor organization to the 
general public--(1) General. A corporation or labor organization may 
make independent expenditures or electioneering communications pursuant 
to 11 CFR 114.10. This section addresses specific communications, 
described in paragraphs (c)(2) through (c)(7) of this section, that a 
corporation or labor organization may make to the general public. The 
general public includes anyone who is not in the corporation's or labor 
organization's restricted class. The preparation, contents, and 
distribution of any of the communications described in paragraphs (2) 
through (6) below must not include coordinated expenditures as defined 
in 11 CFR 109.20, coordinated communications as defined in 11 CFR 
109.21, or contributions as defined in 11 CFR part 100, subpart B. See 
also note to 11 CFR 114.2(b), 114.10(a).
    (2) Voter registration and get-out-the-vote communications. (i) A 
corporation or labor organization may make voter registration and get-
out-the-vote communications to the general public.
    (ii) Disbursements for the activity described in paragraph (c)(2)(i) 
of this section are not contributions or expenditures, provided that:
    (A) The voter registration and get-out-the-vote communications to 
the general public do not expressly advocate the election or defeat of 
any clearly identified candidate(s) or candidates of a clearly 
identified political party; and
    (B) The preparation and distribution of voter registration and get-
out-the-vote communications is not coordinated with any candidate(s) or 
political party.
    (3) Official registration and voting information. (i) A corporation 
or labor organization may distribute to the general public, or reprint 
in whole and distribute to the general public, any registration or 
voting information, such as instructional materials, that has been 
produced by the official election administrators.
    (ii) A corporation or labor organization may distribute official 
registration-by-mail forms to the general public. A corporation or labor 
organization may distribute absentee ballots to the general public if 
permitted by the applicable State law.
    (iii) A corporation or labor organization may donate funds to State 
or local government agencies responsible for the administration of 
elections to help defray the costs of printing or distributing voter 
registration or voting information and forms.
    (iv) Disbursements for the activity described in paragraphs 
(c)(3)(i) through (iii) of this section are not contributions or 
expenditures, provided that:
    (A) The corporation or labor organization does not, in connection 
with any such activity, expressly advocate the election or defeat of any 
clearly identified candidate(s) or candidates of a

[[Page 215]]

clearly identified political party and does not encourage registration 
with any particular political party; and
    (B) The reproduction and distribution of registration or voting 
information and forms is not coordinated with any candidate(s) or 
political party.
    (4) Voting records. (i) A corporation or labor organization may 
prepare and distribute to the general public the voting records of 
Members of Congress.
    (ii) Disbursements for the activity described in paragraph (c)(4)(i) 
of this section are not contributions or expenditures, provided that:
    (A) The voting records of Members of Congress and all communications 
distributed with it do not expressly advocate the election or defeat of 
any clearly identified candidate(s) or candidates of a clearly 
identified political party; and
    (B) The decision on content and the distribution of voting records 
is not coordinated with any candidate, group of candidates, or political 
party.
    (5) Voter guides. (i) A corporation or labor organization may 
prepare and distribute to the general public voter guides, including 
voter guides obtained from a nonprofit organization that is described in 
26 U.S.C. 501(c)(3) or (c)(4).
    (ii) Disbursements for the activity described in paragraph (c)(5)(i) 
of this section are not contributions or expenditures, provided that the 
voter guides comply with either paragraph (c)(5)(ii)(A) or 
(c)(5)(ii)(B)(1) through (5) of this section:
    (A) The corporation or labor organization does not act in 
cooperation, consultation, or concert with or at the request or 
suggestion of the candidates, the candidates' committees or agents 
regarding the preparation, contents and distribution of the voter guide, 
and no portion of the voter guide expressly advocates the election or 
defeat of one or more clearly identified candidate(s) or candidates of 
any clearly identified political party; or
    (B)(1) The corporation or labor organization does not act in 
cooperation, consultation, or concert with or at the request or 
suggestion of the candidates, the candidates' committees or agents 
regarding the preparation, contents and distribution of the voter guide;
    (2) All of the candidates for a particular seat or office are 
provided an equal opportunity to respond, except that in the case of 
Presidential and Vice Presidential candidates the corporation or labor 
organization may choose to direct the questions only to those candidates 
who--
    (i) Are seeking the nomination of a particular political party in a 
contested primary election; or
    (ii) Appear on the general election ballot in the state(s) where the 
voter guide is distributed or appear on the general election ballot in 
enough states to win a majority of the electoral votes;
    (3) No candidate receives greater prominence in the voter guide than 
other participating candidates, or substantially more space for 
responses;
    (4) The voter guide and its accompanying materials do not contain an 
electioneering message; and
    (5) The voter guide and its accompanying materials do not score or 
rate the candidates' responses in such a way as to convey an 
electioneering message.
    (6) Endorsements. (i) A corporation or labor organization may 
endorse a candidate, and may communicate the endorsement to the 
restricted class and the general public. The Internal Revenue Code and 
regulations promulgated thereunder should be consulted regarding 
restrictions or prohibitions on endorsements by nonprofit corporations 
described in 26 U.S.C. 501(c)(3).
    (ii) Disbursements for announcements of endorsements to the general 
public are not contributions or expenditures, provided that:
    (A) The public announcement is not coordinated with a candidate, a 
candidate's authorized committee, or their agents; and
    (B) Disbursements for any press release or press conference to 
announce the endorsement are de minimis. Such disbursements shall be 
considered de minimis if the press release and notice of the press 
conference are distributed only to the representatives of the news media 
that the corporation or labor organization customarily contacts when 
issuing non-political press releases or holding press conferences for 
other purposes.

[[Page 216]]

    (iii) Disbursements for announcements of endorsements to the 
restricted class may be coordinated pursuant to 114.3(a) and are not 
contributions or expenditures provided that no more than a de minimis 
number of copies of the publication that includes the endorsement are 
circulated beyond the restricted class.
    (7) Candidate appearances on educational institution premises--(i) 
Rental of facilities at usual and normal charge. Any incorporated 
nonprofit educational institution exempt from federal taxation under 26 
U.S.C. 501(c)(3), such as a school, college or university, may make its 
facilities available to any candidate or political committee in the 
ordinary course of business and at the usual and normal charge. In this 
event, the requirements of paragraph (c)(7)(ii) of this section are not 
applicable.
    (ii) Use of facilities at no charge or at less than the usual and 
normal charge. An incorporated nonprofit educational institution exempt 
from federal taxation under 26 U.S.C. 501(c)(3), such as a school, 
college or university, may sponsor appearances by candidates, 
candidates' representatives or representatives of political parties at 
which such individuals address or meet the institution's academic 
community or the general public (whichever is invited) on the 
educational institution's premises at no charge or at less than the 
usual and normal charge, if:
    (A) The educational institution makes reasonable efforts to ensure 
that the appearances constitute speeches, question and answer sessions, 
or similar communications in an academic setting, and makes reasonable 
efforts to ensure that the appearances are not conducted as campaign 
rallies or events; and
    (B) The educational institution does not, in conjunction with the 
appearance, expressly advocate the election or defeat of any clearly 
identified candidate(s) or candidates of a clearly identified political 
party, and does not favor any one candidate or political party over any 
other in allowing such appearances.
    (d) Voter registration and get-out-the-vote drives--(1) Voter 
registration and get-out-the-vote drives permitted. A corporation or 
labor organization may support or conduct voter registration and get-
out-the-vote drives that are aimed at employees outside its restricted 
class and the general public. Voter registration and get-out-the-vote 
drives include providing transportation to the polls or to the place of 
registration.
    (2) Disbursements for certain voter registration and get-out-the-
vote drives not expenditures. Voter registration or get-out-the-vote 
drives that are conducted in accordance with paragraphs (d)(2)(i) 
through (d)(2)(v) of this section are not expenditures.
    (i) The corporation or labor organization shall not make any 
communication expressly advocating the election or defeat of any clearly 
identified candidate(s) or candidates of a clearly identified political 
party as part of the voter registration or get-out-the-vote drive.
    (ii) The voter registration drive shall not be directed primarily to 
individuals previously registered with, or intending to register with, 
the political party favored by the corporation or labor organization. 
The get-out-the-vote drive shall not be directed primarily to 
individuals currently registered with the political party favored by the 
corporation or labor organization.
    (iii) These services shall be made available without regard to the 
voter's political preference. Information and other assistance regarding 
registering or voting, including transportation and other services 
offered, shall not be withheld or refused on the basis of support for or 
opposition to particular candidates or a particular political party.
    (iv) Individuals conducting the voter registration or get-out-the-
vote drive shall not be paid on the basis of the number of individuals 
registered or transported who support one or more particular candidates 
or political party.
    (v) The corporation or labor organization shall notify those 
receiving information or assistance of the requirements of paragraph 
(d)(2)(iii) of this section. The notification shall be made in writing 
at the time of the registration or get-out-the-vote drive.

[[Page 217]]

    (e) Incorporated membership organizations, incorporated trade 
associations, incorporated cooperatives and corporations without capital 
stock. An incorporated membership organization, incorporated trade 
association, incorporated cooperative or corporation without capital 
stock may permit candidates, candidates' representatives or 
representatives of political parties to address or meet members and 
employees of the organization, and their families, on the organization's 
premises or at a meeting, convention or other function of the 
organization, in accordance with the conditions set forth in paragraphs 
(b)(1) (i) through (viii) of this section.
    (f) Candidate debates. (1) A nonprofit organization described in 11 
CFR 110.13(a)(1) may use its own funds and may accept funds donated by 
corporations or labor organizations under paragraph (f)(3) of this 
section to defray costs incurred in staging candidate debates held in 
accordance with 11 CFR 110.13.
    (2) A broadcaster (including a cable television operator, programmer 
or producer), bona fide newspaper, magazine or other periodical 
publication may use its own funds to defray costs incurred in staging 
public candidate debates held in accordance with 11 CFR 110.13.
    (3) A corporation or labor organization may donate funds to 
nonprofit organizations qualified under 11 CFR 110.13(a)(1) to stage 
candidate debates held in accordance with 11 CFR 110.13 and 114.4(f).

[60 FR 64276, Dec. 14, 1995, as amended at 61 FR 18051, Apr. 24, 1996; 
67 FR 78681, Dec. 26, 2002; 68 FR 457, Jan. 3, 2003; 72 FR 72913, Dec. 
26, 2007; 79 FR 62817, Oct. 21, 2014]



Sec.  114.5  Separate segregated funds.

    (a) Voluntary contributions to a separate segregated fund. (1) A 
separate segregated fund is prohibited from making a contribution or 
expenditure by utilizing money or anything of value secured by physical 
force, job discrimination, financial reprisals, or the threat of force, 
job discrimination, or financial reprisal; or by dues, fees, or other 
monies required as a condition of membership in a labor organization or 
as a condition of employment or by monies obtained in any commercial 
transaction. For purposes of this section, fees or monies paid as a 
condition of acquiring or retaining membership or employment are monies 
required as a condition of membership or employment even though they are 
refundable upon request of the payor.
    (2) A guideline for contributions may be suggested by a corporation 
or a labor organization, or the separate segregated fund of either, 
provided that the person soliciting or the solicitation informs the 
persons being solicited--
    (i) That the guidelines are merely suggestions; and
    (ii) That an individual is free to contribute more or less than the 
guidelines suggest and the corporation or labor organization will not 
favor or disadvantage anyone by reason of the amount of their 
contribution or their decision not to contribute.

A corporation or labor organization or the separate segregated fund of 
either may not enforce any guideline for contributions.
    (3) Any person soliciting an employee or member for a contribution 
to a separate segregated fund must inform such employee or member of the 
political purposes of the fund at the time of the solicitation.
    (4) Any persons soliciting an employee or member for a contribution 
to a separate segregated fund must inform the employee or member at the 
time of such solicitation of his or her right to refuse to so contribute 
without any reprisal.
    (5) Any written solicitation for a contribution to a separate 
segregated fund which is addressed to an employee or member must contain 
statements which comply with the requirements of paragraphs (a) (3) and 
(4) of this section, and if a guideline is suggested, statements which 
comply with the requirements of paragraph (a)(2) of this section.
    (b) Use of treasury monies. Corporations, labor organizations, 
membership organizations, cooperatives, or corporations without capital 
stock may use general treasury monies, including monies obtained in 
commercial transactions and dues monies or membership fees, for the 
establishment, administration, and solicitation of contributions to its 
separate segregated fund. A

[[Page 218]]

corporation, labor organization, membership organization, cooperative, 
or corporation without capital stock may not use the establishment, 
administration, and solicitation process as a means of exchanging 
treasury monies for voluntary contributions.
    (1) A contributor may not be paid for his or her contribution 
through a bonus, expense account, or other form of direct or indirect 
compensation.
    (2) A corporation, labor organization, membership organization, 
cooperative, or corporation without capital stock may, subject to the 
provisions of 39 U.S.C. 3005 and chapter 61, title 18, United States 
Code, utilize a raffle or other fundraising device which involves a 
prize, so long as State law permits and the prize is not 
disproportionately valuable. Dances, parties, and other types of 
entertainment may also be used as fundraising devices. When using 
raffles or entertainment to raise funds, a reasonable practice to follow 
is for the separate segregated fund to reimburse the corporation or 
labor organization for costs which exceed one-third of the money 
contributed.
    (3) If the separate segregated fund pays any solicitation or other 
administrative expense from its own account, which expense could be paid 
for as an administrative expense by the collecting agent, the collecting 
agent may reimburse the separate segregated fund no later than 30 
calendar days after the expense was paid by the separate segregated 
fund.
    (c) Membership in separate segregated funds. (1) A separate 
segregated fund established by a corporation, labor organization, 
membership organization, cooperative, or corporation without capital 
stock may provide that persons who contribute a certain amount to its 
separate segregated fund will become members of its separate segregated 
fund, so long as--
    (i) The fund accepts contributions of all amounts, subject to the 
limitations of part 110;
    (ii) Subject to paragraph (c)(1)(iii) of this section, nothing of 
value may be given in return for or in the course of membership;
    (iii) The fund may use membership status for intangible privileges 
such as allowing members only to choose the candidates to whom the fund 
will contribute.
    (2) The fact that the separate segregated fund of a corporation, 
labor organization, membership organization, cooperative, or corporation 
without capital stock is a membership group does not provide the 
corporation, labor organization, membership organization, cooperative, 
or corporation without capital stock with any greater right of 
communication or solicitation than the corporation, labor organization, 
membership organization, cooperative, or corporation without capital 
stock is otherwise granted under this part.
    (d) Control of funds. A corporation, membership organization, 
cooperative, corporation without capital stock, or labor organization 
may exercise control over its separate segregated fund.
    (e) Disclosure. Separate segregated funds are subject to the 
following disclosure requirements:
    (1) A corporation or labor organization is not required to report 
any payment made or obligation incurred which is not a contribution or 
expenditure, as defined in Sec.  114.1(a), except those reporting 
requirements specifically set forth in this section.
    (2) A membership organization or corporation is not required to 
report the cost of any communication to its members or stockholders or 
executive or administrative personnel, if such membership organization 
or corporation is not organized primarily for the purpose of influencing 
the nomination for election, or election, of any person to Federal 
office, except that--
    (i) The costs incurred by a membership organization, including a 
labor organization, or by a corporation, directly attributable to a 
communication expressly advocating the election or defeat of a clearly 
identified candidate (other than a communication primarily devoted to 
subjects other than the express advocacy of the election or defeat of a 
clearly identified candidate) shall, if those costs exceed $2,000 per 
election, be reported in accordance with 11 CFR 100.134(a); and
    (ii) The amounts paid or incurred for legal or accounting services 
rendered to or on behalf of a candidate or political committee solely 
for the purpose

