[Title 11 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2000 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
11
Revised as of January 1, 2000
Federal Elections
Containing a Codification of documents of general
applicability and future effect
As of January 1, 2000
With Ancillaries
Published by:
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 2000
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation.................................................. v
Title 11:
Chapter I--Federal Election Commission............... 3
Finding Aids:
Indexes to Regulations:
Administrative Regulations, Parts 1-8; 200-201....... 291
General, Parts 100-116............................... 297
General Election Financing, Parts 9001-9007 and 9012. 343
Federal Financing of Presidential Nominating
Conventions, Part 9008............................... 355
Presidential Primary Matching Fund, Parts 9031-9039.. 363
Table of CFR Titles and Chapters......................... 381
Alphabetical List of Agencies Appearing in the CFR....... 399
List of CFR Sections Affected............................ 409
[[Page iv]]
----------------------------
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
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, January 1, 2000), consult the ``List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
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
amendments to existing regulations in the CFR. These OMB numbers are
placed as close as possible to the applicable recordkeeping or reporting
requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I). A list of CFR titles, chapters,
and parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-523-5227
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, Washington, DC 20408 or e-mail
[email protected].
SALES
The Government Printing Office (GPO) processes all sales and
distribution of the CFR. For payment by credit card, call 202-512-1800,
M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours
a day. For payment by check, write to the Superintendent of Documents,
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO
Customer Service call 202-512-1803.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of
CFR Sections Affected), The United States Government Manual, the Federal
Register, Public Laws, Weekly Compilation of Presidential Documents and
the Privacy Act Compilation are available in electronic format at
www.access.gpo.gov/nara (``GPO Access''). For more information, contact
Electronic Information Dissemination Services, U.S. Government Printing
Office. Phone 202-512-1530, or 888-293-6498 (toll-free). E-mail,
[email protected].
[[Page vii]]
The Office of the Federal Register also offers a free service on the
National Archives and Records Administration's (NARA) World Wide Web
site for public law numbers, Federal Register finding aids, and related
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA
site also contains links to GPO Access.
Raymond A. Mosley,
Director,
Office of the Federal Register.
January 1, 2000.
[[Page ix]]
THIS TITLE
Title 11--Federal Elections is composed of one volume. The contents
of this volume represent all current regulations issued by the Federal
Election Commission codified under this title of the CFR as of January
1, 2000.
Indexes to regulations for ``parts 1-8,'' ``parts 100-116,'' ``parts
200-201,'' ``parts 9001-9007 and 9012,'' ``part 9008,'' and ``parts
9031-9039,'' appear in the Finding Aids section of this volume.
For this volume, Jonn V. Lilyea was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 11--FEDERAL ELECTIONS
-----------------------------------------------------------------------
Part
Chapter I--Federal Election Commission...................... 1
Cross References: Other regulations implementing section 401 of the
Federal Election Campaign Act of 1971 appear in:
Office of the Secretary, Department of Transportation: 14 CFR part
374a
Federal Communications Commission: 47 CFR part 64 (subpart H), 47
CFR Secs. 73.1910--73.1944
Interstate Commerce Commission: 49 CFR part 1325
[[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 Division
documents............................... 22
6 Enforcement of nondiscrimination on the
basis of handicap in programs or
activities conducted by the Federal
Election Commission..................... 24
7 Standards of conduct........................ 31
8 National Voter Registration Act (42 U.S.C.
1973gg-1 et seq.)....................... 42
SUBCHAPTER A--GENERAL
100 Scope and definitions (2 U.S.C. 431)........ 46
101 Candidate status and designations (2 U.S.C.
432(e))................................. 67
102 Registration, organization, and
recordkeeping by political committees (2
U.S.C. 433)............................. 68
103 Campaign depositories (2 U.S.C. 432(h))..... 81
104 Reports by political committees (2 U.S.C.
434).................................... 82
105 Document filing (2 U.S.C. 432(g))........... 101
106 Allocations of candidate and committee
activities.............................. 102
107 Presidential nominating convention,
registration and reports................ 114
108 Filing copies of reports and statements with
State officers (2 U.S.C. 439)........... 115
109 Independent expenditures (2 U.S.C. 431(17),
434(c))................................. 116
110 Contribution and expenditure limitations and
prohibitions............................ 118
111 Compliance procedure (2 U.S.C. 437g,
437d(a))................................ 141
112 Advisory opinions (2 U.S.C. 437f)........... 148
113 Excess campaign funds and funds donated to
support Federal officeholder activities
(2 U.S.C. 439a)......................... 150
114 Corporate and labor organization activity... 154
115 Federal contractors......................... 177
[[Page 4]]
116 Debts owed by candidates and political
committees.............................. 179
SUBCHAPTER B--ADMINISTRATIVE REGULATIONS
200 Petitions for rulemaking.................... 188
201 Ex parte communications..................... 189
SUBCHAPTERS C-D [RESERVED]
SUBCHAPTER E--PRESIDENTIAL ELECTION CAMPAIGN FUND: GENERAL ELECTION
FINANCING
9001 Scope....................................... 192
9002 Definitions................................. 192
9003 Eligibility for payments.................... 195
9004 Entitlement of eligible candidates to
payments; use of payments............... 205
9005 Certification by Commission................. 214
9006 Reports and recordkeeping................... 215
9007 Examinations and audits; Repayments......... 216
9008 Federal Financing of Presidential nominating
conventions............................. 225
9009-9011 [Reserved]
9012 Unauthorized expenditures and contributions. 240
SUBCHAPTER F--PRESIDENTIAL ELECTION CAMPAIGN FUND: PRESIDENTIAL PRIMARY
MATCHING FUND
9031 Scope....................................... 243
9032 Definitions................................. 243
9033 Eligibility for payments.................... 245
9034 Entitlements................................ 253
9035 Expenditure limitations..................... 268
9036 Review of matching fund submissions and
certification of payments by Commission. 270
9037 Payments and reporting...................... 276
9038 Examination and audits...................... 277
9039 Review and investigation authority.......... 286
[[Page 5]]
PART 1--PRIVACY ACT--Table of Contents
Sec.