[[Page 219]]

of ensuring compliance with the provisions of the Act or chapter 95 or 
96 of the Internal Revenue Code of 1954 paid by a corporation or labor 
organization which is the regular employer of the individual rendering 
such services, shall be reported in accordance with the provisions of 
part 104.
    (3) A separate segregated fund is subject to all other disclosure 
requirements of political committees as set forth in part 104.
    (f) Contribution limits. Separate segregated funds are subject to 
the contribution limitations for political committees set forth in part 
110. (See particularly Sec.  110.3).
    (g) Solicitations. Except as specifically provided in Sec. Sec.  
114.6, 114.7, and 114.8, a corporation and/or its separate segregated 
fund or a labor organization and/or its separate segregated fund is 
subject to the following limitations on solicitations:
    (1) A corporation or a separate segregated fund established by a 
corporation is prohibited from soliciting contributions to such fund 
from any person other than its stockholders and their families and its 
executive or administrative personnel and their families. A corporation 
may solicit the executive or administrative personnel of its 
subsidiaries, branches, divisions, and affiliates and their families. 
For purposes of this section, the factors set forth at 11 CFR 
100.5(g)(4) shall be used to determine whether an organization is an 
affiliate of a corporation.
    (2) A labor organization, or a separate segregated fund established 
by a labor organization is prohibited from soliciting contributions to 
such a fund from any person other than its members and executive or 
administrative personnel, and their families.
    (h) Accidental or inadvertent solicitation. Accidental or 
inadvertent solicitation by a corporation or labor organization, or the 
separate segregated fund of either, of persons apart from and beyond 
those whom it is permitted to solicit will not be deemed a violation, 
provided that such corporation or labor organization or separate 
segregated fund has used its best efforts to comply with the limitations 
regarding the persons it may solicit and that the method of solicitation 
is corrected forthwith after the discovery of such erroneous 
solicitation.
    (i) Communications paid for with voluntary contributions. A separate 
segregated fund may, using voluntary contributions, communicate with the 
general public, except that such communications may not solicit 
contributions to a separate segregated fund established by a 
corporation, labor organization, membership organization, cooperative, 
or corporation without capital stock, unless such solicitation is 
permitted under paragraph (g) of this section.
    (j) Acceptance of contributions. A separate segregated fund may 
accept contributions from persons otherwise permitted by law to make 
contributions.
    (k) Availability of methods. Any corporation, including its 
subsidiaries, branches, divisions, and affiliates, that uses a method of 
soliciting voluntary contributions or facilitating the making of 
voluntary contributions from its stockholders or executive or 
administrative personnel and their families, shall make that method 
available to a labor organization representing any members working for 
the corporation, its subsidiaries, branches, divisions, and affiliates 
for soliciting voluntary contributions or facilitating the making of 
voluntary contributions from its members and their families. Such method 
shall be made available on the written request of the labor organization 
and at a cost sufficient only to reimburse the corporation for the 
expenses incurred thereby. For example--
    (1) If a corporation, including its subsidiaries, branches, 
divisions, or affiliates utilizes a payroll deduction plan, check-off 
system, or other plan which deducts contributions from the dividend or 
payroll checks of stockholders or executive or administrative personnel, 
the corporation shall, upon written request of the labor organization, 
make that method available to members of the labor organization working 
for the corporation, its subsidiaries, branches, divisions, or 
affiliates, who wish to contribute to the separate segregated fund of 
the labor organization representing any members working for the 
corporation, or any of its subsidiaries, branches, divisions, or 
affiliates. The corporation shall make

[[Page 220]]

the payroll deduction plan available to the labor organization at a cost 
sufficient only to reimburse the corporation for the actual expenses 
incurred thereby.
    (2) If a corporation uses a computer for addressing envelopes or 
labels for a solicitation to its stockholders or executive or 
administrative personnel, the corporation shall, upon written request, 
program the computer to enable the labor organization to solicit its 
members. The corporation shall charge the labor organization a cost 
sufficient only to reimburse the corporation for the actual expenses 
incurred in programming the computers and the allocated cost of employee 
time relating to the work, and the materials used.
    (3) If a corporation uses corporate facilities, such as a company 
dining room or cafeteria, for meetings of stockholders or executive or 
administrative personnel at which solicitations are made, the 
corporation shall upon written request of the labor organization allow 
that labor organization to use existing corporate facilities for 
meetings to solicit its members. The labor organization shall be 
required to reimburse the corporation for any actual expenses incurred 
thereby, such as any increase in the overhead to the corporation and any 
cost involved in setting up the facilities.
    (4) If a corporation uses no method to solicit voluntary 
contributions or to facilitate the making of voluntary contributions 
from stockholders or executive or administrative personnel, it is not 
required by law to make any method available to the labor organization 
for its members. The corporation and the labor organization may agree 
upon making any lawful method available even though such agreement is 
not required by the Act.
    (5) The availability of methods of twice yearly solicitations is 
subject to the provisions of Sec.  114.6(e).
    (l) Methods permitted by law to labor organizations. Notwithstanding 
any other law, any method of soliciting voluntary contributions or of 
facilitating the making of voluntary contributions to a separate 
segregated fund established by a corporation, permitted by law to 
corporations with regard to stockholders and executive or administrative 
personnel, shall also be permitted to labor organizations with regard to 
their members and executive or administrative personnel.

(52 U.S.C. 30118, 30107(a)(8))

[41 FR 35955, Aug. 25, 1976, as amended at 45 FR 21210, Apr. 1, 1980; 48 
FR 26303, June 7, 1983; 48 FR 50508, Nov. 2, 1983; 54 FR 34114, Aug. 17, 
1989; 54 FR 48580, Nov. 24, 1989; 67 FR 78681, Dec. 26, 2002]



Sec.  114.6  Twice yearly solicitations.

    (a) A corporation and/or its separate segregated fund may make a 
total of two written solicitations for contributions to its separate 
segregated fund per calendar year of its employees other than 
stockholders, executive or administrative personnel, and their families. 
Employees as used in this section does not include former or retired 
employees who are not stockholders. Nothing in this paragraph shall 
limit the number of solicitations a corporation may make of its 
stockholders and executive or administrative personnel under Sec.  
114.5(g).
    (b) A labor organization and/or its separate segregated fund may 
make a total of two written solicitations per calendar year of employees 
who are not members of the labor organization, executive or 
administrative personnel, or stockholders (and their families) of a 
corporation in which the labor organization represents members working 
for the corporation. Nothing in this paragraph shall limit the number of 
solicitations a labor organization may make of its members under Sec.  
114.5(g).
    (c) Written solicitation. A solicitation under this section may be 
made only by mail addressed to stockholders, executive or administrative 
personnel, or employees at their residences. All written solicitations 
must inform the recipient--
    (1) Of the existence of the custodial arrangement described 
hereinafter;
    (2) That the corporation, labor organization, or the separate 
segregated fund of either cannot be informed of persons who do not make 
contributions; and
    (3) That persons who, in a calendar year make a single contribution 
of $50 or less, or multiple contributions aggregating $200 or less may 
maintain

[[Page 221]]

their anonymity by returning their contributions to the custodian.
    (d) The custodial arrangement. In order to maintain the anonymity of 
persons who do not wish to contribute and of persons who wish to respond 
with a single contribution of $50 or less, or multiple contributions 
aggregating $200 or less in a calendar year, and to satisfy the 
recordkeeping provisions, the corporation, labor organization, or 
separate segregated fund of either shall establish a custodial 
arrangement for collecting the contributions under this section.
    (1) The custodian for a separate segregated fund established by a 
corporation shall not be a stockholder, officer, executive or 
administrative personnel, or employee of the corporation, or an officer, 
or employee of its separate segregated fund. The custodian for a 
separate segregated fund established by a labor organization shall not 
be a member, officer or employee of the labor organization or its 
separate segregated fund.
    (2) The custodian shall keep the records of contributions received 
in accordance with the requirements of part 102 and shall also--
    (i) Establish a separate account and deposit contributions in 
accordance with the provisions of part 103;
    (ii) Provide the fund with the identification of any person who 
makes a single contribution of more than $50 and the identification of 
any person who makes multiple contributions aggregating more than $200. 
The custodian must provide this information within a reasonable time 
prior to the reporting date of the fund under part 104;
    (iii) Periodically forward all funds in the separate account, by 
check drawn on that account, to the separate segregated fund; and
    (iv) Treat all funds which appear to be illegal in accordance with 
the provisions of Sec.  103.3(b).
    (3) The custodian shall not--
    (i) Make the records of persons making a single contribution of $50 
or less, or multiple contributions aggregating $200 or less, in a 
calendar year, available to any person other than representatives of the 
Federal Election Commission or the Secretary of the Senate, as 
appropriate, and law enforcement officials or judicial bodies.
    (ii) Provide the corporation or labor organization or the separate 
segregated fund of either with any information pertaining to persons 
who, in a calendar year, make a single contribution of $50 or less or 
multiple contributions aggregating $200 or less except that the 
custodian may forward to the corporation, labor organization or separate 
segregated fund of either the total number of contributions received; or
    (iii) Provide the corporation, labor organization, or the separate 
segregated fund of either with any information pertaining to persons who 
have not contributed.
    (4) The corporation, labor organization, or the separate segregated 
fund of either shall provide the custodian with a list of all 
contributions, indicating the contributor's identification and amount 
contributed, which have been made directly to the separate segregated 
fund by any person within the group of persons solicited under this 
section.
    (5) Notwithstanding the prohibitions of paragraph (d)(1) of this 
section, the custodian may be employed by the separate segregated fund 
as its treasurer and may handle all of its contributions, provided that 
the custodian preserves the anonymity of the contributors as required by 
this section. The custodian shall file the required reports with the 
Federal Election Commission or the Secretary of the Senate, as 
appropriate. A custodian who serves as treasurer is subject to all of 
the duties, responsibilities, and liabilities of a treasurer under the 
Act, and may not participate in the decision making process whereby the 
separate segregated fund makes contributions and expenditures.
    (e) Availability of methods. (1) A corporation or labor organization 
or the separate segregated fund of either may not use a payroll 
deduction plan, a check-off system, or other plan which deducts 
contributions from an employee's paycheck as a method of facilitating 
the making of contributions under this section.
    (2) The twice yearly solicitation may only be used by a corporation 
or labor organization to solicit contributions to

[[Page 222]]

its separate segregated fund and may not be used for any other purpose.
    (3) A corporation is required to make available to a labor 
organization representing any members working for the corporation or its 
subsidiaries, branches, divisions, or affiliates the method which the 
corporation uses to solicit employees under this section during any 
calendar year.
    (i) If the corporation uses a method to solicit any employees under 
this section, the corporation is required to make that method available 
to the labor organization to solicit the employees of the corporation 
who are not represented by that labor organization, and the executive or 
administrative personnel and the stockholders of the corporation and 
their families.
    (ii) If the corporation does not wish to disclose the names and 
addresses of stockholders or employees, the corporation shall make the 
names and addresses of stockholders and employees available to an 
independent mailing service which shall be retained to make the mailing 
for both the corporation and the labor organization for any mailings 
under this section.
    (iii) If the corporation makes no solicitation of employees under 
this section during the calendar year, the corporation is not required 
to make any method or any names and addresses available to any labor 
organization.
    (4) The corporation shall notify the labor organization of its 
intention to make a solicitation under this section during a calendar 
year and of the method it will use, within a reasonable time prior to 
the solicitation, in order to allow the labor organization opportunity 
to make a similar solicitation.
    (5) If there are several labor organizations representing members 
employed at a single corporation, its subsidiaries, branches, divisions, 
or affiliates, the labor organizations, either singularly or jointly, 
may not make a combined total of more than two written solicitations per 
calendar year. A written solicitation may contain a request for 
contributions to each separate fund established by the various labor 
organizations making the combined mailing.

(52 U.S.C. 30101(8)(B)(iii), 30102(c)(3), 30111(a)(8))

[41 FR 35955, Aug. 25, 1976, as amended at 45 FR 15125, Mar. 7, 1980; 61 
FR 3550, Feb. 1, 1996]



Sec.  114.7  Membership organizations, cooperatives, or corporations
without capital stock.

    (a) Membership organizations, cooperatives, or corporations without 
capital stock, or separate segregated funds established by such persons 
may solicit contributions to the fund from members and executive or 
administrative personnel, and their families, of the organization, 
cooperative, or corporation without capital stock.
    (b) Nothing in this section waives the prohibition on contributions 
to the separate segregated fund by corporations, national banks, or 
labor organizations which are members of a membership organization, 
cooperative, or corporation without capital stock.
    (c) A trade association whose membership is made up in whole or in 
part of corporations is subject to the provisions of Sec.  114.8 when 
soliciting any stockholders or executive or administrative personnel of 
member corporations. A trade association which is a membership 
organization may solicit its noncorporate members under the provisions 
of this section.
    (d) The question of whether a professional organization is a 
corporation is determined by the law of the State in which the 
professional organization exists.
    (e) There is no limitation upon the number of times an organization 
under this section may solicit its members and executive or 
administrative personnel, and their families.
    (f) There is no limitation under this section on the method of 
solicitation or the method of facilitating the making of voluntary 
contributions which may be used.
    (g) A membership organization, cooperative, or corporation without 
capital stock and the separate segregated funds of the organizations are 
subject to the provisions in Sec.  114.5(a).
    (h) A membership organization, cooperative, or corporation without 
capital

[[Page 223]]

stock may communicate with its members and executive or administrative 
personnel, and their families, under the provisions of Sec.  114.3.
    (i) A mutual life insurance company may solicit its policyholders if 
the policyholders are members within the organizational structure.
    (j) A membership organization, including a trade association, 
cooperative, or corporation without capital stock or a separate 
segregated fund established by such organization may not solicit 
contributions from the separate segregated funds established by its 
members. The separate segregated fund established by a membership 
organization, including a trade association, cooperative, or corporation 
without capital stock may, however, accept unsolicited contributions 
from the separate segregated funds established by its members.
    (k)(1) A federated cooperative as defined in the Agricultural 
Marketing Act of 1929, 12 U.S.C. 1141j, or a rural cooperative eligible 
for assistance under chapter 31 or title 7 of the United States Code, 
may solicit the members of the cooperative's regional, state or local 
affiliates, provided that all of the political committees established, 
financed, maintained or controlled by the cooperative and its regional, 
State or local affiliates are considered one political committee for the 
purposes of the limitations in 11 CFR 110.1 and 110.2.
    (2) A cooperative as described in paragraph (k)(1) of this section 
may make communications to its members under the provisions of 11 CFR 
114.3.

(52 U.S.C. 30118, 30107(a)(8))

[41 FR 35955, Aug. 25, 1976, as amended at 48 FR 50508, Nov. 2, 1983; 58 
FR 45775, Aug. 30, 1993]



Sec.  114.8  Trade associations.