1.1 Purpose and scope.
1.2 Definitions.
1.3 Procedures for requests pertaining to individual records in a
record system.
1.4 Times, places, and requirements for identification of individuals
making requests.
1.5 Disclosure of requested information to individuals.
1.6 Special procedure: Medical records. [Reserved]
1.7 Request for correction or amendment to record.
1.8 Agency review of request for correction or amendment of record.
1.9 Appeal of initial adverse agency determination on amendment or
correction.
1.10 Disclosure of record to person other than the individual to whom
it pertains.
1.11 Fees.
1.12 Penalties.
1.13 General exemptions. [Reserved]
1.14 Specific exemptions.
Authority: 5 U.S.C. 552a.
Source: 41 FR 43064, Sept. 29, 1976, unless otherwise noted.
Sec. 1.1 Purpose and scope.
(a) The purpose of this part is to set forth rules informing the
public as to what information is maintained by the Federal Election
Commission about identifiable individuals and to inform those
individuals how they may gain access to and correct or amend information
about themselves.
(b) The regulations in this part carry out the requirements of the
Privacy Act of 1974 (Pub. L. 93-579) and in particular 5 U.S.C. 552a as
added by that Act.
(c) The regulations in this part apply only to records disclosed or
requested under the Privacy Act of 1974, and not to requests for
information made pursuant to 5 U.S.C. 552, the Freedom of Information
Act, or requests for reports and statements filed with the Federal
Election Commission which are public records and available for
inspection and copying pursuant to 2 U.S.C. 437g(a)(4) (C) and
438(a)(4).
[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980]
Sec. 1.2 Definitions.
As defined in the Privacy Act of 1974 and for the purposes of this
part, unless otherwise required by the context, the following terms
shall have these meanings:
Individual means a citizen of the United States or an alien lawfully
admitted for permanent residence.
Maintain includes maintain, collect, use or disseminate.
Record means any item, collection, or grouping of information about
an individual that is maintained by an agency, including but not limited
to his or her education, financial transactions, medical history, and
criminal or employment history and that contains his or her name, or the
identifying number, symbol or other identifying particular assigned to
the individual, such as finger or voice print or a photograph.
Systems of Records means a group of any records under the control of
the Federal Election Commission from which information is retrieved by
the name of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual.
Routine use means the use of such record for a purpose compatible
with the purpose for which the information was collected.
Commission means the Federal Election Commission, its Commissioners
and employees.
Commissioners means the six appointees confirmed by the Senate who
are voting members of the Commission.
Act means the Federal Election Campaign Act of 1971, as amended and
chapters 95 and 96 of the Internal Revenue Code of 1954.
Sec. 1.3 Procedures for requests pertaining to individual records in a record system.
(a) Any individual may request the Commission to inform him or her
whether a particular record system named by the individual contains a
record pertaining to him or her. The request may be made in person or in
writing at the location and to the person specified in the notice
describing that record system.
(b) An individual who believes that the Commission maintains records
pertaining to him or her but who cannot
[[Page 6]]
determine which record system contains those records, may request
assistance by mail or in person from the Staff Director, Federal
Election Commission, 999 E Street, NW., Washington, DC 20463 during the
hours of 9 a.m. to 5:30 p.m.
(c) Requests under paragraphs (a) or (b) of this section shall be
acknowledged by the Commission within 15 days from the date of receipt
of the request. If the Commission is unable to locate the information
requested under paragraphs (a) or (b) of this section, it shall so
notify the individual within 15 days after receipt of the request. Such
acknowledgement may request additional information to assist the
Commission in locating the record or it may advise the individual that
no record or document exists about that individual.
[41 FR 43064, Sept. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 1.4 Times, places, and requirements for identification of individuals making requests.
(a) After being informed by the Commission that a record system
contains a record pertaining to him or her, an individual may request
the Commission to disclose that record in the manner described in this
section. Each request for the disclosure of a record or a copy of it
shall be made at the Federal Election Commission, 999 E Street, NW.,
Washington, DC 20463 and to the system manager identified in the notice
describing the systems of records, either in writing or in person.
Requests may be made by specifically authorized agents or by parents or
guardians of individuals.
(b) Each individual requesting the disclosure of a record or copy of
a record shall furnish the following information with his or her
request:
(1) The name of the record system containing the record;
(2) Proof as described in paragraph (c) of this section that he or
she is the individual to whom the requested record relates;
(3) Any other information required by the notice describing the
record system.
(c) Proof of identity as required by paragraph (b)(2) of this
section shall be provided as described in paragraphs (c) (1) and (2) of
this section. Requests made by an agent, parent, or guardian, shall be
in accordance with the procedures described in Sec. 1.10.
(1) Requests made in writing shall include a statement, signed by
the individual and either notarized or witnessed by two persons
(including witnesses' addresses). If the individual appears before a
notary, he or she shall submit adequate proof of identification in the
form of a drivers license, birth certificate, passport or other
identification acceptable to the notary. If the statement is witnessed,
it shall include a sentence above the witnesses' signatures that they
personally know the individual or that the individual has submitted
proof of his or her identification to their satisfaction. In any case in
which, because of the extreme sensitivity of the record sought to be
seen or copied, the Commission determines that the identification is not
adequate, it may request the individual to submit additional proof of
identification.
(2) If the request is made in person, the requestor shall submit
proof of identification similar to that described in paragraph (c)(1) of
this section, acceptable to the Commission. The individual may have a
person of his or her own choosing accompany him or her when the record
is disclosed.
[41 FR 43064, Sept. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 1.5 Disclosure of requested information to individuals.