    (a) Definition. A trade association is generally a membership 
organization of persons engaging in a similar or related line of 
commerce, organized to promote and improve business conditions in that 
line of commerce and not to engage in a regular business of a kind 
ordinarily carried on for profit, and no part of the net earnings of 
which inures to the benefit of any member.
    (b) Prohibition. Nothing in this section waives the prohibition on 
contributions by corporations which are members of a trade association.
    (c) Limitations. A trade association or a separate segregated fund 
established by a trade association may solicit contributions from the 
stockholders and executive or administrative personnel of the member 
corporations of such trade association and the families of such 
stockholders and personnel if--
    (1) The member corporation involved has separately and specifically 
approved the solicitations; and
    (2) The member corporation has not approved a solicitation by any 
other trade association for the same calendar year.
    (d) Separate and specific approval. (1) The member corporation must 
knowingly and specifically approve any solicitation for a trade 
association, whether the solicitation is done by the trade association, 
its separate segregated fund, or the corporation or any of its 
personnel, for contributions to the trade association's separate 
segregated fund.
    (2) A copy of each approved request received by a trade association 
or its separate segregated fund shall be maintained by the trade 
association or its fund for three years from the year for which the 
approval is given.
    (3) The request for approval may contain a copy of solicitation 
materials which will be used if approval is granted. Such a mailing must 
specifically indicate the requirement of approval and the limitation of 
paragraph (c)(2) of this section, and approval must be granted to the 
trade association or its separate segregated fund prior to the time any 
solicitation is made of the stockholders or executive or administrative 
personnel by the trade association, its separate segregated fund, or by 
the corporation for contributions to the separate segregated fund of the 
trade association. (The request for approval may be sent to the 
representatives of the corporation with whom the trade association 
normally conducts the association's activities.)
    (4) A separate authorization specifically allowing a trade 
association to

[[Page 224]]

solicit its corporate member's stockholders, and executive or 
administrative personnel applies through the calendar year for which it 
is designated. A separate authorization by the corporate member must be 
designated for each year during which the solicitation is to occur. This 
authorization may be requested and may also be received prior to the 
calendar year in which the solicitation is to occur.
    (5) In its request to a member corporation, a trade association may 
indicate that it intends to solicit, for example, a limited class of the 
executive or administrative personnel of the member corporation, or only 
the executive or administrative personnel but not the stockholders of 
the member corporation. Moreover, in its approval, a member corporation 
may similarly limit any solicitation by the trade association or its 
separate segregated fund. In any event, a member corporation, once it 
has approved any solicitation--even to a limited extent--of its 
personnel or stockholders by a trade association or its separate 
segregated fund, is precluded from approving any such solicitation by 
another trade association or its separate segregated fund and the 
corporation and its personnel are precluded from soliciting the 
corporation's executive or administrative personnel or stockholders on 
behalf of another trade association or its separate segregated fund.
    (e) Solicitation. (1) After a trade association has obtained the 
approval required in paragraph (c) of this section, there is no limit on 
the number of times the trade association or its separate segregated 
fund may solicit the persons approved by the member corporation during 
the calendar year to which the approval applies. The member corporation 
may, however, in its approval limit the number of times solicitations 
may be made.
    (2) A member corporation which grants permission to a trade 
association to solicit is in no way restricted in its rights under Sec.  
114.5(g) to solicit its stockholders or executive or administrative 
personnel and their families for contributions to the corporation's own 
separate segregated fund.
    (3) There is no limitation on the method of soliciting voluntary 
contributions or the method of facilitating the making of voluntary 
contributions which a trade association may use.
    (4) A corporation may provide incidental services to collect and 
forward contributions from its employee stockholders and executive and 
administrative personnel to the separate segregated fund of a trade 
association of which the corporation is a member, including a payroll 
deduction or check-off system, upon written request of the trade 
association. Any corporation that provides such incidental services, and 
the corporation's subsidiaries, branches, divisions, and affiliates, 
shall make those incidental services available to a labor organization 
representing any members working for the corporation or the 
corporation's subsidiaries, branches, divisions, or affiliates, upon 
written request of the labor organization and at a cost sufficient only 
to reimburse the corporation or the corporation's subsidiaries, 
branches, divisions, and affiliates, for the expenses incurred thereby.
    (5) A trade association and/or its separate segregated fund is 
subject to the provisions of Sec.  114.5(a).
    (f) Solicitation of a subsidiary corporation. If a parent 
corporation is a member of the trade association but its subsidiary is 
not, the trade association or its separate segregated fund may only 
solicit the parent's executive or administrative personnel and their 
families and the parent's stockholders and their families; it may not 
solicit the subsidiary's executive or administrative personnel or 
stockholders or their families. If a subsidiary is a member of the trade 
association but the parent corporation is not, the trade association or 
its separate segregated fund may only solicit the subsidiary's executive 
or administrative personnel and their families and the subsidiary's 
stockholders and their families; it may not solicit the parent's 
executive or administrative personnel or stockholders or their families. 
If both parent and subsidiary are members of the trade association, the 
executive or administrative personnel and their families and the 
stockholders and their families of each may be solicited.
    (g) Federations of trade associations. (1) A federation of trade 
associations is an

[[Page 225]]

organization representing trade associations involved in the same or 
allied line of commerce. Such a federation may, subject to the following 
limitations, solicit the members of the federation's regional, State or 
local affiliates or members, provided that all of the political 
committees established, financed, maintained or controlled by the 
federation and its regional, State, or local affiliates or members are 
considered one political committee for the purposes of the limitations 
in Sec. Sec.  110.1 and 110.2. The factors set forth at Sec.  
100.5(g)(4) shall be used to determine whether an entity is a regional, 
State or local affiliate of a federation of trade associations.
    (i) The federation and its member associations may engage in a joint 
solicitation; or
    (ii) The member association may delegate its solicitation rights to 
the federation.
    (2) A federation is subject to the provisions of this section when 
soliciting the stockholders and executive or administrative personnel of 
the corporate members of its member associations.
    (h) Communications other than solicitations. A trade association may 
make communications, other than solicitations, to its members and their 
families under the provisions of Sec.  114.3. When making communications 
to a member which is a corporation, the trade association may 
communicate with the representatives of the corporation with whom the 
trade association normally conducts the association's activities.
    (i) Trade association employees. (1) A trade association may 
communicate with its executive or administrative personnel and their 
families under the provisions of Sec.  114.3; a trade association may 
communicate with its other employees under the provisions of Sec.  
114.4.
    (2) A trade association may solicit its executive or administrative 
personnel and their families under the provisions of Sec.  114.5(g); a 
trade association may solicit its other employees under the provisions 
of Sec.  114.6.

(52 U.S.C. 30118, 30107(a)(8))

[41 FR 35955, Aug. 25, 1976, as amended at 48 FR 48650, Oct. 20, 1983; 
48 FR 50508, Nov. 2, 1983; 54 FR 10622, Mar. 15, 1989; 54 FR 27154, June 
28, 1989, 54 FR 34114, Aug. 17, 1989; 54 FR 48580, Nov. 24, 1989; 55 FR 
2281, Jan. 23, 1990; 70 FR 41944, July 21, 2005]



Sec.  114.9  Use of corporate or labor organization facilities.

    (a) Use of corporate facilities for individual volunteer activity by 
stockholders and employees. (1) Stockholders and employees of the 
corporation may, subject to the rules and practices of the corporation 
and 11 CFR 100.54, make occasional, isolated, or incidental use of the 
facilities of a corporation for individual volunteer activity in 
connection with a Federal election and will be required to reimburse the 
corporation only to the extent that the overhead or operating costs of 
the corporation are increased. A corporation may not condition the 
availability of its facilities on their being used for political 
activity, or on support for or opposition to any particular candidate or 
political party. As used in this paragraph, occasional, isolated, or 
incidental use generally means--
    (i) When used by employees during working hours, an amount of 
activity which does not prevent the employee from completing the normal 
amount of work which that employee usually carries out during such work 
period; or
    (ii) When used by stockholders other than employees during the 
working period, such use does not interfere with the corporation in 
carrying out its normal activities.
    (2) Safe harbor. For the purposes of paragraph (a)(1) of this 
section, the following shall be considered occasional, isolated, or 
incidental use of corporate facilities:
    (i) Any individual volunteer activity that does not exceed one hour 
per week or four hours per month, regardless of whether the activity is 
undertaken during or after normal working hours; or
    (ii) Any such activity that constitutes voluntary individual 
Internet activities (as defined in 11 CFR 100.94), in excess of one hour 
per week or four

[[Page 226]]

hours per month, regardless of whether the activity is undertaken during 
or after normal working hours, provided that:
    (A) As specified in 11 CFR 100.54, the activity does not prevent the 
employee from completing the normal amount of work for which the 
employee is paid or is expected to perform;
    (B) The activity does not increase the overhead or operating costs 
of the corporation; and
    (C) The activity is not performed under coercion.
    (3) A stockholder or employee who makes more than occasional, 
isolated, or incidental use of a corporation's facilities for individual 
volunteer activities in connection with a Federal election is required 
to reimburse the corporation within a commercially reasonable time for 
the normal and usual rental charge, as defined in 11 CFR 100.52(d)(2), 
for the use of such facilities.
    (b) Use of labor organization facilities for individual volunteer 
activity by officials, members, and employees. (1) The officials, 
members, and employees of a labor organization may, subject to the rules 
and practices of the labor organization and 11 CFR 100.54, make 
occasional, isolated, or incidental use of the facilities of a labor 
organization for individual volunteer activity in connection with a 
Federal election and will be required to reimburse the labor 
organization only to the extent that the overhead or operating costs of 
the labor organization are increased. A labor organization may not 
condition the availability of its facilities on their being used for 
political activity, or on support for or opposition to any particular 
candidate or political party. As used in this paragraph, occasional, 
isolated, or incidental use generally means--
    (i) When used by employees during working hours, an amount of 
activity during any particular work period which does not prevent the 
employee from completing the normal amount of work which that employee 
usually carries out during such work period; or
    (ii) When used by members other than employees during the working 
period, such use does not interfere with the labor organization in 
carrying out its normal activities.
    (2) Safe harbor. For the purposes of paragraph (b)(1) of this 
section, the following shall be considered occasional, isolated, or 
incidental use of labor organization facilities:
    (i) Any individual volunteer activity that does not exceed one hour 
per week or four hours per month, regardless of whether the activity is 
undertaken during or after normal working hours; or
    (ii) Any such activity that constitutes voluntary individual 
Internet activities (as defined in 11 CFR 100.94), in excess of one hour 
per week or four hours per month, regardless of whether the activity is 
undertaken during or after normal working hours, provided that:
    (A) As specified in 11 CFR 100.54, the activity does not prevent the 
employee from completing the normal amount of work for which the 
employee is paid or is expected to perform;
    (B) The activity does not increase the overhead or operating costs 
of the labor organization; and
    (C) The activity is not performed under coercion.
    (3) The officials, members, and employees who make more than 
occasional, isolated, or incidental use of a labor organization's 
facilities for individual volunteer activities in connection with a 
Federal election are required to reimburse the labor organization within 
a commercially reasonable time for the normal and usual rental charge, 
as defined in 11 CFR 100.52(d)(2), for the use of such facilities.
    (c) Use of corporate or labor organization facilities to produce 
materials. Any person who uses the facilities of a corporation or labor 
organization to produce materials in connection with a Federal election 
is required to reimburse the corporation or labor organization within a 
commercially reasonable time for the normal and usual charge for 
producing such materials in the commercial market.
    (d) Use or rental of corporate or labor organization facilities by 
other persons. Persons, other than those specifically mentioned in 
paragraphs (a) and (b) of this section, who make any use of corporate or 
labor organization facilities,

[[Page 227]]

such as by using telephones or typewriters or borrowing office 
furniture, for activity in connection with a Federal election are 
required to reimburse the corporation or labor organization within a 
commercially reasonable time in the amount of the normal and usual 
rental charge, as defined in 11 CFR 100.52(d)(2), for the use of the 
facilities.
    (e) Nothing in this section shall be construed to alter the 
provisions in 11 CFR Part 114 regarding communications to and beyond a 
restricted class.

[41 FR 35955, Aug. 25, 1976, as amended at 45 FR 21210, Apr. 1, 1980; 67 
FR 78681, 78682, Dec. 26, 2002; 68 FR 69595, Dec. 15, 2003; 71 FR 18614, 
Apr. 4, 2006]



Sec.  114.10  Corporations and labor organizations making independent
expenditures and electioneering communications.

    (a) General. Corporations and labor organizations may make 
independent expenditures, as defined in 11 CFR 100.16, and 
electioneering communications, as defined in 11 CFR 100.29. Corporations 
and labor organizations are prohibited from making coordinated 
expenditures as defined in 11 CFR 109.20, coordinated communications as 
defined in 11 CFR 109.21, or contributions as defined in 11 CFR part 
100, subpart B.

    Note to paragraph (a):
    Pursuant to SpeechNow.org v. FEC, 599 F.3d 686 (D.C. Cir. 2010) (en 
banc), and Carey v. FEC, 791 F. Supp. 2d 121 (D.D.C. 2011), corporations 
and labor organizations may make contributions to nonconnected political 
committees that make only independent expenditures, or to separate 
accounts maintained by nonconnected political committees for making only 
independent expenditures, notwithstanding 11 CFR 114.2(b) and 11 CFR 
114.10(a). The Commission has not conducted a rulemaking in response to 
these cases.

    (b) Reporting independent expenditures and electioneering 
communications. (1) Corporations and labor organizations that make 
independent expenditures aggregating in excess of $250 with respect to a 
given election in a calendar year shall file reports as required by 11 
CFR part 114, 104.4(a), and 109.10(b)-(e).
    (2) Corporations and labor organizations that make electioneering 
communications aggregating in excess of $10,000 in a calendar year shall 
file the statements required by 11 CFR 104.20(b).
    (c) Non-authorization notice. Corporations or labor organizations 
making independent expenditures or electioneering communications shall 
comply with the requirements of 11 CFR 110.11.
    (d) Segregated bank account. A corporation or labor organization 
may, but is not required to, establish a segregated bank account into 
which it deposits only funds donated or otherwise provided by persons 
other than national banks, corporations organized by authority of any 
law of Congress, or foreign nationals (as defined in 11 CFR 
110.20(a)(3)), as described in 11 CFR 104.20(c)(7), from which it makes 
disbursements for electioneering communications.
    (e) Activities prohibited by the Internal Revenue Code. Nothing in 
this section shall be construed to authorize any organization exempt 
from taxation under 26 U.S.C. 501(a) to carry out any activity that it 
is prohibited from undertaking by the Internal Revenue Code, 26 U.S.C. 
501, et seq.

[79 FR 62819, Oct. 21, 2014, as amended at 81 FR 34864, June 1, 2016]



Sec.  114.11  Employee participation plans.

    (a) A corporation may establish and administer an employee 
participation plan (i.e., a trustee plan) which is a political giving 
program in which a corporation pays the cost of establishing and 
administering separate bank accounts for any employee who wishes to 
participate. The cost of administering and establishing includes the 
payment of costs for a payroll deduction or check-off plan and the cost 
of maintaining the separate bank accounts.
    (1) The employees must exercise complete control and discretion over 
the disbursement of the monies in their accounts.
    (2) The trustee, bank, or other administrator shall not provide the 
corporation or its separate segregated fund any report of the source or 
recipient of any contribution(s) or donation(s) into or out of any 
account or of the amount any employee has in an account.
    (3) The trustee, bank, or other administrator may provide the 
corporation or its separate segregated fund

[[Page 228]]

with a periodic report limited to information about the total number of 
employees in the program, the total number of funds in all the accounts 
combined, and the total amount of contributions made to all candidates 
and committees combined.
    (4) No stockholder, director, or employee of the corporation or its 
separate segregated fund may exert pressure of any kind to induce 
participation in the program.
    (5) No stockholder, director, or employee of the corporation or its 
separate segregated fund may exercise any direction or control, either 
oral or written, over contributions by participants in the program to 
any candidate, group of candidates, political party, or other person.
    (b) An employee participation plan must be made available to all 
employees including members of a labor organization who are employees of 
the corporation. Communications about participation in the plan may be 
conducted by either the corporation or the labor organization or both.
    (c) A labor organization may establish and administer an employee 
participation plan subject to the above provisions, except that the cost 
shall be borne by the labor organization.
    (d) The method used to transmit employee or member contributions to 
the candidate or political committee may not in any manner identify the 
corporation or labor organization which established the employee 
particiption plan.

[41 FR 35955, Aug. 25, 1976]



Sec.  114.12  Incorporation of political committees; payment of fringe
benefits.

    (a) An organization may incorporate and not be subject to the 
provisions of this part if the organization incorporates for liability 
purposes only, and if the organization is a political committee as 
defined in 11 CFR 100.5. Notwithstanding the corporate status of the 
political committee, the treasurer of an incorporated political 
committee remains personally responsible for carrying out their 
respective duties under the Act.
    (b) [Reserved]
    (c)(1) A corporation or labor organization may not pay the 
employer's share of the cost of fringe benefits, such as health and life 
insurance and retirement, for employees or members on leave-without-pay 
to participate in political campaigns of Federal candidates. The 
separate segregated fund of a corporation or a labor organization may 
pay the employer's share of fringe benefits, and such payment would be a 
contribution in-kind to the candidate. An employee or member may, out of 
unreimbursed personal funds, assure the continuity of his or her fringe 
benefits during absence from work for political campaigning, and such 
payment would not be a contribution in-kind.
    (2) Service credit for periods of leave-without-pay is not 
considered compensation for purposes of this section if the employer 
normally gives identical treatment to employees placed on leave-without-
pay for nonpolitical purposes.