(a) Upon submission of proof of identification as required by
Sec. 1.4, the Commission shall allow the individual to see and/or obtain
a copy of the requested record or shall send a copy of the record to the
individual by registered mail. If the individual requests to see the
record, the Commission may make the record available either at the
location where the record is maintained or at a place more suitable to
the requestor, if possible. The record shall be made available as soon
as possible but in no event later than 15 days after proof of
identification.
(b) The Commission must furnish each record requested by an
individual
[[Page 7]]
under this part in a form intelligible to that individual.
(c) If the Commission denies access to a record to an individual, he
or she shall be advised of the reason for the denial and advised of the
right to judicial review.
(d) Upon request, an individual will be provided access to the
accounting of disclosures from his or her record under the same
procedures as provided above and in Sec. 1.4.
Sec. 1.6 Special procedure: Medical records. [Reserved]
Sec. 1.7 Request for correction or amendment to record.
(a) Any individual who has reviewed a record pertaining to him or
her that was furnished under this part, may request the Commission to
correct or amend all or any part of that record.
(b) Each individual requesting a correction or amendment shall send
the request to the Commission through the person who furnished the
record.
(c) Each request for a correction or amendment of a record shall
contain the following information:
(1) The name of the individual requesting the correction or
amendment;
(2) The name of the system of records in which the record sought to
be amended is maintained;
(3) The location of the system of records from which the individual
record was obtained;
(4) A copy of the record sought to be amended or corrected or a
sufficiently detailed description of that record;
(5) A statement of the material in the record that the individual
desires to correct or amend;
(6) A statement of the basis for the requested correction or
amendment including any material that the individual can furnish to
substantiate the reasons for the correction or amendment sought.
Sec. 1.8 Agency review of request for correction or amendment of record.
(a) The Commission shall, not later than ten (10) days (excluding
Saturdays, Sundays and legal holidays) after the receipt of the request
for a correction or amendment of a record under Sec. 1.7, acknowledge
receipt of the request and inform the individual whether information is
required before the correction or amendment can be considered.
(b) If no additional information is required, within ten (10) days
from receipt of the request, the Commission shall either make the
requested correction or amendment or notify the individual of its
refusal to do so, including in the notification the reasons for the
refusal, and the appeal procedures provided in Sec. 1.9.
(c) The Commission shall make each requested correction or amendment
to a record if that correction or amendment will tend to negate
inaccurate, irrelevant, untimely, or incomplete matter in the record.
(d) The Commission shall inform prior recipients of any amendment or
correction or notation of dispute of such individual's record if an
accounting of the disclosure was made. The individual may request a list
of prior recipients if an accounting of the disclosure was made.
Sec. 1.9 Appeal of initial adverse agency determination on amendment or correction.
(a) Any individual whose request for a correction or amendment has
been denied in whole or in part, may appeal that decision to the
Commissioners no later than one hundred eighty (180) days after the
adverse decision is rendered.
(b) The appeal shall be in writing and shall contain the following
information:
(1) The name of the individual making the appeal;
(2) Identification of the record sought to be amended;
(3) The record system in which that record is contained;
(4) A short statement describing the amendment sought; and
(5) The name and location of the agency official who initially
denied the correction or amendment.
(c) Not later than thirty (30) days (excluding Saturdays, Sundays
and legal holidays) after the date on which the Commission receives the
appeal, the Commissioners shall complete their review of the appeal and
make a final decision thereon. However, for good cause shown, the
Commissioners
[[Page 8]]
may extend that thirty (30) day period. If the Commissioners extend the
period, the individual requesting the review shall be promptly notified
of the extension and the anticipated date of a decision.
(d) After review of an appeal, the Commission shall send a written
notice to the requestor containing the following information:
(1) The decision and, if the denial is upheld, the reasons for the
decision;
(2) The right of the requestor to institute a civil action in a
Federal District Court for judicial review of the decision; and
(3) The right of the requestor to file with the Commission a concise
statement setting forth the reasons for his or her disagreement with the
Commission denial of the correction or amendment. The Commission shall
make this statement available to any person to whom the record is later
disclosed, together with a brief statement, if appropriate, of the
Commission's reasons for denying the requested correction or amendment.
The Commission shall also send a copy of the statement to prior
recipients of the individual's record if an accounting of the
disclosures was made.
Sec. 1.10 Disclosure of record to person other than the individual to whom it pertains.
(a) Any individual who desires to have a record covered by this part
disclosed to or mailed to another person may designate such person and
authorize such person to act as his or her agent for that specific
purpose. The authorization shall be in writing, signed by the individual
and notarized or witnessed as provided in Sec. 1.4(c).
(b) The parent of any minor individual or the legal guardian of any
individual who has been declared by a court of competent jurisdiction to
be incompetent, due to physical or mental incapacity or age, may act on
behalf of that individual in any matter covered by this part. A parent
or guardian who desires to act on behalf of such an individual shall
present suitable evidence of parentage or guardianship, by birth
certificate, certified copy of a court order, or similar documents, and
proof of the individual's identity in a form that complies with
Sec. 1.4(c) of this part.
(c) An individual to whom a record is to be disclosed in person,
pursuant to this part may have a person of his or her own choosing
accompany him or her when the record is disclosed.
Sec. 1.11 Fees.
(a) The Commission shall not charge an individual for the costs of
making a search for a record or the costs of reviewing the record. When
the Commission makes a copy of a record as a necessary part of the
process of disclosing the record to an individual, the Commission shall
not charge the individual for the cost of making that copy.
(b) If an individual requests the Commission to furnish a copy of
the record, the Commission shall charge the individual for the costs of
making the copy. The fee that the Commission has established for making
a copy is ten cents ($.10) per page.
Sec. 1.12 Penalties.
Any person who makes a false statement in connection with any
request for a record, or an amendment or correction thereto, under this
part, is subject to the penalties prescribed in 18 U.S.C. 494 and 495.
Sec. 1.13 General exemptions. [Reserved]
Sec. 1.14 Specific exemptions.
(a) No individual, under the provisions of these regulations, shall
be entitled to access to materials compiled in its systems of records
identified as FEC audits and investigations (FEC 2) or FEC compliance
actions (FEC 3). These exempted systems relate to the Commission's power
to exercise exclusive civil jurisdiction over the enforcement of the Act
under 2 U.S.C. 437d (a)(6) and (e); and to defend itself in actions
filed against it under 2 U.S.C. 437d(a)(6). Further the Commission has a
duty to investigate violations of the Act under 2 U.S.C. 437g(a)(2); to
conduct audits and investigations pursuant to 2 U.S.C. 438(b); 26 U.S.C.
9007 and 9038; and to refer apparent violations of the Act to the
Attorney General or other law enforcement authorities under 2 U.S.C.
437g(a)(5) and 437d(9). Information contained in FEC systems 2
[[Page 9]]
and 3 contain the working papers of the Commission staff and form the
basis for either civil and/or criminal proceedings pursuant to the
exercise of the powers and duties of the Commission. These materials
must be protected until such time as they are subject to public access
under the provision of 2 U.S.C. 437g(a)(4)(B) or 5 U.S.C. 552, or other
relevant statutes.
(b)(1) Pursuant to 5 U.S.C. 552a(j)(2), records contained in FEC 12,
Office of Inspector General Investigative Files, are exempt from the
provisions of 5 U.S.C. 552a, except subsections (b), (c) (1) and (2),
(e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11) and (f) , and
the corresponding provisions of 11 CFR part 1, to the extent this system
of records relates in any way to the enforcement of criminal laws.
(2) Pursuant to 5 U.S.C. 552a(k)(2), FEC 12, Office of Inspector
General Investigative Files, is exempt from 552a (c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I), and (f), and the corresponding provisions of 11
CFR part 1, to the extent the system of records consists of
investigatory material compiled for law enforcement purposes, except for
material that falls within the exemption included in paragraph (b)(1) of
this section.
(c) The provisions of paragraph (a) of this section shall not apply
to the extent that application of the subsection would deny any
individual any right, privilege or benefit to which he or she would
otherwise be entitled to receive.
[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980;
60 FR 4073, Jan. 20, 1995]
PART 2--SUNSHINE REGULATIONS; MEETINGS--Table of Contents
Sec.
2.1 Scope.
2.2 Definitions.
2.3 General rules.
2.4 Exempted meetings.
2.5 Procedures for closing meetings.
2.6 Transcripts and recordings.
2.7 Announcement of meetings and schedule changes.
2.8 Annual report.
Authority: Sec. 3(a), Pub. L. 94-409, 5 U.S.C. 552b.
Source: 50 FR 39972, Oct. 1, 1985, unless otherwise noted.
Sec. 2.1 Scope.
These regulations are promulgated pursuant to the directive of 5
U.S.C. 552b(g) which was added by section 3(a) of Public Law 94-409, the
Government in the Sunshine Act, and specifically implement section 3 of
that Act.
Sec. 2.2 Definitions.
(a) Commission. Commission means the Federal Election Commission,
999 E Street, NW., Washington, DC 20463.
(b) Commissioner or Member. Commissioner or Member means an
individual appointed to the Federal Election Commission pursuant to 2
U.S.C. 437c and section 101(e) of Public Law 94-283 and shall also
include ex-officio non-voting Commissioners or Members, the Secretary of
the Senate and the Clerk of the House, but does not include a proxy or
other designated representative of a Commissioner.
(c) Person. Person means an individual, including employees of the
Commission, partnership, corporation, association, or public or private
organization, other than an agency of the United States Government.
(d) Meeting. (1) Meeting means the deliberation of at least four
voting members of the Commission in collegia where such deliberations
determine or result in the joint conduct or disposition of official
Commission business. For the purpose of this section, joint conduct does
not include, for example, situations where the requisite number of
members is physically present in one place but not conducting agency
business as a body (e.g., at a meeting at which one member is giving a
speech while a number of other members are present in the audience). A
deliberation conducted through telephone or similar communications
equipment by means of which all persons participating can hear each
other will be considered a meeting under this section.
(2) The term meeting does not include the process of notation voting
by circulated memorandum for the purpose of expediting consideration of
routine matters. It also does not include deliberations to schedule a
meeting, to take action to open or close a meeting, or to
[[Page 10]]
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]
Sec. 2.3 General rules.
(a) Commissioners shall not jointly conduct, determine or dispose of
Commission business other than in accordance with this part.
(b) Except as provided in 11 CFR 2.4, every portion of every
Commission meeting shall be open to public observation.
(c) No additional right to participate in Commission meetings is
granted to any person by this part. A meeting is not part of the formal
or informal record of decision of the matters discussed therein except
as otherwise required by law. Statements of views or expressions of
opinions made by Commissioners or FEC employees at meetings are not
intended to represent final determinations or beliefs.
(d) Members of the public attending open Commission meetings may use
small electronic sound recorders to record the meeting, but the use of
other electronic recording equipment and cameras requires advance notice
to and coordination with the Commission's Press Officer.
Sec. 2.4 Exempted meetings.
(a) Meetings required by statute to be closed. Meetings concerning
matters specifically exempted from disclosure by statutes which require
public withholding in such a manner as to leave no discretion for the
Commission on the issue, or which establish particular types of matters
to be withheld, shall be closed to public observation in accordance with
the procedures of 11 CFR 2.5.
(1) As required by 2 U.S.C. 437g(a)(12), all Commission meetings, or
portions of meetings, pertaining to any notification or investigation
that a violation of the Act has occurred, shall be closed to the public.