[41 FR 35955, Aug. 25, 1976, as amended at 45 FR 21210, Apr. 1, 1980; 60 
FR 31382, June 15, 1995; 60 FR 64279, Dec. 14, 1995; 79 FR 16663, Mar. 
26, 2014]



Sec.  114.13  Use of meeting rooms.

    Notwithstanding any other provisions of part 114, a corporation or 
labor organization which customarily makes its meeting rooms available 
to clubs, civic or community organizations, or other groups may make 
such facilities available to a political committee or candidate if the 
meeting rooms are made available to any candidate or political committee 
upon request and on the same terms given to other groups using the 
meeting rooms.

[60 FR 64279, Dec. 14, 1995]



Sec. Sec.  114.14-114.15  [Reserved]



PART 115_FEDERAL CONTRACTORS--Table of Contents



Sec.
115.1 Definitions.
115.2 Prohibition.
115.3 Corporations, labor organizations, membership organizations, 
          cooperatives, and corporations without capital stock.
115.4 Partnerships.
115.5 Individuals and sole proprietors.
115.6 Employee contributions or expenditures.


[[Page 229]]


    Authority: 52 U.S.C. 30107(a)(8), 30111(a)(8), and 30119.

    Source: 41 FR 35963, Aug. 25, 1976, unless otherwise noted.



Sec.  115.1  Definitions.

    (a) A Federal contractor means a person, as defined in 11 CFR 100.10 
who--
    (1) Enters into any contract with the United States or any 
department or agency thereof either for--
    (i) The rendition of personal services; or
    (ii) Furnishing any material, supplies, or equipment; or
    (iii) Selling any land or buildings;
    (2) If the payment for the performance of the contract or payment 
for the material, supplies, equipment, land, or building is to be made 
in whole or in part from funds appropriated by the Congress.
    (b) The period during which a person is prohibited from making a 
contribution or expenditure is the time between the earlier of the 
commencement of negotiations or when the requests for proposals are sent 
out, and the later of--
    (1) The completion of performance under; or
    (2) The termination of negotiations for, the contract or furnishing 
of material, supplies, equipment, land, or buildings, or the rendition 
of personal services.
    (c) For purposes of this part, a contract includes
    (1) A sole source, negotiated, or advertised procurement conducted 
by the United States or any of its agencies;
    (2) A written (except as otherwise authorized) contract, between any 
person and the United States or any of its departments or agencies, for 
the furnishing of personal property, real property, or personal 
services; and
    (3) Any modification of a contract.
    (d) The basic contractual relationship must be with the United 
States or any department or agency thereof. A person who contracts with 
a State or local jurisdiction or entity other than the United States or 
any department or agency thereof is not subject to this part, even if 
the State or local jurisdiction or entity is funded in whole or in part 
from funds appropriated by the Congress. The third party beneficiary of 
a Federal contract is not subject to the prohibitions of this part.
    (e) The term labor organization has the meaning given it by Sec.  
114.1(a).

[41 FR 35963, Aug. 25, 1976, as amended at 45 FR 21210, Apr. 1, 1980]



Sec.  115.2  Prohibition.

    (a) It shall be unlawful for a Federal contractor, as defined in 
Sec.  115.1(a), to make, either directly or indirectly, any contribution 
or expenditure of money or other thing of value, or to promise expressly 
or impliedly to make any such contribution or expenditure to any 
political party, committee, or candidate for Federal office or to any 
person for any political purpose or use. This prohibition does not apply 
to contributions or expenditures in connection with State or local 
elections.
    (b) This prohibition runs for the time period set forth in Sec.  
115.1(b).
    (c) It shall be unlawful for any person knowingly to solicit any 
such contribution from a Federal contractor.



Sec.  115.3  Corporations, labor organizations, membership organizations,
cooperatives, and corporations without capital stock.

    (a) Corporations, labor organizations, membership organizations, 
cooperatives, and corporations without capital stock to which this part 
applies may expend treasury monies to establish, administer, and solicit 
contributions to any separate segregated fund subject to the provisions 
of part 114. Each specific prohibition, allowance, and duty applicable 
to a corporation, labor organization, or separate segregated fund under 
part 114 applies to a corporation, labor organization, or separate 
segregated fund to which this part applies.
    (b) The question of whether a professional organization is a 
corporation is determined by the law of the State in which the 
professional organization exists.



Sec.  115.4  Partnerships.

    (a) The assets of a partnership which is a Federal contractor may 
not be used to make contributions or expenditures in connection with 
Federal elections.

[[Page 230]]

    (b) Individual partners may make contributions or expenditures in 
their own names from their personal assets.
    (c) Nothing in this part prohibits an employee of a partnership 
which is a Federal contractor from making contributions or expenditures 
from his or her personal assets.



Sec.  115.5  Individuals and sole proprietors.

    Individuals or sole proprietors who are Federal contractors are 
prohibited from making contributions or expenditures from their 
business, personal, or other funds under their dominion or control. The 
spouse of an individual or sole proprietor who is a Federal contractor 
is not prohibited from making a personal contribution or expenditure in 
his or her name.



Sec.  115.6  Employee contributions or expenditures.

    Nothing in this part shall prohibit the stockholders, officers, or 
employees of a corporation, the employees, officers, or members of an 
unincorporated association, cooperative, membership organization, labor 
organization, or other group or organization which is a Federal 
contractor from making contributions or expenditures from their personal 
assets.



PART 116_DEBTS OWED BY CANDIDATES AND POLITICAL COMMITTEES
--Table of Contents



Sec.
116.1 Definitions.
116.2 Debts owed by terminating committees, ongoing committees, and 
          authorized committees.
116.3 Extensions of credit by commercial vendors.
116.4 Forgiveness or settlement of debts owed to commercial vendors.
116.5 Advances by committee staff and other individuals.
116.6 Salary payments owed to employees.
116.7 Debt settlement plans filed by terminating committees; Commission 
          review.
116.8 Creditor forgiveness of debts owed by ongoing committees; 
          Commission review.
116.9 Creditors that cannot be found or that are out of business.
116.10 Disputed debts.
116.11 Restriction on an authorized committee's repayment of personal 
          loans exceeding $250,000 made by the candidate to the 
          authorized committee.
116.12 Repayment of candidate loans of $250,000 or less.

    Authority: 52 U.S.C. 30103(d), 30104(b)(8), 30111(a)(8), 30116, 
30118, and 30141.

    Source: 55 FR 26386, June 27, 1990, unless otherwise noted.



Sec.  116.1  Definitions.

    (a) Terminating committee. For purposes of this part, terminating 
committee means any political committee that is winding down its 
political activities in preparation for filing a termination report, and 
that would be able to terminate under 11 CFR 102.3 except that it has 
outstanding debts or obligations. A political committee will be 
considered to be winding down its political activities if it has ceased 
to make or accept contributions and expenditures, other than 
contributions accepted for debt retirement purposes and expenditures 
representing payments of debts or obligations previously incurred or 
payments for the costs associated with the termination of political 
activity, such as the costs of complying with the post election 
requirements of the Act, if applicable, and other necessary 
administrative costs associated with winding down a campaign or winding 
down committee activities, including office space rental, staff salaries 
and office supplies.
    (b) Ongoing committee. For purposes of this part, ongoing committee 
means any political committee that has not terminated and does not 
qualify as a terminating committee.
    (c) Commercial vendor. For purposes of this part, commercial vendor 
means any persons providing goods or services to a candidate or 
political committee whose usual and normal business involves the sale, 
rental, lease or provision of those goods or services.
    (d) Disputed debt. For purposes of this part, disputed debt means an 
actual or potential debt or obligation owed by a political committee, 
including an obligation arising from a written contract, promise or 
agreement to make an expenditure, where there is a bona fide 
disagreement between the creditor and the political committee as to the 
existence or amount of the obligation owed by the political committee.

[[Page 231]]

    (e) Extension of credit. For purposes of this part, extension of 
credit includes but is not limited to:
    (1) Any agreement between the creditor and political committee that 
full payment is not due until after the creditor provides goods or 
services to the political committee;
    (2) Any agreement between the creditor and the political committee 
that the political committee will have additional time to pay the 
creditor beyond the previously agreed to due date; and
    (3) The failure of the political committee to make full payment to 
the creditor by a previously agreed to due date.
    (f) Creditor. For purposes of this part, creditor means any person 
or entity to whom a debt is owed.

[55 FR 26386, June 27, 1990; 55 FR 34007, Aug. 20, 1990]



Sec.  116.2  Debts owed by terminating committees, ongoing committees,
and authorized committees.

    (a) Terminating committees. A terminating committee may settle 
outstanding debts provided that the terminating committee files a debt 
settlement plan and the requirements of 11 CFR 116.7 are satisfied. The 
Commission will review each debt settlement plan filed to determine 
whether or not the terminating committee appears to have complied with 
the requirements set forth in this part, and whether or not the proposed 
debt settlement plan would result in an apparent violation of the Act or 
the Commission's regulations.
    (b) Ongoing committees. Ongoing committees shall not settle any 
outstanding debts for less than the entire amount owed, but may request 
a Commission determination that such debts are not payable under 11 CFR 
116.9, and may resolve disputed debts under 11 CFR 116.10. Creditors may 
forgive debts owed by ongoing committees under the limited circumstances 
provided in 11 CFR 116.8.
    (c) Authorized committees. (1) An authorized committee shall not 
settle any outstanding debts for less than the entire amount owed if any 
other authorized committee of the same candidate has permissible funds 
available to pay part or all of the amount outstanding. Except as 
provided in paragraph (c)(3), of this section, an authorized committee 
shall not terminate under 11 CFR 102.3 if--
    (i) It has any outstanding debts or obligations; or
    (ii) It has any funds or assets available to pay part or all of the 
outstanding debts or obligations owed by another authorized committee of 
the same candidate and that other authorized committee is unable to pay 
such debts or obligations.
    (2) No transfers of funds may be made from a candidate's authorized 
committee to another authorized committee of the same candidate if the 
transferor committee has net debts outstanding at the time of the 
transfer under the formula described in 11 CFR 110.1(b)(3)(ii).
    (3) An authorized committee that qualifies as a terminating 
committee may assign debts to another authorized committee of the same 
candidate to the extent permitted under applicable state law provided 
that the authorized committee assigning the debts has no cash on hand or 
assets available to pay any part of the outstanding debts, and provided 
that the authorized committee assigning the debts was not organized to 
further the candidate's campaign in an election not yet held. If a 
Presidential candidate elects to receive federal funds pursuant to 11 
CFR part 9001 et seq. or 11 CFR part 9031 et seq., the authorized 
committee(s) of the Presidential candidate shall not assign debts or 
receive assigned debts until after the authorized committee(s) or the 
Presidential candidate has made all required repayments pursuant to 11 
CFR parts 9007 and 9038 and has paid all civil penalties pursuant to 52 
U.S.C. 30109. An authorized committee that has assigned all its 
outstanding debts may terminate if--
    (i) The authorized committee that has assigned the debts otherwise 
qualifies for termination under 11 CFR 102.3; and
    (ii) The authorized committee that received the assigned debts 
notifies the Commission in writing that it has assumed the obligation to 
pay the entire amount owed and that it has assumed the obligation to 
report the debts, and

[[Page 232]]

any contributions received for retirement of the assigned debts, in 
accordance with 11 CFR part 104. The assigned debts shall be disclosed 
on a separate schedule of debts and obligations attached to the 
authorized committee's reports. Contributions received for retirement of 
the assigned debts shall be disclosed on a separate schedule of receipts 
attached to the authorized committee's reports. See 11 CFR 110.1 (b)(3) 
and (b)(4) and 110.2 (b)(3) and (b)(4). The authorized committee that 
has assigned the debts shall notify each creditor in writing of the 
assignment no later than thirty days before the assignment takes effect 
and shall include the name and address of the authorized committee that 
will receive the assigned debts.

[55 FR 26386, June 27, 1990, as amended at 79 FR 77849, Dec. 29, 2014]



Sec.  116.3  Extensions of credit by commercial vendors.

    (a) Unincorporated vendor. A commercial vendor that is not a 
corporation may extend credit to a candidate, a political committee or 
another person on behalf of a candidate or political committee. An 
extension of credit will not be considered a contribution to the 
candidate or political committee provided that the credit is extended in 
the ordinary course of the commercial vendor's business and the terms 
are substantially similar to extensions of credit to nonpolitical 
debtors that are of similar risk and size of obligation.
    (b) Incorporated vendor. A corporation in its capacity as a 
commercial vendor may extend credit to a candidate, a political 
committee or another person on behalf of a candidate or political 
committee provided that the credit is extended in the ordinary course of 
the corporation's business and the terms are substantially similar to 
extensions of credit to nonpolitical debtors that are of similar risk 
and size of obligation.
    (c) Ordinary course of business. In determining whether credit was 
extended in the ordinary course of business, the Commission will 
consider--
    (1) Whether the commercial vendor followed its established 
procedures and its past practice in approving the extension of credit;
    (2) Whether the commercial vendor received prompt payment in full if 
it previously extended credit to the same candidate or political 
committee; and
    (3) Whether the extension of credit conformed to the usual and 
normal practice in the commercial vendor's trade or industry.
    (d) Extension of credit by regulated industries. The Commission may 
rely on the regulations prescribed by the Federal Communications 
Commission, the Interstate Commerce Commission, and the Department of 
Transportation on behalf of the Civil Aeronautics Board, issued pursuant 
to 52 U.S.C. 30141 and any other regulations prescribed by other Federal 
agencies to determine whether extensions of credit by the entities 
regulated by those Federal agencies were made in the ordinary course of 
business.

[55 FR 26386, June 27, 1990, as amended at 79 FR 77849, Dec. 29, 2014]



Sec.  116.4  Forgiveness or settlement of debts owed to commercial
vendors.

    (a) Unincorporated vendor. A commercial vendor that is not a 
corporation may forgive or settle a debt incurred by a candidate, a 
political committee or another person on behalf of a candidate or 
political committee for less than the entire amount owed on the debt. 
The amount forgiven will not be considered a contribution by the 
commercial vendor to the candidate or political committee if--
    (1) The amount forgiven is exempted from the definition of 
contribution in 11 CFR part 100, subpart C; or
    (2) The commercial vendor has treated the debt in a commercially 
reasonable manner and the requirements of 11 CFR 116.7 or 116.8, as 
appropriate, are satisfied.
    (b) Incorporated vendor. A corporation may not forgive or settle a 
debt incurred by a candidate, a political committee or another person on 
behalf of a candidate or political committee for less than the entire 
amount owed on the debt unless--
    (1) The amount forgiven is exempted from the definition of 
contribution in 11 CFR part 100, subpart C; or
    (2) The corporation has treated the debt in a commercially 
reasonable manner and the requirements of 11

[[Page 233]]

CFR 116.7 or 116.8, as appropriate, are satisfied.
    (c) Reasonable efforts by a political committee. A debt or 
obligation owed by a candidate or a political committee may be totally 
forgiven (see 11 CFR 116.8), or settled (see 11 CFR 116.7), provided 
that--
    (1) The amount forgiven is exempted from the definition of 
contribution in 11 CFR part 100, subpart C; or
    (2) The candidate and the political committee have undertaken all 
reasonable efforts to satisfy the outstanding debt and the requirements 
of 11 CFR 116.7 or 116.8, as appropriate, including the submission of 
the information specified in those sections and Commission review, are 
satisfied.
    (d) Commercially reasonable. The Commission will determine that a 
debt settlement between a political committee and a commercial vendor is 
commercially reasonable if--
    (1) The initial extension of credit was made in accordance with 11 
CFR 116.3;
    (2) The candidate or political committee has undertaken all 
reasonable efforts to satisfy the outstanding debt. Such efforts may 
include, but are not limited to, the following--
    (i) Engaging in fundraising efforts;
    (ii) Reducing overhead and administrative costs; and
    (iii) Liquidating assets; and
    (3) The commercial vendor has pursued its remedies as vigorously as 
it would pursue its remedies against a nonpolitical debtor in similar 
circumstances. Such remedies may include, but are not limited to, the 
following--
    (i) Oral and written requests for payment;
    (ii) Withholding delivery of additional goods or services until 
overdue debts are satisfied;
    (iii) Imposition of additional charges or penalties for late 
payment;
    (iv) Referral of overdue debts to a commercial debt collection 
service; and
    (v) Litigation.
    (e) Settlement or forgiveness not required. The provisions of this 
part shall not be construed to require a commercial vendor to forgive or 
settle the debt for less than the entire amount owed.
    (f) Reporting. The political committee shall continue to report the 
debt in accordance with 11 CFR 104.3(d) and 104.11 until the Commission 
has completed a review of the debt settlement plan pursuant to 11 CFR 
116.7(f) or until the Commission has completed a review of the request 
to forgive the debt pursuant to 11 CFR 116.8, or until the political 
committee pays the debt, whichever occurs first.