(2) For the purpose of this section, any notification or
investigation that a violation of the Act has occurred includes, but is
not limited to, determinations pursuant to 2 U.S.C. 437g, the issuance
of subpoenas, discussion of referrals to the Department of Justice, or
consideration of any other matter related to the Commission's
enforcement activity, as set forth in 11 CFR part 111.
(b) Meetings closed by Commission determination. Except as provided
in 11 CFR 2.4(c), the requirement of open meetings will not apply where
the Commission finds, in accordance with 11 CFR 2.5, that an open
meeting or the release of information is likely to result in the
disclosure of:
(1) Matters that relate solely to the Commission's internal
personnel decisions, or internal rules and practices.
(i) This provision includes, but is not limited to, matters relating
to Commission policies on working conditions, or materials prepared
predominantly for internal use, the disclosure of which would risk
circumvention of Commission regulations; but
(ii) This provision does not include discussions or materials
regarding employees' dealings with the public, such as personnel manuals
or Commission directives setting forth job functions or procedures;
(2) Financial or commercial information obtained from any person
which is privileged or confidential;
(3) Matters which involve the consideration of a proceeding of a
formal nature by the Commission against a specific person or the formal
censure of any person;
(4) Information of a personal nature where disclosure would
constitute a clearly unwarranted invasion of personal privacy;
(5) Investigatory records compiled for law enforcement purposes, or
information which if written would be contained in such records, but
only to the extent that the production of such records or information
would:
(i) Interfere with enforcement proceedings,
(ii) Deprive a person of a right to a fair trial or an impartial
adjudication,
(iii) Constitute an unwarranted invasion of personal privacy,
(iv) Disclose the identity of a confidential source,
(v) Disclose investigative techniques and procedures, or
(vi) Endanger the life or physical safety of law enforcement
personnel;
[[Page 11]]
(6) Information the premature disclosure of which would be likely to
have a considerable adverse effect on the implementation of a proposed
Commission action, as long as the Commission has not already disclosed
the content or nature of its proposed action, or is not required by law
to disclose it prior to final action; or
(7) Matters that specifically concern the Commission's participation
in a civil action or proceeding, or an arbitration, or involving a
determination on the record after opportunity for a hearing.
(c) Nothwithstanding the applicability of any exemptions set forth
in 11 CFR 2.4(b), the Commission may determine that the public interest
requires a meeting to be open.
Sec. 2.5 Procedures for closing meetings.
(a) General. No meeting or portion of a meeting may be closed to the
public observation under this section unless a majority of the
Commissioners (not including ex officio non-voting Commissioners) votes
to take such action. The closing of one portion of a meeting shall not
justify closing any other portion of a meeting.
(b) Certification. Each time the Commission votes to close a
meeting, the General Counsel shall publicly certify that, in his or her
opinion, each item on the agenda may properly be closed to public
observation. The certification shall state each relevant exemption
provision. The original copy of the certification shall be attached to,
and preserved with, the statement required by 11 CFR 2.5(d).
(c) Voting procedures. (1) No meeting need be held to consider
closing a meeting. The Commission may vote to close a meeting or any
portion thereof by using its notation vote procedures.
(i) A separate vote shall be taken with respect to each item on an
agenda proposed to be closed in whole or in part pursuant to 11 CFR 2.4,
or with respect to any information proposed to be withheld under 11 CFR
2.4.
(ii) A single vote may be taken with respect to a particular matter
to be discussed in a series of closed meetings, or with respect to any
information concerning such series of meetings, so long as each meeting
in the series is scheduled to be held no more than 30 days after the
initial meeting.
(iii) This section shall not affect the Commission's practice of
setting dates for closed meetings more than 30 days in advance of such
meetings.
(2) The Commission Secretary shall record the vote of each
Commissioner participating in the vote. No proxies, written or
otherwise, shall be counted.
(3)(i) A Commissioner may object to a recommendation to close the
discussion of a particular matter or may assert a claim of exemption for
a matter scheduled to be discussed in an open meeting. Such objection or
assertion will be discussed by the Commission at the next scheduled
closed meeting, to determine whether the matter in question should be
discussed in a closed meeting.
(ii) An objection for the record only will not cause the objection
to be placed on any agenda.
(d) Public statement of vote. (1) If the Commission votes to close a
meeting, or any portion thereof, under this section, it shall make
publicly available within 24 hours a written statement of the vote. The
written statement shall contain:
(i) A citation to the provision(s) of 11 CFR 2.4 under which the
meeting was closed to public observation and an explanation of why the
specific discussion comes within the cited exemption(s);
(ii) The vote of each Commissioner participating in the vote;
(iii) A list of the names of all persons expected to attend the
closed meeting and their affiliation. For purposes of this section,
affiliation means title or position, and name of employer, and in the
case of a representative, the name of the person represented. In the
case of Commission employees, the statement will reflect, through the
use of titles rather than individual names, that the Commissioners,
specified division heads and their staff will attend; and
(iv) The signature of the Commission Secretary.
(2) The original copy of the statement shall be maintained by the
Commission Secretary. A copy shall be posted on a public bulletin board
located in the Commission's Public Records Office.
[[Page 12]]
(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).
Sec. 2.6 Transcripts and recordings.
(a) The Commission Secretary shall maintain a complete transcript or
electronic recording adequate to record fully the proceedings of each
meeting, or portion of a meeting, closed to public observation. An
electronic recording of a meeting shall be coded, or other records shall
be kept in a manner adequate to identify each speaker.
(b)(1) In the case of any meeting closed pursuant to 11 CFR 2.4(b),
as the last item of business, the Commission will determine which, if
any, portions of the electronic recording or transcript and which if
any, items of information withheld under 11 CFR 2.5 contain information
which should be withheld pursuant to 11 CFR 2.4.
(2) Portions of transcripts or recordings determined to be outside
the scope of any exemptions under 11 CFR 2.6(b)(1) shall be promptly
made available to the public through the Commission's Public Records
Office at a cost sufficient to cover the Commission's actual cost of
duplication or transcription. Requests for such copies shall be made and
processed in accordance with the provisions of 11 CFR part 5.
(3) Portions of transcripts or electronic recordings not made
available immediately pursuant to 11 CFR 2.6(b)(1), and portions of
transcripts or recordings withheld pursuant to 11 CFR 2.4(a), will be
made available on request when the relevant exemptions no longer apply.
Such materials shall be requested and processed under the provisions of
11 CFR 2.6(b)(2).
(c) A complete verbatim copy of the transcript or a complete
electronic recording of each meeting, or portion of a meeting, closed to
the public, shall be maintained by the Commission Secretary in
confidential files of the Commission, for a minimum of two years
subsequent to such meeting, or a minimum of one year after the
conclusion of any agency proceeding with respect to which the meeting,
or portion of the meeting was held, whichever occurs later.
Sec. 2.7 Announcement of meetings and schedule changes.
(a)(1) In the case of each meeting, the Commission shall publicly
announce and shall submit such announcement for publication in the
Federal Register at least seven days prior to the day on which the
meeting is to be called to order. The Commission Secretary shall also
forward a copy of such announcement for posting in the Commission's
Public Records Office.
(2) Announcements made under this section shall contain the
following information:
(i) The date of the meeting;
(ii) The place of the meeting;
(iii) The subject matter of the meeting;
(iv) Whether the meeting is to be open or closed to the public; and
(v) The name and telephone number of the official designated by the
agency to respond to requests for information about the meeting.
(b) The public announcement and submission for publication shall be
made when required by 11 CFR 2.7(a) in the case of every Commission
meeting unless a majority of the Commissioners decide by recorded vote
that Commission business requires that the meeting be called at an
earlier date, in which case the Commission shall make at the
[[Page 13]]
earliest practicable time, the announcement required by this section and
a concurrent submission for publication of that announcement in the
Federal Register.
(c) The time or place of a meeting may be changed following the
public announcement required by 11 CFR 2.7 (a) or (b) only if the
Commission announces the change at the earliest practicable time.
(d) The subject matter of a meeting, or the determination of the
Commission to open or close a meeting, or portions of a meeting, to the
public may be changed following the public announcement required by 11
CFR 2.7 (a) or (b) only if:
(1) A majority of the entire membership of the Commission determines
by recorded vote that Commission business so requires and that no
earlier announcement of the change was possible; and
(2) The Commission publicly announces the change and the vote of
each member upon the change at the earliest practicable time.
Immediately following this announcement, the Commission shall submit for
publication in the Federal Register a notice containing the information
required by 11 CFR 2.7(a)(2), including a description of any change from
the earlier published notice.
Sec. 2.8 Annual report.
The Commission shall report annually to Congress regarding its
compliance with the requirements of the Government in the Sunshine Act
and of this part, including:
(a) A tabulation of the total number of Commission meetings open to
the public;
(b) The total number of such meetings closed to the public;
(c) The reasons for closing such meetings; and
(d) A description of any litigation brought against the Commission
under the Sunshine Act, including any costs assessed against the
Commission in such litigation (whether or not paid by the Commission).
PART 4--PUBLIC RECORDS AND THE FREEDOM OF INFORMATION ACT--Table of Contents
Sec.
4.1 Definitions.
4.2 Policy on disclosure of records.
4.3 Scope.
4.4 Availability of records.
4.5 Categories of exemptions.
4.6 Discretionary release of exempt records.
4.7 Requests for records.
4.8 Appeal of denial.
4.9 Fees.
Authority: 5 U.S.C. 552, as amended.
Source: 44 FR 33368, June 8, 1979, unless otherwise noted.
Sec. 4.1 Definitions.
As used in this part:
(a) Commission means the Federal Election Commission, established by
the Federal Election Campaign Act of 1971, as amended.
(b) Commissioner means the Secretary of the Senate, the Clerk of the
House, or their designees ex officio, or an individual appointed to the
Federal Election Commission pursuant to 2 U.S.C. 437c(a).
(c) Request means to seek the release of records under 5 U.S.C. 552.
(d) Requestor is any person who submits a request to the Commission.
(e) Act means the Federal Election Campaign Act of 1971, as amended
by the Federal Election Campaign Act Amendments of 1974, 1976, and 1979,
and unless specifically excluded, includes chapters 95 and 96 of the
Internal Revenue Code of 1954 relating to public financing of Federal
elections.
(f) Public Disclosure Division of the Commission is that division
which is responsible for, among other things, the processing of requests
for public access to records which are submitted to the Commission
pursuant to 2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), and 438(a).
(g) Direct costs means those expenditures which the Commission
actually incurs in searching for and duplicating (and, in the case of
commercial use requestors, reviewing) documents to respond to a FOIA
request. Direct costs include the salary of the employee performing the
work (the basic rate of pay for the employee plus 16 percent of that
rate to cover benefits) and the cost of
[[Page 14]]
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 looking for material that is
responsive to a FOIA request, including page-by-page or line-by-line
identification of material within documents. This includes both manual
searches and searches conducted with a computer using existing
programming. Search time does not include review of material in order to
determine whether the material is exempt from disclosure.
(i) Review means the process of examining a document located in
response to a commercial use request to determine whether any portion of
the document located is exempt from disclosure. Review also refers to
processing any document for disclosure, i.e., doing all that is
necessary to excise exempt portions of the document and otherwise
prepare the document for release. Review does not include time spent by
the Commission resolving general legal or policy issues regarding the
application of exemptions.
(j) Duplication means the process of making a copy of a document
necessary to respond to a FOIA request. Examples of the form such copies
can take include, but are not limited to, paper copy, microform, audio-
visual materials, or machine readable documentation (e.g., magnetic tape
or disk).