[55 FR 26386, June 27, 1990, as amended at 67 FR 78682, Dec. 26, 2002]



Sec.  116.5  Advances by committee staff and other individuals.

    (a) Scope. This section applies to individuals who are not acting as 
commercial vendors. Individuals who are acting as commercial vendors 
shall follow the requirements of 11 CFR 116.3 and 116.4.
    (b) Treatment as contributions. The payment by an individual from 
his or her personal funds, including a personal credit card, for the 
costs incurred in providing goods or services to, or obtaining goods or 
services that are used by or on behalf of, a candidate or a political 
committee is a contribution unless the payment is exempted from the 
definition of contribution under 11 CFR 100.79. If the payment is not 
exempted under 11 CFR 100.79, it shall be considered a contribution by 
the individual unless--
    (1) The payment is for the individual's transportation expenses 
incurred while traveling on behalf of a candidate or political committee 
of a political party or for usual and normal subsistence expenses 
incurred by an individual, other than a volunteer, while traveling on 
behalf of a candidate or political committee of a political party; and
    (2) The individual is reimbursed within sixty days after the closing 
date of the billing statement on which the charges first appear if the 
payment was made using a personal credit card, or within thirty days 
after the date on which the expenses were incurred if a personal credit 
card was not used. For purposes of this section, the closing date shall 
be the date indicated on the billing statement which serves as the 
cutoff date for determining which charges are included on that billing

[[Page 234]]

statement. In addition, ``subsistence expenses'' include only 
expenditures for personal living expenses related to a particular 
individual traveling on committee business, such as food or lodging.
    (c) Treatment as debts. A political committee shall treat the 
obligation arising from a payment described in paragraph (b) of this 
section as an outstanding debt until reimbursed.
    (d) Settlement or forgiveness of the debt. The individual and the 
political committee may agree to the total forgiveness of the debt (See 
11 CFR 116.8) or a settlement of the debt for less than the entire 
amount owed (See 11 CFR 116.7), provided that the requirements of 11 CFR 
116.7 or 116.8, as appropriate, including the submission of the 
information specified in these sections and Commission review, are 
satisfied. The provisions of this part shall not be construed to require 
the individual to forgive or settle the debt for less than the entire 
amount owed.
    (e) Reporting. The political committee shall continue to report the 
obligation arising from the payment as a debt in accordance with 11 CFR 
104.3(d) and 104.11 until the Commission has completed a review of the 
debt settlement plan pursuant to 11 CFR 116.7(f) or until the Commission 
has completed a review of the request to forgive the debt pursuant to 11 
CFR 116.8, or until the political committee pays the debt, whichever 
occurs first.

[55 FR 26386, June 27, 1990, as amended at 56 FR 35911, July 29, 1991; 
67 FR 78682, Dec. 26, 2002]



Sec.  116.6  Salary payments owed to employees.

    (a) Treatment as debts or volunteer services. If a political 
committee does not pay an employee for services rendered to the 
political committee in accordance with an employment contract or a 
formal or informal agreement to do so, the unpaid amount either may be 
treated as a debt owed by the political committee to the employee or, 
provided that the employee signs a written statement agreeing to be 
considered a volunteer, converted to a volunteer services arrangement 
under 11 CFR 100.74. The unpaid amount shall not be treated as a 
contribution under 11 CFR part 100, subparts B and C.
    (b) Settlement or forgiveness of the debt. If the unpaid amount is 
treated as a debt, the employee and the political committee may agree to 
a settlement of the debt for less than the entire amount owed pursuant 
to 11 CFR 116.7. The provisions of this part shall not be construed to 
require the employee to settle the debt for less than the entire amount 
owed.
    (c) Reporting. If the unpaid amount is treated as a debt, the 
political committee shall continue to report the debt in accordance with 
11 CFR 104.3(d) and 104.11 until the Commission has completed a review 
of the debt settlement plan pursuant to 11 CFR 116.7(f) or until the 
employee agrees to be considered a volunteer, or until the political 
committee pays the debt, whichever occurs first.

[55 FR 26386, June 27, 1990, as amended at 67 FR 78682, Dec. 26, 2002]



Sec.  116.7  Debt settlement plans filed by terminating committees;
Commission review.

    (a) Procedures for filing debt settlement plans. Every terminating 
committee as defined in 11 CFR 116.1(a) shall file at least one debt 
settlement plan with the Commission prior to filing its termination 
report under 11 CFR 102.3. The terminating committee shall file a debt 
settlement plan after the creditors included in the debt settlement plan 
have agreed to the settlement or forgiveness of the particular debt(s) 
owed to each of them. The terminating committee shall not make any 
payments to the creditors included in the debt settlement plan until 
completion of Commission review. The Commission encourages terminating 
committees to include as many debt settlement agreements as possible in 
a debt settlement plan. The terminating committee shall not file its 
termination report under 11 CFR 102.3 and shall not terminate until each 
debt or obligation owed either:
    (1) Has been paid in full;
    (2) Has been settled and the requirements of this section, including 
Commission review, have been satisfied;
    (3) Has been forgiven by the creditor and the requirements of 11 CFR 
116.8,

[[Page 235]]

including Commission review, have been satisfied;
    (4) Has been determined not to be payable pursuant to 11 CFR 116.9; 
or
    (5) Has been otherwise extinguished or discharged.
    (b) Debts subject to settlement. Debts and obligations subject to 
the debt settlement and Commission review requirements and procedures 
set forth in this section include:
    (1) Amounts owed to commercial vendors (See 11 CFR 116.3 and 116.4);
    (2) Debts arising from advances by committee staff and other 
individuals (See 11 CFR 116.5);
    (3) Salary owed to committee employees (See 11 CFR 116.6); and
    (4) Debts arising from loans from political committees or 
individuals, including candidates, to the extent permitted under 11 CFR 
part 110.
    (c) Debts that shall not be settled; Disputed debts. (1) Debts and 
obligations that shall not be forgiven or settled for less than the 
entire amount owed include repayment obligations pursuant to 11 CFR 
9007.2, 9008.10, 9008.11, 9038.2 or 9038.3 of funds received from the 
Presidential Election Campaign Fund or the Presidential Primary Matching 
Payment Account.
    (2) Disputed debts are not subject to the debt settlement and 
Commission review requirements and procedures. (See CFR 116.10).
    (d) Reporting. The terminating committee shall continue to report 
each outstanding debt or obligation included in a debt settlement plan 
in accordance with 11 CFR 104.3(d) and 104.11 until the Commission has 
completed a review of the debt settlement plan pursuant to paragraph (f) 
of this section. The terminating committee shall continue to report all 
remaining debts and obligations not included in the debt settlement plan 
in accordance with 11 CFR 104.3 and 104.11.
    (e) Contents of debt settlement plans. (1) The debt settlement plan 
shall provide the following information on each debt covered by the 
plan--
    (i) The terms of the initial extension of credit and a description 
of the terms under which the creditor has extended credit to 
nonpolitical debtors of similar risk and size of obligation;
    (ii) A description of the efforts made by the candidate or the 
terminating committee to satisfy the debt;
    (iii) A description of the remedies pursued by the creditor to 
obtain payment of the debt and a comparison to the remedies customarily 
pursued by the creditor in similar circumstances involving nonpolitical 
debtors; and
    (iv) The terms of the debt settlement and a comparison to the terms 
of the creditor's other debt settlements involving nonpolitical debtors 
in similar circumstances, if any.
    (2) Each debt settlement plan filed under this section shall include 
a signed statement from each creditor covered indicating agreement to 
the terms of the settlement of the debt owed to that creditor.
    (3) The debt settlement plan shall include a statement as to whether 
the terminating committee has sufficient cash on hand to pay the total 
amount indicated in the debt settlement plan, and if not, a statement as 
to what steps the terminating committee will take to obtain the funds 
needed to make the payments.
    (4) If a debt settlement plan does not include settlements for all 
of the terminating committee's outstanding debts and obligations, the 
debt settlement plan shall include a separate list of all of the 
terminating committee's remaining debts and obligations, including debts 
that are not subject to debt settlement as set forth in paragraph (c) of 
this section. The debt settlement plan shall indicate--
    (i) Whether the terminating committee intends to pay the entire 
amount still owed on each remaining debt or obligation or to settle such 
debts and obligations, and if settlement is contemplated, the terms that 
were or will be offered to the creditor(s); and
    (ii) Whether the terminating committee has sufficient cash on hand 
to pay such remaining debts and obligations, or to pay a lesser portion 
of such amounts, and if not, what steps the terminating committee will 
take to obtain the funds needed to make such payments.
    (5) If the terminating committee expects to have residual funds or 
assets after disposing of all its outstanding

[[Page 236]]

debts and obligations, the debt settlement plan shall include a 
statement as to the purpose for which such residual funds or assets will 
be used. See 11 CFR 110.1(b)(3)(iii) regarding contributions received to 
pay net debts outstanding owed by authorized committees.
    (6) The political committee filing the debt settlement plan shall 
demonstrate in the debt settlement plan that such political committee 
qualifies as a terminating committee under 11 CFR 116.1(a) and shall 
state when the political committee expects to file a termination report 
under 11 CFR 102.3.
    (7) Upon the Commission's request, the candidate, the terminating 
committee or the creditor shall provide such additional information as 
the Commission may require to review the debt settlement plan. The 
Commission may also require the submission of additional debt settlement 
agreements prior to Commission review of the debt settlement plan.
    (f) Commission review of debt settlement plans. In reviewing the 
debt settlement plan, the Commission will consider--
    (1) The information provided by the terminating committee and the 
creditors under this section;
    (2) The amount of each debt that remains unpaid and the length of 
time each debt has been overdue;
    (3) The amount and percentage of each debt that would be forgiven 
under the plan;
    (4) The total amount of debts and obligations owed by the 
terminating committee to all creditors, compared to the total amount of 
cash on hand and other amounts available to pay those debts and 
obligations;
    (5) The year to date expenditures and receipts of the terminating 
committee; and
    (6) Whether the total percentage that was or will be repaid on any 
loans made by the candidate to the terminating committee is comparable 
to the total percentage that was or will be paid to other creditors.
    (g) Debts dischargeable in bankruptcy. If a terminating committee is 
released from debts or obligations pursuant to a discharge under 11 
U.S.C. chapter 7, the terminating committee's debt settlement plan shall 
include a copy of the order issued by the Bankruptcy Court of the United 
States so indicating, and a list of all debts and obligations from which 
the terminating committee is released, in lieu of the information 
specified in paragraphs (e)(1), (e)(2), and (e)(3) of this section.



Sec.  116.8  Creditor forgiveness of debts owed by ongoing committees;
Commission review.

    (a) General requirements. A creditor may forgive the outstanding 
balance of a debt owed by an ongoing committee if the creditor and the 
ongoing committee have satisfied the requirements of 11 CFR 116.3 or 
116.5, as appropriate, regarding extensions of credit by commercial 
vendors and advances by committee staff and other individuals, and the 
debt has been outstanding for at least twenty-four months, and--
    (1) The creditor has exercised reasonable diligence in attempting to 
locate the ongoing committee and has been unable to do so; or
    (2) The ongoing committee--
    (i) Does not have sufficient cash on hand to pay the creditor;
    (ii) Has receipts of less than $1000 during the previous twenty-four 
months;
    (iii) Has disbursements of less than $1000 during the previous 
twenty-four months; and
    (iv) Owes debts to other creditors of such magnitude that the 
creditor could reasonably conclude that the ongoing committee will not 
pay this particular debt.
    (b) Procedures for forgiving debts. A creditor that intends to 
forgive a debt owed by an ongoing committee shall notify the Commission 
by letter of its intent. The letter shall demonstrate that the 
requirements set forth in paragraph (a) of this section are satisfied. 
The letter shall provide the following information--
    (1) The terms of the initial extension of credit and a description 
of the terms under which the creditor has extended credit to 
nonpolitical debtors of similar risk and size of obligation;
    (2) A description of the efforts made by the candidate or the 
ongoing committee to satisfy the debt;
    (3) A description of the remedies pursued by the creditor to obtain 
payment of the debt and a comparison to the

[[Page 237]]

remedies customarily pursued by the creditor in similar circumstances 
involving nonpolitical debtors; and
    (4) An indication that the creditor has forgiven other debts 
involving nonpolitical debtors in similar circumstances, if any.
    (c) Commission review. Upon the Commission's request, the ongoing 
committee or the creditor shall provide such additional information as 
the Commission may require to review the creditor's request. The 
Commission will review each request to forgive a debt to determine 
whether the candidate, the ongoing committee, and the creditor have 
complied with the requirements of 11 CFR part 116, and whether or not 
the forgiveness of the debt would result in an apparent violation of the 
Act or the Commission's regulations.



Sec.  116.9  Creditors that cannot be found or that are out of business.

    (a) General requirements. A political committee may request that the 
Commission determine that a debt owed to a creditor is not payable for 
purposes of the Act if the debt has been outstanding for at least 
twenty-four months, and the requirements of paragraph (b) or (c) of this 
section, as appropriate, have been satisfied, and--
    (1) The creditor has gone out of business and no other entity has a 
right to be paid the amount owed; or
    (2) The political committee has exercised reasonable diligence in 
attempting to locate the creditor and has been unable to do so. 
Reasonable diligence in attempting to locate the creditor means the 
political committee has attempted to ascertain the current address and 
telephone number, and has attempted to contact the creditor by 
registered or certified mail, and either in person or by telephone.
    (b) Terminating committees. If the political committee making the 
request is a terminating committee, the terminating committee shall 
include the request in a debt settlement plan filed with the Commission, 
and shall demonstrate that the requirements of 11 CFR 116.3, 116.5 or 
116.6, as appropriate, and 116.9(a) are satisfied. The terminating 
committee shall continue to disclose the debt on its schedules of 
outstanding debts and obligations until the Commission has completed its 
review of the debt settlement plan pursuant to 11 CFR 116.7(f) and has 
determined that the debt is not payable for purposes of the Act.
    (c) Ongoing committees. If the political committee making the 
request is an ongoing committee, the ongoing committee shall make the 
request in writing and shall demonstrate that the requirements of 11 CFR 
116.3, 116.5 or 116.6, as appropriate, and 116.9(a) are satisfied. The 
Commission will review the request to determine whether the ongoing 
committee and the creditor have complied with the requirements of 11 CFR 
part 116, and to determine whether reporting the debt as not payable 
would result in an apparent violation of the Act or the Commission's 
regulations. The ongoing committee shall continue to disclose the debt 
on its schedules of outstanding debts and obligations until the 
Commission has completed its review of the request and has determined 
that the debt is not payable for purposes of the Act.
    (d) Reporting. Upon notification that the Commission has determined 
that the debt is not payable for purposes of the Act, the political 
committee may list the debt as not payable on the next due report. 
Notwithstanding 11 CFR 104.11, the debt does not have to be included in 
subsequent reports unless the status of the debt changes. The presence 
of a debt that the Commission has determined is not payable shall not 
bar the political committee from terminating its registration pursuant 
to 11 CFR 102.3.



Sec.  116.10  Disputed debts.

    (a) Reporting disputed debts. A political committee shall report a 
disputed debt in accordance with 11 CFR 104.3(d) and 104.11 if the 
creditor has provided something of value to the political committee. 
Until the dispute is resolved, the political committee shall disclose on 
the appropriate reports any amounts paid to the creditor, any amount the 
political committee admits it owes and the amount the creditor claims is 
owed. The political committee may also note on the appropriate reports 
that the disclosure of the disputed debt does not constitute

[[Page 238]]

an admission of liability or a waiver of any claims the political 
committee may have against the creditor. (See also 11 CFR 9035.1(a)(2) 
regarding the effect of disputed debts on a candidate's expenditure 
limitations under 11 CFR part 9035.)
    (b) Disputed debts owed by terminating committees. If a terminating 
committee and a creditor have been unable to resolve a disputed debt, 
and the terminating committee files a debt settlement plan covering 
other debts or other creditors, the terminating committee shall include 
in the debt settlement plan a brief description as to the nature of the 
dispute and the status of the terminating committee's efforts to resolve 
the dispute. The debt settlement plan need not include a signed 
affidavit from the creditor involved in the dispute pursuant to 11 CFR 
116.7(e)(2).



Sec.  116.11  Restriction on an authorized committee's repayment of
personal loans exceeding $250,000 made by the candidate to the 
authorized committee.

    (a) For purposes of this part, personal loans mean a loan or loans, 
including advances, made by a candidate, using personal funds, as 
defined in 11 CFR 100.33, to his or her authorized committee where the 
proceeds of the loan were used in connection with the candidate's 
campaign for election. Personal loans also include loans made to a 
candidate's authorized committee that are endorsed or guaranteed by the 
candidate or that are secured by the candidate's personal funds.
    (b) For personal loans that, in the aggregate, exceed $250,000 in 
connection with an election, the authorized committee:
    (1) May repay the entire amount of the personal loans using 
contributions to the candidate or the candidate's authorized committee 
provided that those contributions were made on the day of the election 
or before;
    (2) May repay up to $250,000 of the personal loans from 
contributions made to the candidate or the candidate's authorized 
committee after the date of the election; and
    (3) Must not repay, directly or indirectly, the aggregate amount of 
the personal loans that exceeds $250,000, from contributions to the 
candidate or the candidate's authorized committee if those contributions 
were made after the date of the election.
    (c) If the aggregate outstanding balance of the personal loans 
exceeds $250,000 after the election, the authorized political committee 
must comply with the following conditions:
    (1) If the authorized committee uses the amount of cash on hand as 
of the day after the election to repay all or part of the personal 
loans, it must do so within 20 days of the election.
    (2) Within 20 days of the election date, the authorized committee 
must treat the portion of the aggregate outstanding balance of the 
personal loans that exceeds $250,000 minus the amount of cash on hand as 
of the day after the election used to repay the loan as a contribution 
by the candidate.
    (3) The candidate's principal campaign committee must report the 
transactions in paragraphs (c)(1) and (c)(2) of this section in the 
first report scheduled to be filed after the election pursuant to 11 CFR 
104.5(a) or (b).
    (d) This section applies separately to each election.

[68 FR 3996, Jan. 27, 2003]



Sec.  116.12  Repayment of candidate loans of $250,000 or less.

    (a) A candidate's authorized committee may repay to the candidate a 
personal loan, as defined in 11 CFR 116.11(a), of up to $250,000 where 
the proceeds of the loan were used in connection with the candidate's 
campaign for election. The repayment may be made from contributions to 
the candidate or the candidate's authorized committee at any time 
before, on, or after the date of the election.
    (b) This section applies separately to each election.
    (c) Nothing in this section shall supersede 11 CFR 9035.2 regarding 
the limitations on expenditures from personal funds or family funds of a 
presidential candidate who accepts matching funds.

[68 FR 3996, Jan. 27, 2003]

[[Page 239]]



                 SUBCHAPTER B_ADMINISTRATIVE REGULATIONS





PART 200_PETITIONS FOR RULEMAKING--Table of Contents



Sec.
200.1 Purpose of scope.
200.2 Procedural requirements.
200.3 Processing of petitions.
200.4 Disposition of petitions.
200.5 Agency considerations.
200.6 Administrative record.

    Authority: 52 U.S.C. 30107(a)(8), 52 U.S.C. 30111(a)(8); 5 U.S.C. 
553(e).

    Source: 57 FR 34510, Aug. 5, 1992, unless otherwise noted.



Sec.  200.1  Purpose and scope.

    This part prescribes the procedures for the submission, 
consideration, and disposition of petitions filed with the Federal 
Election Commission. It establishes the conditions under which the 
Commission may identify and respond to petitions for rulemaking, and 
informs the public of the procedures the agency follows in response to 
such petitions.

[57 FR 34510, Aug. 5, 1992; 57 FR 39743, Sept. 1, 1992]



Sec.  200.2  Procedural requirements.

    (a) Any interested person may file with the Commission a written 
petition for the issuance, amendment, or repeal of a rule implementing 
any of the following statutes:
    (1) The Federal Election Campaign Act of 1971, as amended, 52 U.S.C. 
30101 et seq.;
    (2) The Presidential Election Campaign Fund Act, as amended, 26 
U.S.C. 9001 et seq.;
    (3) The Presidential Primary Matching Payment Account Act, as 
amended, 26 U.S.C. 9031 et seq.;
    (4) The Freedom of Information Act, 5 U.S.C. 552; or
    (5) Any other law that the Commission is required to implement and 
administer.
    (b) The petition shall--
    (1) Include the name and address of the petitioner or agent. An 
authorized agent of the petitioner may submit the petition, but the 
agent shall disclose the identity of his or her principal;
    (2) Identify itself as a petition for the issuance, amendment, or 
repeal of a rule;
    (3) Identify the specific section(s) of the regulations to be 
affected;
    (4) Set forth the factual and legal grounds on which the petitioner 
relies, in support of the proposed action; and
    (5) Be addressed and submitted to the Federal Election Commission, 
Office of General Counsel, 999 E Street, NW., Washington, DC 20463.
    (c) The petition may include draft regulatory language that would 
effectuate the petitioner's proposal.
    (d) The Commission may, in its discretion, treat a document that 
fails to conform to the format requirements of paragraph (b) of this 
section as a basis for a sua sponte rulemaking. For example, the 
Commission may consider whether to initiate a rulemaking project 
addressing issues raised in an advisory opinion request submitted under 
11 CFR 112.1 or in a complaint filed under 11 CFR 111.4. However, the 
Commission need not follow the procedures of 11 CFR 200.3 in these 
instances.

[57 FR 34510, Aug. 5, 1992, as amended at 79 FR 77849, Dec. 29, 2014]



Sec.  200.3  Processing of petitions.

    (a) If a document qualifies as a petition under 11 CFR 200.2, the 
Commission, upon the recommendation of the Office of General Counsel, 
will--
    (1) Publish a Notice of Availability in the Federal Register, 
stating that the petition is available for public inspection in the 
Commission's Public Records Office and that statements in support of or 
in opposition to the petition may be filed within a stated period after 
publication of the notice;
    (2) Send a letter to the Commissioner of Internal Revenue, pursuant 
to 52 U.S.C. 30111(f), seeking the IRS's comments on the petition; and
    (3) Send a letter to the petitioner, acknowledging receipt of the 
petition and informing the petitioner of the above actions.
    (b) If the petition does not comply with the requirements of 11 CFR 
200.2(b), the Office of General Counsel

[[Page 240]]

may notify the petitioner of the nature of any discrepancies.
    (c) If the Commission decides that a Notice of Inquiry, Advance 
Notice of Proposed Rulemaking, or a public hearing on the petition would 
contribute to its determination whether to commence a rulemaking 
proceeding, it will publish an appropriate notice in the Federal 
Register, to advise interested persons and to invite their 
participation.
    (d) The Commission will not consider the merits of the petition 
before the expiration of the comment period on the Notice of 
Availability.
    (e) The Commission will consider all comments filed within the 
comment period prescribed in the relevant Federal Register notice. The 
Commission may, at its discretion, consider comments received after the 
close of the comment period.

[57 FR 34510, Aug. 5, 1992, as amended at 79 FR 77849, Dec. 29, 2014]



Sec.  200.4  Disposition of petitions.

    (a) After considering the comments that have been filed within the 
comment period(s) and any other information relevant to the subject 
matter of the petition, the Commission will decide whether to initiate a 
rulemaking based on the filed petition.
    (b) If the Commission decides not to initiate a rulemaking, it will 
give notice of this action by publishing a Notice of Disposition in the 
Federal Register and sending a letter to the petitioner. The Notice of 
Disposition will include a brief statement of the grounds for the 
Commission's decision, except in an action affirming a prior denial.
    (c) The Commission may reconsider a petition for rulemaking 
previously denied if the petitioner submits a written request for 
reconsideration within 30 calendar days after the date of the denial and 
if, upon the motion of a Commissioner who voted with the majority that 
originally denied the petition, the Commission adopts the motion to 
reconsider by the affirmative vote of four members.



Sec.  200.5  Agency considerations.

    The Commission's decision on the petition for rulemaking may 
include, but will not be limited to, the following considerations--
    (a) The Commission's statutory authority;
    (b) Policy considerations;
    (c) The desirability of proceeding on a case-by-case-basis;
    (d) The necessity or desirability of statutory revision;
    (e) Available agency resources.



Sec.  200.6  Administrative record.

    (a) The agency record for the petition process consists of the 
following:
    (1) The petition, including all attachments on which it relies, 
filed by the petitioner.
    (2) Written comments on the petition which have been circulated to 
and considered by the Commission, including attachments submitted as a 
part of the comments.
    (3) Agenda documents, in the form they are circulated to and 
considered by the Commission in the course of the petition process.
    (4) All notices published in the Federal Register, including the 
Notice of Availability and Notice of Disposition. If a Notice of Inquiry 
or Advance Notice of Proposed Rulemaking was published it will also be 
included.
    (5) The transcripts or audio tapes of any public hearing(s) on the 
petition.
    (6) All correspondence between the Commission and the petitioner, 
other commentators and state or federal agencies pertaining to 
Commission consideration of the petition.
    (7) The Commission's decision on the petition, including all 
documents identified or filed by the Commission as part of the record 
relied on in reaching its final decision.
    (b) The administrative record specified in paragraph (a) of this 
section is the exclusive record for the Commission's decision.



PART 201_EX PARTE COMMUNICATIONS--Table of Contents



Sec.
201.1 Purpose and scope.
201.2 Definitions.
201.3 Public funding, audits and litigation: Ex parte contacts 
          prohibited.
201.4 Rulemaking proceedings and advisory opinions: Ex parte contacts 
          reported.
201.5 Sanctions.


[[Page 241]]


    Authority: 52 U.S.C. 30107(a)(8), 30108, 30111(a)(8), and 30111(b); 
26 U.S.C. 9007, 9008, 9009(b), 9038, and 9039(b).

    Source: 58 FR 59645, Nov. 10, 1993, unless otherwise noted.



Sec.  201.1  Purpose and scope.

    This part prescribes procedures for handling ex parte communications 
made in connection with public funding, Commission audits, litigation, 
rulemaking proceedings and the advisory opinion process. Rules governing 
such communications made in connection with Commission enforcement 
actions are found at 11 CFR 111.22, while provisions setting forth 
employee responsibilities under the Commission's Standards of Conduct 
rules are found at 11 CFR 7.8.

[58 FR 59645, Nov. 10, 1993, as amended at 76 FR 70331, Nov. 14, 2011]



Sec.  201.2  Definitions.

    As used in this part:
    (a) Ex parte communication means any written or oral communication 
by any person outside the agency to any Commissioner or any member of a 
Commissioner's staff which imparts information or argument regarding 
prospective Commission action or potential action concerning:
    (1) Any candidate or committee applying for or participating in the 
public funding process, or
    (2) Any ongoing audit, or
    (3) Any pending litigation matter, or
    (4) Any pending rulemaking, or
    (5) Any pending advisory opinion request.
    (b) Ex parte communications does not include the following 
communications.
    (1) Statements by any person publicly made in a public forum; or
    (2) Statements or inquiries by any person limited to the procedural 
status of an open proceeding involving an application for public 
funding, a rulemaking, an advisory opinion request, an audit being 
conducted pursuant to 26 U.S.C. 9007 (a) and (b), 9008 (g) and (h), or 
9038 (a) and (b), or a litigation matter.
    (c) Commissioner means an individual appointed to the Federal 
Election Commission pursuant to 52 U.S.C. 30106(a).
    (d) Commissioner's staff means all individuals working under the 
personal supervision of a Commissioner including executive assistants 
and executive secretaries.

[58 FR 59645, Nov. 10, 1993, as amended at 75 FR 32, Jan. 4, 2010; 79 FR 
77849, Dec. 29, 2014]



Sec.  201.3  Public funding, audits and litigation: Ex parte contacts
prohibited.

    (a) In order to avoid the possibility of prejudice, real or 
apparent, to the public interest in Commission decisionmaking during the 
public funding process, in audits undertaken by the Commission, and in 
any litigation to which the Commission is a party, no person outside the 
agency shall make or cause to be made to any Commissioner or any member 
of any Commissioner's staff any ex parte communication regarding any 
candidate or committee's eligibility for or entitlement to public 
funding; any audit; or any pending or prospective Commission decision 
regarding litigation, including whether to initiate, settle, appeal, or 
seek certiorari, or any other decision concerning a litigation matter; 
nor shall any Commissioner or member of any Commissioner's staff 
entertain any such ex parte communications.
    (b) The requirements of this section apply:
    (1) In the case of public funding, from the time a primary election 
candidate submits to the Commission the letter required by 11 CFR 
9033.1(a), Presidential and Vice Presidential candidates submit to the 
Commission the letter required by 11 CFR 9003.1, or a committee seeking 
convention funding registers with the Commission as required by 11 CFR 
9008.12(a)(1) or 9008.12(b)(1), until the start of the audit process.
    (2)(i) In the case of an audit undertaken pursuant to 26 U.S.C. 9007 
(a) and (b), 9008 (g) and (h), or 9038 (a) and (b), from the date of the 
Commission's letter to a presidential campaign committee, a convention 
committee, or a host committee asking that it make a pre-inventory check 
of its records, prior to the commencement of audit fieldwork by the 
Commission, through the end of the audit process; and

[[Page 242]]

    (ii) In the case of an audit undertaken pursuant to 52 U.S.C. 
30111(b), from the date the Commission's staff circulates a document for 
Commission approval containing a proposed referral to undertake an 
audit, until the Commission publicly issues the final audit report.
    (c)(1) A Commissioner or member of a Commissioner's staff who 
receives an oral ex parte communication concerning any matters addressed 
in paragraph (a) or (b) of this section shall attempt to prevent the 
communication. If unsuccessful in preventing the communication, the 
Commissioner or staff member shall advise the person making the 
communication that he or she will not consider the communication and 
shall, as soon after the communication as is reasonably possible but no 
later than three business days after the communication, unless special 
circumstances make this impracticable; or prior to the next Commission 
discussion of the matter, whichever is earlier, prepare a statement 
setting forth the substance and circumstances of the communication, and 
deliver the statement to the Designated Agency Ethics Official for 
placement in the file of the matching fund request, audit or litigation 
case.
    (2) A Commissioner or member of a Commissioner's staff who receives 
a written ex parte communication concerning any Commission action or 
potential action concerning any candidate or committee's eligibility for 
or entitlement to public funding, or any audit, or any prospective 
Commission decision or action concerning any pending litigation case, 
during the period described in paragraph (b) of this section shall, as 
soon after the communication as is reasonably possible but no later than 
three business days after the communication, unless special 
circumstances make this impracticable; or prior to the next Commission 
discussion of the matter, whichever is earlier, deliver a copy of the 
communication to the Designated Agency Ethics Official for placement in 
the file of the audit or litigation case.