(k) Commercial use means a purpose that furthers the commercial,
trade, or profit interests of the requestor or the person on whose
behalf the request is made. The Commission's determination as to whether
documents are being requested for a commercial use will be based on the
purpose for which the documents are being requested. Where the
Commission has reasonable cause to doubt the use for which the requestor
claims to have made the request or where that use is not clear from the
request itself, the Commission will seek additional clarification before
assigning the request to a specific category.
(l) Educational institution means a preschool, a public or private
elementary or secondary school, an institution of graduate higher
education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
(m) Non-commercial scientific institution means an organization that
is not operated on a commercial basis, as that term is defined in
paragraph (k) of this section, and which is operated solely for the
purpose of conducting scientific research the results of which are not
intended to promote any particular product or industry.
(n) Representative of the news media means a person actively
gathering news for an entity that is organized and operated to publish
or broadcast news to the public. The term news means information that is
about current events or that would be of current interest to the public.
Examples of news media entities include, but are not limited to,
television or radio stations broadcasting to the public at large, and
publishers of periodicals (but only in those instances when they can
qualify as disseminators of news, as defined in this paragraph) who make
their products available for purchase or subscription by the general
public. A freelance journalist may be regarded as working for a news
organization and therefore considered a representative of the news media
if that person can demonstrate a solid basis for expecting publication
by that news organization, even though that person is not actually
employed by that organization. The best means by which a freelance
journalist can demonstrate a solid basis for expecting publication by a
news organization is by having a publication contract with that news
organization. When no such contract is present, the Commission will look
to the freelance journalist's past publication record in making this
determination.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 52
FR 39212, Oct. 21, 1987]
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
[[Page 15]]
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) and (a)(3) the Commission
shall make the following materials available for public inspection and
copying:
(1) Statements of policy and interpretation which have been adopted
by the Commission;
(2) Administrative staff manuals and instructions to staff that
affect a member of the public;
(3) Opinions of Commissioners rendered in enforcement cases and
General Counsel's reports and non-exempt 2 U.S.C. 437g investigatory
materials in enforcement files will be made available no later than 30
days from the date on which a respondent is notified that the Commission
has voted to take no further action and to close such an enforcement
file.
(4) Letter requests for guidance and responses thereto;
(5) The minutes of Commission meetings and transcripts made from
tapes of Commission meetings;
(6) Material routinely prepared for public distribution, e.g.
campaign guidelines, FEC Record, press releases, speeches, notices to
candidates and committees.
(7) Proposals submitted in response to a request for proposals
formulated pursuant to the Federal Procurement Regulations. 41 CFR 1-
1.001 et seq.
(8) Contracts for services and supplies entered into by the
Commission.
(9) Statements and certifications (with respect to closing meetings)
as required by the Government in the Sunshine Act, 5 U.S.C. 552b.
(10) Reports of receipts and expenditures, designations of campaign
depositories, statements of organization, candidate designations of
committees, and the indices compiled from the filings therein.
(11) Requests for advisory opinions, written comments submitted in
connection therewith, and responses approved by the Commission.
(12) With respect to enforcement matters, any conciliation agreement
entered into between the Commission and any respondent.
(13) Copies of studies published pursuant to the Commission's duty
to serve as a national clearinghouse on election law administration.
(14) Audit reports (if discussed in open session).
(15) Agendas for Commission meetings.
(b) Public access to the materials described in subparagraphs (a)(3)
and (a)(10) through (a)(15) of this section is also available pursuant
to the Federal Election Campaign Act of 1971, as amended, in accordance
with the provisions of part 5 of this chapter.
(c) The Commission shall maintain and make available current indexes
and supplements providing identifying information regarding any matter
issued, adopted or promulgated after April 15, 1975 as required by 5
U.S.C. 552(a)(2)(c). These indexes and supplements shall be published
and made available on at least a quarterly basis for public distribution
unless the Commission determines by Notice in the 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.
[[Page 16]]
(e) If documents or files contain both disclosable and
nondisclosable information, the nondisclosable information will be
deleted and the disclosable information released unless the disclosable
portions cannot be reasonably segregated from the other portions in a
manner which will allow meaningful information to be disclosed.
(f) All records created in the process of implementing provisions of
5 U.S.C. 552 will be maintained by the Commission in accordance with the
authority granted by General Records Schedule 14, approved by the
National Archives and Records Service of the General Services
Administration.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980]
Sec. 4.5 Categories of exemptions.
(a) No requests under 5 U.S.C. 552 shall be denied release unless
the record contains, or its disclosure would reveal, matters that are:
(1) Specifically authorized under criteria established by an
executive order to be kept secret in the interest of national defense or
foreign policy and are in fact properly classified pursuant to such
Executive order;
(2) Related solely to the internal personnel rules and practices of
the Commission;
(3) Specifically exempted from disclosure by statute, provided that
such statute (A) requires that the matters be withheld from the public
in such a manner as to leave no discretion on the issue, or (B)
establishes particular criteria for withhholding or refers to particular
types of matters to be withheld;
(4) Trade secrets and commercial or financial information obtained
from a person which are privileged or confidential. Such information
includes confidential business information which concerns or relates to
the trade secrets, processes, operations, style of works, or apparatus,
or to the production, sales, shipments, purchases, transfers,
identification of customers, inventories, or amount of source of income,
profits, losses, or expenditures of any person, firm, partnership,
corporation, or other organization, if the disclosure is likely to have
the effect of either impairing the Commission's ability to obtain such
information as is necessary to perform its statutory functions, or
causing substantial harm to the competitive position of the person,
firm, partnership, corporation, or other organization from which the
information was obtained, unless the Commission is required by law to
disclose such information. These procedures shall be used for submitting
business information in confidence:
(i) A request for confidential treatment shall be addressed to the
FOIA officer, Federal Election Commission, 999 E Street, NW.,
Washington, DC 20463, and shall indicate clearly on the envelope that it
is a request for confidential treatment.