[58 FR 59645, Nov. 10, 1993, as amended at 79 FR 77850, Dec. 29, 2014]



Sec.  201.4  Rulemaking proceedings and advisory opinions: Ex parte
contacts reported.

    (a) A Commissioner or member of a Commissioner's staff who receives 
an ex parte communication concerning any rulemaking or advisory opinion 
during the period described in paragraph (b) of this section shall, as 
soon after the communication as is reasonably possible but no later than 
three business days after the communication unless special circumstances 
make this impracticable, or prior to the next Commission discussion of 
the matter, whichever is earlier, provide a copy of a written 
communication or a written summary of an oral communication to the 
Commission Secretary for placement in the public file of the rulemaking 
or advisory opinion. The Commissioner or staff member shall advise any 
person making an oral communication that a written summary of the 
conversation will be made part of the public record.
    (b) The requirements of paragraph (a) of this section apply:
    (1) In the case of a rulemaking proceeding, from the date a petition 
for rulemaking is circulated to Commissioners' offices, or the date on 
which a proposed rulemaking document is first circulated to the 
Commission or placed on an agenda of a Commission public meeting, 
through final Commission action on that rulemaking.
    (2) In the case of an advisory opinion, from the date a request for 
an advisory opinion is circulated to Commissioner's offices through the 
date on which the advisory opinion is issued, and during any period of 
reconsideration pursuant to 11 CFR 112.6.



Sec.  201.5  Sanctions.

    Any person who becomes aware of a possible violation of this part 
shall notify the Designated Agency Ethics Official in writing of the 
facts and circumstances of the alleged violation. The Designated Agency 
Ethics Official shall recommend to the Commission the appropriate action 
to be taken. The Commission shall determine the appropriate action by at 
least four votes.

[[Page 243]]



 SUBCHAPTER C_BIPARTISAN CAMPAIGN REFORM ACT OF 2002_(BCRA) REGULATIONS





PART 300_NON-FEDERAL FUNDS--Table of Contents



Sec.
300.1 Scope, effective date, and organization.
300.2 Definitions.

                   Subpart A_National Party Committees

300.10 General prohibitions on raising and spending non-Federal funds 
          (52 U.S.C. 30125(a) and (c)).
300.11 Prohibitions on fundraising for and donating to certain tax-
          exempt organizations (52 U.S.C. 30125(d)).
300.12 [Reserved]
300.13 Reporting (52 U.S.C. 30101 note and 30104(e)).

 Subpart B_State, District, and Local Party Committees and Organizations

300.30 Accounts.
300.31 Receipt of Levin funds.
300.32 Expenditures and disbursements.
300.33 Allocation of costs of Federal election activity.
300.34 Transfers.
300.35 Office buildings.
300.36 Reporting Federal election activity; recordkeeping.
300.37 Prohibitions on fundraising for and donating to certain tax-
          exempt organizations (52 U.S.C. 30125(d)).

                   Subpart C_Tax-Exempt Organizations

300.50 Prohibited fundraising by national party committees (52 U.S.C. 
          30125(d)).
300.51 Prohibited fundraising by State, district, or local party 
          committees (52 U.S.C. 30125(d)).
300.52 Fundraising by Federal candidates and Federal officeholders (52 
          U.S.C. 30125(e)(1) and (4)).

             Subpart D_Federal Candidates and Officeholders

300.60 Scope (52 U.S.C. 30125(e)(1)).
300.61 Federal elections (52 U.S.C. 30125(e)(1)(A)).
300.62 Non-Federal elections (52 U.S.C. 30125(e)(1)(B)).
300.63 Exception for State candidates (52 U.S.C. 30125(e)(2)).
300.64 Participation by Federal candidates and officeholders at non-
          Federal fundraising events (52 U.S.C. 30125(e)(1) and (3)).
300.65 Exceptions for certain tax-exempt organizations (52 U.S.C. 
          30125(e)(1) and (4)).

                  Subpart E_State and Local Candidates

300.70 Scope (52 U.S.C. 30125(f)(1)).
300.71 Federal funds required for certain public communications (52 
          U.S.C. 30125(f)(1)).
300.72 Federal funds not required for certain communications (52 U.S.C. 
          30125(f)(2)).

    Authority: 52 U.S.C. 30104(e), 30111(a)(8), 30116(a), 30125, and 
30143.

    Source: 67 FR 49120, July 29, 2002, unless otherwise noted.



Sec.  300.1  Scope and effective date, and organization.

    (a) Introduction. This part implements changes to the Federal 
Election Campaign Act of 1971, as amended (``FECA'' or the ``Act''), 
enacted by Title I of the Bipartisan Campaign Finance Reform Act of 2002 
(``BCRA''). Public Law 107-155. Unless expressly stated to the contrary, 
nothing in this part alters the definitions, restrictions, liabilities, 
and obligations imposed by sections 30101 to 30145 of Title 52, United 
States Code, or regulations prescribed thereunder (11 CFR parts 100 to 
116).
    (b) Effective dates. (1) Except as otherwise specifically provided 
in this part, this part shall take effect on November 6, 2002. However, 
subpart B of this part shall not apply with respect to runoff elections, 
recounts, or election contests resulting from elections held prior to 
such date.
    (2) The increase in individual contribution limits to State 
committees of political parties, as described in 11 CFR 110.1(c)(5), 
shall apply to contributions made on or after January 1, 2003.
    (c) Organization of part. Part 300, which generally addresses non-
Federal funds and closely related topics, is organized into five 
subparts. Each subpart is oriented to the perspective of a category of 
persons facing issues related to non-Federal funds.
    (1) Subpart A of this part prescribes rules pertaining to national 
party committees, including general non-Federal

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funds prohibitions, fundraising, and donation prohibitions with regard 
to certain tax-exempt organizations, and reporting.
    (2) Subpart B of this part pertains to State, district, and local 
political party committees and organizations. Subpart B of this part 
focuses on ``Levin Amendment'' to BCRA; office buildings; and 
fundraising and donation prohibitions with regard to certain tax-exempt 
organizations.
    (3) Subpart C of this part addresses non-Federal funds from the 
perspective of tax-exempt organizations, setting out rules about 
prohibited fundraising for certain tax-exempt organizations by national 
party committees, State, district, and local party committees, and 
Federal candidates and officeholders.
    (4) Subpart D of this part includes regulations pertaining to 
soliciting non-Federal funds from the perspective of Federal candidates 
and officeholders in Federal and non-Federal elections; including 
exceptions for those who are also State candidates and exemptions for 
those attending, speaking, and appearing as featured guests at 
fundraising events, or who solicit for certain tax-exempt organizations.
    (5) Subpart E of this part focuses on State and local candidates, 
including regulations about using Federal funds for certain public 
communications, and exceptions for entirely non-Federal communications.
    (6) For rules pertaining to convention and host committees, see 11 
CFR part 9008.

[67 FR 49120, July 29, 2002, as amended at 79 FR 77850, Dec. 29, 2014; 
81 FR 94240, Dec. 23, 2016]



Sec.  300.2  Definitions.

    (a) 501(c) organization that makes expenditures or disbursements in 
connection with a Federal election. A 501(c) organization that makes 
expenditures or disbursements in connection with a Federal election as 
that term is used in 11 CFR 300.11, 300.37, 300.50, and 300.51 includes 
an organization that, within the current election cycle, plans to:
    (1) Make expenditures or disbursements in connection with an 
election for Federal office including for Federal election activity; or
    (2) Pay a debt incurred from the making of expenditures or 
disbursements in connection with an election for Federal office 
(including for Federal election activity) in a prior election cycle.
    (b) Agent. For the purposes of part 300 of chapter I, agent means 
any person who has actual authority, either express or implied, to 
engage in any of the following activities on behalf of the specified 
persons:
    (1) In the case of a national committee of a political party:
    (i) To solicit, direct, or receive any contribution, donation, or 
transfer of funds; or,
    (ii) To solicit any funds for, or make or direct any donations to, 
an organization that is described in 26 U.S.C 501(c) and exempt from 
taxation under 26 U.S.C. 501(a) (or has submitted an application for 
determination of tax exempt status under 26 U.S.C. 501(a)), or an 
organization described in 26 U.S.C. 527 (other than a political 
committee, a State, district, or local committee of a political party, 
or the authorized campaign committee of a candidate for State or local 
office).
    (2) In the case of a State, district, or local committee of a 
political party:
    (i) To expend or disburse any funds for Federal election activity; 
or
    (ii) To transfer, or accept a transfer of, funds to make 
expenditures or disbursements for Federal election activity; or
    (iii) To engage in joint fundraising activities with any person if 
any part of the funds raised are used, in whole or in part, to pay for 
Federal election activity; or
    (iv) To solicit any funds for, or make or direct any donations to, 
an organization that is described in 26 U.S.C. 501(c) and exempt from 
taxation under 26 U.S.C. 501(a) (or has submitted an application for 
determination of tax exempt status under 26 U.S.C. 501(a)), or an 
organization described in 26 U.S.C. 527 (other than a political 
committee, a State, district, or local committee of a political party, 
or the authorized campaign committee of a candidate for State or local 
office).
    (3) In the case of an individual who is a Federal candidate or an 
individual

[[Page 245]]

holding Federal office, to solicit, receive, direct, transfer, or spend 
funds in connection with any election.
    (4) In the case of an individual who is a candidate for State or 
local office, to spend funds for a public communication (see 11 CFR 
100.26).
    (c) Directly or indirectly establish, finance, maintain, or control. 
(1) This paragraph (c) applies to national, State, district, and local 
committees of a political party, candidates, and holders of Federal 
office, including an officer, employee, or agent of any of the foregoing 
persons, which shall be referred to as ``sponsors'' in this section.
    (2) To determine whether a sponsor directly or indirectly 
established, finances, maintains, or controls an entity, the factors 
described in paragraphs (c)(2)(i) through (x) of this section must be 
examined in the context of the overall relationship between sponsor and 
the entity to determine whether the presence of any factor or factors is 
evidence that the sponsor directly or indirectly established, finances, 
maintains, or controls the entity. Such factors include, but are not 
limited to:
    (i) Whether a sponsor, directly or through its agent, owns 
controlling interest in the voting stock or securities of the entity;
    (ii) Whether a sponsor, directly or through its agent, has the 
authority or ability to direct or participate in the governance of the 
entity through provisions of constitutions, bylaws, contracts, or other 
rules, or through formal or informal practices or procedures;
    (iii) Whether a sponsor, directly or through its agent, has the 
authority or ability to hire, appoint, demote, or otherwise control the 
officers, or other decision-making employees or members of the entity;
    (iv) Whether a sponsor has a common or overlapping membership with 
the entity that indicates a formal or ongoing relationship between the 
sponsor and the entity;
    (v) Whether a sponsor has common or overlapping officers or 
employees with the entity that indicates a formal or ongoing 
relationship between the sponsor and the entity;
    (vi) Whether a sponsor has any members, officers, or employees who 
were members, officers or employees of the entity that indicates a 
formal or ongoing relationship between the sponsor and the entity, or 
that indicates the creation of a successor entity;
    (vii) Whether a sponsor, directly or through its agent, provides 
funds or goods in a significant amount or on an ongoing basis to the 
entity, 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, and otherwise lawfully;
    (viii) Whether a sponsor, directly or through its agent, causes or 
arranges for funds in a significant amount or on an ongoing basis to be 
provided to the entity, but not including the transfer to a committee of 
its allocated share of proceeds jointly raised pursuant to 11 CFR 
102.17, and otherwise lawfully;
    (ix) Whether a sponsor, directly or through its agent, had an active 
or significant role in the formation of the entity; and
    (x) Whether the sponsor and the entity have similar patterns of 
receipts or disbursements that indicate a formal or ongoing relationship 
between the sponsor and the entity.
    (3) Safe harbor. On or after November 6, 2002, an entity shall not 
be deemed to be directly or indirectly established, maintained, or 
controlled by another entity unless, based on the entities' actions and 
activities solely after November 6, 2002, they satisfy the requirements 
of this section. If an entity receives funds from another entity prior 
to November 6, 2002, and the recipient entity disposes of the funds 
prior to November 6, 2002, the receipt of such funds prior to November 
6, 2002 shall have no bearing on determining whether the recipient 
entity is financed by the sponsoring entity within the meaning of this 
section.
    (4) Determinations by the Commission. (i) A sponsor or entity may 
request an advisory opinion of the Commission to determine whether the 
sponsor is no longer directly or indirectly financing, maintaining, or 
controlling the entity for purposes of this part. The request for such 
an advisory opinion must meet the requirements of 11 CFR part 112 and 
must demonstrate that the entity

[[Page 246]]

is not directly or indirectly financed, maintained, or controlled by the 
sponsor.
    (ii) Notwithstanding the fact that a sponsor may have established an 
entity within the meaning of paragraph (c)(2) of this section, the 
sponsor or the entity may request an advisory opinion of the Commission 
determining that the relationship between the sponsor and the entity has 
been severed. The request for such an advisory opinion must meet the 
requirements of 11 CFR part 112, and must demonstrate that all material 
connections between the sponsor and the entity have been severed for two 
years.
    (iii) Nothing in this section shall require entities that are 
separate organizations on November 6, 2002 to obtain an advisory opinion 
to operate separately from each other.
    (d) Disbursement. Disbursement means any purchase or payment made 
by:
    (1) A political committee; or
    (2) Any other person, including an organization that is not a 
political committee, that is subject to the Act.
    (e) Donation. For purposes of part 300, donation means a payment, 
gift, subscription, loan, advance, deposit, or anything of value given 
to a person, but does not include contributions.
    (f) Federal account. Federal account means an account at a campaign 
depository that contains funds to be used in connection with a Federal 
election.
    (g) Federal Funds. Federal funds mean funds that comply with the 
limitations, prohibitions, and reporting requirements of the Act.
    (h) Levin account. Levin account means an account at a campaign 
depository established by a State, district, or local committee of a 
political party pursuant to 11 CFR 300.30, for purposes of making 
expenditures or disbursements for Federal election activity or non-
Federal activity (subject to State law) under 11 CFR 300.32.
    (i) Levin funds mean funds that are raised pursuant to 11 CFR 300.31 
and are or will be disbursed pursuant to 11 CFR 300.32.
    (j) Non-Federal account means an account that contains funds to be 
used in connection with a State or local election or allocable expenses 
under 11 CFR 106.7, 300.30, or 300.33.
    (k) Non-Federal funds mean funds that are not subject to the 
limitations and prohibitions of the Act.
    (l) [Reserved]
    (m) To solicit. For the purposes of part 300, to solicit means to 
ask, request, or recommend, explicitly or implicitly, that another 
person make a contribution, donation, transfer of funds, or otherwise 
provide anything of value. A solicitation is an oral or written 
communication that, construed as reasonably understood in the context in 
which it is made, contains a clear message asking, requesting, or 
recommending that another person make a contribution, donation, transfer 
of funds, or otherwise provide anything of value. A solicitation may be 
made directly or indirectly. The context includes the conduct of persons 
involved in the communication. A solicitation does not include mere 
statements of political support or mere guidance as to the applicability 
of a particular law or regulation.
    (1) The following types of communications constitute solicitations:
    (i) A communication that provides a method of making a contribution 
or donation, regardless of the communication. This includes, but is not 
limited to, providing a separate card, envelope, or reply device that 
contains an address to which funds may be sent and allows contributors 
or donors to indicate the dollar amount of their contribution or 
donation to the candidate, political committee, or other organization.
    (ii) A communication that provides instructions on how or where to 
send contributions or donations, including providing a phone number 
specifically dedicated to facilitating the making of contributions or 
donations. However, a communication does not, in and of itself, satisfy 
the definition of ``to solicit'' merely because it includes a mailing 
address or phone number that is not specifically dedicated to 
facilitating the making of contributions or donations.
    (iii) A communication that identifies a Web address where the Web 
page displayed is specifically dedicated to facilitating the making of a 
contribution or donation, or automatically redirects

[[Page 247]]

the Internet user to such a page, or exclusively displays a link to such 
a page. However, a communication does not, in and of itself, satisfy the 
definition of ``to solicit'' merely because it includes the address of a 
Web page that is not specifically dedicated to facilitating the making 
of a contribution or donation.
    (2) The following statements constitute solicitations:
    (i) ``Please give $100,000 to Group X.''
    (ii) ``It is important for our State party to receive at least 
$100,000 from each of you in this election.''
    (iii) ``Group X has always helped me financially in my elections. 
Keep them in mind this fall.''
    (iv) ``X is an effective State party organization; it needs to 
obtain as many $100,000 donations as possible.''
    (v) ``Giving $100,000 to Group X would be a very smart idea.''
    (vi) ``Send all contributions to the following address * * *.''
    (vii) ``I am not permitted to ask for contributions, but unsolicited 
contributions will be accepted at the following address * * *.''
    (viii) ``Group X is having a fundraiser this week; you should go.''
    (ix) ``You have reached the limit of what you may contribute 
directly to my campaign, but you can further help my campaign by 
assisting the State party.''
    (x) A candidate hands a potential donor a list of people who have 
contributed to a group and the amounts of their contributions. The 
candidate says, ``I see you are not on the list.''
    (xi) ``I will not forget those who contribute at this crucial 
stage.''
    (xii) ``The candidate will be very pleased if we can count on you 
for $10,000.''
    (xiii) ``Your contribution to this campaign would mean a great deal 
to the entire party and to me personally.''
    (xiv) Candidate says to potential donor: ``The money you will help 
us raise will allow us to communicate our message to the voters through 
Labor Day.''
    (xv) ``I appreciate all you've done in the past for our party in 
this State. Looking ahead, we face some tough elections. I'd be very 
happy if you could maintain the same level of financial support for our 
State party this year.''
    (xvi) The head of Group X solicits a contribution from a potential 
donor in the presence of a candidate. The donor asks the candidate if 
the contribution to Group X would be a good idea and would help the 
candidate's campaign. The candidate nods affirmatively.
    (3) The following statements do not constitute solicitations:
    (i) During a policy speech, the candidate says: ``Thank you for your 
support of the Democratic Party.''
    (ii) At a ticket-wide rally, the candidate says: ``Thank you for 
your support of my campaign.''
    (iii) At a Labor Day rally, the candidate says: ``Thank you for your 
past financial support of the Republican Party.''
    (iv) At a GOTV rally, the candidate says: ``Thank you for your 
continuing support.''
    (v) At a ticket-wide rally, the candidate says: ``It is critical 
that we support the entire Democratic ticket in November.''
    (vi) A Federal officeholder says: ``Our Senator has done a great job 
for us this year. The policies she has vigorously promoted in the Senate 
have really helped the economy of the State.''
    (vii) A candidate says: ``Thanks to your contributions we have been 
able to support our President, Senator and Representative during the 
past election cycle.''
    (n) To direct. For the purposes of part 300, to direct means to 
guide, directly or indirectly, a person who has expressed an intent to 
make a contribution, donation, transfer of funds, or otherwise provide 
anything of value, by identifying a candidate, political committee or 
organization, for the receipt of such funds, or things of value. The 
contribution, donation, transfer, or thing of value may be made or 
provided directly or through a conduit or intermediary. Direction does 
not include merely providing information or guidance as to the 
applicability of a particular law or regulation.
    (o) Individual holding Federal office. Individual holding Federal 
office means an individual elected to or serving in the office of 
President or Vice President of the United States; or a Senator

[[Page 248]]

or a Representative in, or Delegate or Resident Commissioner to, the 
Congress of the United States.

[67 FR 49120, July 29, 2002, as amended at 67 FR 78682, Dec. 26, 2002; 
71 FR 13933, Mar. 20, 2006]



                   Subpart A_National Party Committees



Sec.  300.10  General prohibitions on raising and spending non-Federal
funds (52 U.S.C. 30125(a) and (c)).

    (a) Prohibitions. A national committee of a political party, 
including a national congressional campaign committee, must not:
    (1) Solicit, receive, or direct to another person a contribution, 
donation, or transfer of funds, or any other thing of value that is not 
subject to the prohibitions, limitations and reporting requirements of 
the Act;
    (2) Spend any funds that are not subject to the prohibitions, 
limitations, and reporting requirements of the Act; or
    (3) Solicit, receive, direct, or transfer to another person, or 
spend, Levin funds.
    (b) Fundraising costs. A national committee of a political party, 
including a national congressional campaign committee, must use only 
Federal funds to raise funds that are used, in whole or in part, for 
expenditures and disbursements for Federal election activity.
    (c) Application. This section also applies to:
    (1) An officer or agent acting on behalf of a national party 
committee or a national congressional campaign committee; and
    (2) An entity that is directly or indirectly established, financed, 
maintained, or controlled by a national party committee or a national 
congressional campaign committee.



Sec.  300.11  Prohibitions on fundraising for and donating to certain
tax-exempt organizations (52 U.S.C. 30125(d)).

    (a) Prohibitions. A national committee of a political party, 
including a national congressional campaign committee, must not solicit 
any funds for, or make or direct any donations of non-Federal funds to, 
the following organizations:
    (1) An organization that is described in 26 U.S.C. 501(c) and exempt 
from taxation under section 26 U.S.C. 501(a) and that makes expenditures 
or disbursements in connection with an election for Federal office, 
including expenditures or disbursements for Federal election activity;
    (2) An organization that has submitted an application for tax-exempt 
status under 26 U.S.C. 501(c) and that makes expenditures or 
disbursements in connection with an election for Federal office, 
including expenditures or disbursements for Federal election activity; 
or
    (3) An organization described in 26 U.S.C. 527, unless the 
organization is:
    (i) A political committee under 11 CFR 100.5;
    (ii) A State, district, or local committee of a political party; or
    (iii) The authorized campaign committee of a State or local 
candidate;
    (b) Application. This section also applies to:
    (1) An officer or agent acting on behalf of a national party 
committee, including a national congressional campaign committee;
    (2) An entity that is directly or indirectly established, financed, 
maintained, or controlled by a national party committee, including a 
national congressional campaign committee, or an officer or agent acting 
on behalf of such an entity; or
    (3) An entity that is directly or indirectly established, financed, 
maintained or controlled by an agent of a national committee of a 
political party, including a national congressional campaign committee.
    (c) Determining whether a section 501(c) organization makes 
expenditures or disbursements in connection with Federal elections. In 
determining whether a section 501(c) organization is one that makes 
expenditures or disbursements in connection with a Federal election, 
including expenditures or disbursements for Federal election activity, 
pursuant to paragraphs (a)(1) and (2) of this section, a national 
committee of a political party, including a national congressional 
campaign committee, or

[[Page 249]]

any other person described in paragraph (b) of this section, may obtain 
and rely upon a certification from the organization that satisfies the 
criteria described in paragraph (d) of this section.
    (d) Certification. A national committee of a political party, 
including a national congressional campaign committee, or any person 
described in paragraph (b) of this section, may rely upon a 
certification that meets all of the following criteria:
    (1) The certification is a signed written statement by an officer or 
other authorized representative of the organization with knowledge of 
the organization's activities;
    (2) The certification states that within the current election cycle, 
the organization has not made, and does not intend to make, expenditures 
or disbursements in connection with an election for Federal office 
(including for Federal election activity); and
    (3) The certification states that the organization does not intend 
to pay debts incurred from the making of expenditures or disbursements 
in connection with an election for Federal office (including for Federal 
election activity) in a prior election cycle.
    (e) If a national committee of a political party or any person 
described in paragraph (b) of this section has actual knowledge that the 
certification is false, the certification may not be relied upon.
    (f) It is not prohibited for a national party or its agent to 
respond to a request for information about a tax-exempt group that 
shares the party's political or philosophical goals.

[67 FR 49120, July 29, 2002, as amended at 70 FR 12789, Mar. 16, 2005]



Sec.  300.12  [Reserved]



Sec.  300.13  Reporting (52 U.S.C. 30101 note and 30104(e)).

     The national committee of a political party, any national 
congressional campaign committee of a political party, and any 
subordinate committee of either, shall report all receipts and 
disbursements during the reporting period.

[67 FR 49120, July 29, 2002, as amended at 79 FR 77850, Dec. 29, 2014; 
81 FR 94240, Dec. 23, 2016]



 Subpart B_State, District, and Local Party Committees and Organizations



Sec.  300.30  Accounts.

    (a) Scope and introduction. This section applies to State, district, 
or local committees or organizations of a political party, whether or 
not the committee is a political committee under 11 CFR 100.5, that have 
receipts or make disbursements for Federal election activity. Paragraph 
(b) of this section describes and explains the types of accounts 
available to a political party committee or organization covered by this 
section. Paragraph (c) of this section sets out the account structure 
that must be maintained by a political party committee or organization 
covered by this section.
    (b) Types of accounts. Each State, district, and local party 
organization or committee that has receipts or makes disbursements for 
Federal election activity must establish one or more of the following 
types of accounts, pursuant to paragraph (c) of this section.
    (1) Non-Federal accounts. The funds deposited into this account are 
governed by State law. Disbursements, contributions, and expenditures 
made wholly or in part in connection with Federal elections must not be 
made from any non-Federal account, except as permitted by paragraph 
(c)(3)(ii) of this section, 11 CFR 102.5(a)(4), 11 CFR 106.7(d)(1)(i), 
11 CFR 300.33 and 11 CFR 300.34.
    (2) Levin account. The funds deposited into this account must comply 
with 11 CFR 300.31. Such funds may be used for the categories of 
activities described at 11 CFR 300.32(b).
    (3) Federal account. Federal accounts may be used for the deposit of 
contributions and the making of expenditures pursuant to the following 
conditions:
    (i) Only contributions that are permissible pursuant to the 
limitations

[[Page 250]]

and prohibitions of the Act may be deposited into any Federal account, 
regardless of whether such contributions are for use in connection with 
Federal or non-Federal elections. See 11 CFR 103.3 regarding 
impermissible funds.
    (ii) Only contributions solicited and received pursuant to the 
following conditions may be deposited in a Federal account:
    (A) Contributions must be designated by the contributors for the 
Federal account;
    (B) The solicitation must expressly state that contributions may be 
used wholly or in part in connection with a Federal election; or
    (C) The contributor must be informed that all contributions are 
subject to the limitations and prohibitions of the Act.
    (iii) All disbursements, contributions, and expenditures made wholly 
or in part by any State, district, or local party organization or 
committee in connection with a Federal election must be made from 
either:
    (A) A Federal account, except as permitted by 11 CFR 300.32; or
    (B) A separate allocation account (see paragraph (b)(4) of this 
section).
    (iv) If all payments in connection with a Federal election, 
including payments for Federal election activities, are to be made from 
a Federal account, expenditures and disbursements for costs that are 
allocable pursuant to 11 CFR 106.7 or 11 CFR 300.33 must be made from 
the Federal account in their entirety, with the shares of a non-Federal 
account or of a Levin account being transferred to the Federal account 
pursuant to 11 CFR 106.7 and 11 CFR 300.33.
    (v) No transfers may be made to a Federal account from any other 
account(s) maintained by a State, district, or local party committee or 
organization from any other party organization or committee at any level 
for the purpose of financing activity in connection with Federal 
elections, except as provided by paragraph (b)(3)(iv) of this section or 
11 CFR 300.33 and 300.34.
    (4) Allocation accounts. At the discretion of the party committee or 
organization, separate allocation accounts may be established for 
purposes of making allocable expenditures and disbursements.
    (i) Only funds from the party organization's or committee's Federal 
and non-Federal accounts may be deposited into an allocation account 
used to make allocable expenditures and disbursements for activities in 
connection with Federal and non-Federal elections.
    (ii) Only funds from the party organization's or committee's Federal 
account and Levin funds from its non-Federal or Levin account(s) may be 
deposited into an allocation account used to make allocable expenditures 
and disbursements for activities undertaken pursuant to 11 CFR 
300.32(b).
    (iii) Once a party organization or committee has established a 
separate allocation account for activities in connection with Federal 
and non-Federal elections and a separate account for activities 
undertaken pursuant to 11 CFR 300.32(b), all allocable expenses must be 
paid from the appropriate allocation account for as long as that account 
is maintained.
    (iv) The party organization or committee must transfer to the 
appropriate allocation account funds from its Federal and non-Federal or 
Levin accounts in amounts proportionate to the Federal, non-Federal and 
Levin shares of each allocable expense pursuant to 11 CFR 106.7 and 11 
CFR 300.33. The transfers must be made pursuant to 11 CFR 300.33 and 
300.34.
    (v) No funds contained in an allocation account may be transferred 
to any other account maintained by the party committee or organization.
    (vi) For reporting purposes, all allocation accounts must be treated 
as Federal accounts.
    (c) Required account or accounts. Each State, district, and local 
party organization or committee that has receipts or makes disbursements 
for Federal election activity must establish its accounts in accordance 
with paragraphs (c)(1), or (c)(2), or (c)(3) of this section.
    (1) One or more Federal accounts in a campaign depository, in 
accordance with 11 CFR part 103, which must be treated as a separate 
political committee and be required to comply with the requirements of 
the Act including

[[Page 251]]

the registration and reporting requirements of 11 CFR part 102 and part 
104. State, district, and local party organizations or committees may 
choose to make non-Federal disbursements, subject to State law, and 
disbursements for Federal election activity from a Federal account 
provided that such disbursements are reported pursuant to 11 CFR 104.17 
and 11 CFR 300.36, and provided that contributors of the Federal funds 
so used were notified that their contributions were subject to the 
limitations and prohibitions of the Act.
    (2) Establish at least three separate accounts in depositories as 
follows--
    (i) One or more Federal accounts;
    (ii) One or more Levin accounts; and
    (iii) One or more Non-Federal accounts.
    (3) Establish two separate accounts in depositories as follows:
    (i) One or more Federal accounts, and;
    (ii) An account that must function as both a Non-Federal account and 
a Levin account. If such an account is used, the State, district, and 
local party must 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 disbursement for activities undertaken pursuant to 11 CFR 
300.32(b), that organization had received sufficient contributions or 
Levin funds to make such disbursement.
    (d) Recordkeeping. All party organizations or committees must keep 
records of deposits into and disbursements from such accounts, and, upon 
request, must make such records available for examination by the 
Commission.



Sec.  300.31  Receipt of Levin funds.

    (a) General rule. Levin funds expended or disbursed by any State, 
district, or local committee must be raised solely by the committee that 
expends or disburses them.
    (b) Compliance with State law. Each donation of Levin funds 
solicited or accepted by a State, district, or local committee of a 
political party must be lawful under the laws of the State in which the 
committee is organized.
    (c) Donations from sources permitted by State law but prohibited by 
the Act. If the laws of the State in which a State, district, or local 
committee of a political party is organized permit donations to the 
committee from a source prohibited by the Act and this chapter, other 
than 52 U.S.C. 30121, the committee may solicit and accept donations of 
Levin funds from that source, subject to paragraph (d) of this section.
    (d) Donation amount limitation--(1) General rule. A State, district, 
or local committee of a political party must not solicit or accept from 
any person (including any entity established, financed, maintained, or 
controlled by such person) one or more donations of Levin funds 
aggregating more than $10,000 in a calendar year.
    (2) Effect of different State limitations. If the laws of the State 
in which a State, district, or local committee of a political party is 
organized limit donations to that committee to less than the amount 
specified in paragraph