(ii) With each submission of, or offer to submit, business
information which a submitter desires to be treated as confidential
under paragraph (a)(4) of this section, the submitter shall provide the
following, which may be disclosed to the public: (A) A written
description of the nature of the subject information, and a
justification for the request for its confidential treatment, and (B) a
certification in writing under oath that substantially identical
information is not available to the public.
(iii) Approval or denial of requests shall be made only by the FOIA
officer or his or her designees. A denial shall be in writing, shall
specify the reason therefore, and shall advise the submitter of the
right to appeal to the Commission.
(iv) For good cause shown, the Commission may grant an appeal from a
denial by the FOIA Officer or his or her designee if the appeal is filed
within fifteen (15) days after receipt of the denial. An appeal shall be
addressed to the FOIA Officer, Federal Election Commission, 999 E
Street, NW., Washington, DC 20463 and shall clearly indicate that it is
a confidential submission appeal. An appeal will be decided within
twenty (20) days after its receipt (excluding Saturdays, Sundays and
legal holidays) unless an extension, stated in writing with the reasons
therefore, has been provided the person making the appeal.
(v) Any business information submitted in confidence and determined
to be entitled to confidential treatment shall be maintained in
confidence by
[[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 2 U.S.C. 437g 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.
(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]
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) A request to inspect or copy Commission public records of the
type referred to in 11 CFR 4.4(b) may be made
[[Page 18]]
in person or by mail. The Public Records Office 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) Requests for copies of records pursuant to the Freedom of
Information Act shall be addressed to FOIA officer, Federal Election
Commission, 999 E Street, NW., Washington, DC 20463. The request shall
reasonably describe the records sought with sufficient specificity with
respect to names, dates, and subject matter, to permit the records to be
located. A requester will be promptly advised if the records cannot be
located on the basis of the description given and that further
identifying information must be provided before the request can be
satisfied.
(c) Records or copies thereof will normally be made available either
immediately upon receipt of a request or within ten working days
thereafter, or twenty working days in the case of an appeal, unless in
unusual circumstances the time is extended or subject to 11 CFR
4.9(f)(3), which governs advance payments. In the event the time is
extended, the requestor shall be notified of the reasons for the
extension and the date on which a determination is expected to be made,
but in no case shall the extended time exceed ten working days. An
extension may be made if it is--
(1) Necessary to locate records or transfer them from physically
separate facilities; or
(2) Necessary to search for, collect, and appropriately examine a
large quantity of separate and distinct records which are the subject of
a single request; or
(3) Necessary for consultation with another agency which has a
substantial interest in the determination of the request, or with two or
more components of the Commission which have a substantial subject
matter interest therein.
(d) Any person denied access to records by the Commission shall be
notified immediately giving reasons therefore, and notified of the right
of such person to appeal such adverse determination to the Commission.
(e) The date of receipt of a request under this part shall be the
date on which the FOIA Officer actually receives the request.
[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]
Sec. 4.8 Appeal of denial.
(a) Any person who has been notified pursuant to Sec. 4.6(d) of this
part that his/her request for inspection of a record or for a copy has
been denied, or who has received no response within ten working days (or
within such extended period as is permitted under Sec. 4.7(c) of this
part) after the request has been received by the Commission, may appeal
the adverse determination or the failure to respond by requesting the
Commission to direct that the record be made available.
(b) The appeal request shall be in writing, shall clearly and
prominently state on the envelope or other cover and at the top of the
first page ``FOIA Appeal'', and shall identify the record in the form in
which it was originally requested.
(c) The appeal request should be delivered or addressed to the FOIA
Officer, Federal Election Commission, 999 E Street, NW., Washington, DC
20463.
(d) The requestor may state facts and cite legal or other
authorities as he/she deems appropriate in support of the appeal
request.
(e) For good cause shown, the Commission may disclose a record which
is subject to one of the exemptions listed in Sec. 4.5 of this part.
(f) The Commission will make a determination with respect to any
appeal within twenty days (excluding Saturdays, Sundays and legal
holidays) after receipt of the appeal (or within such extended period as
is permitted under Sec. 4.7(c) of this part). If on appeal, the denial
of the request for a record or a copy is in whole or in part upheld, the
Commission shall advise the requestor of the denial and shall notify
him/her of the provisions for judicial review of that determination as
set forth in 5 U.S.C. 552(a)(4).
(g) Because of the risk of misunderstanding inherent in oral
communications, the Commission will not entertain any appeal from an
alleged denial
[[Page 19]]
or failure to comply with an oral request. Any person who has orally
requested a copy of a record that he/she believes to have been
improperly denied should resubmit the request in writing as set forth in
Sec. 4.7.
[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 4.9 Fees.
(a) Exceptions to fee charges--(1) General. Except for a commercial
use requester, the Commission will not charge a fee to any requester for
the first two hours of search time and the first 100 pages of
duplication in response to any FOIA request.
(2) Free computer search time. For purposes of this paragraph, the
term search time is based on the concept of a manual search. To apply
this to a search conducted by a computer, the Commission will provide
the equivalent dollar value of two hours of professional staff time,
calculated according to paragraph (c)(4) of this section, in computer
search time. Computer search time is determined by adding the cost of
the computer connect time actually used for the search, calculated at
the rate of $25.00 per hour, to the 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
[[Page 20]]
the Commission in response to the request, according to the Commission's
schedule of fees as set forth at paragraph (c)(4) of this section,
excluding charges for the first 100 pages of duplication. Requestors in
this category will not be charged for search time. To be eligible for
inclusion in this category, requestors must show that the request is
being made as authorized by and under the auspices of a qualifying
institution and that the records are not sought for a commercial use,
but are sought in furtherance of scholarly (if the request is from an
educational institution) or scientific (if the request is from a non-
commercial scientific institution) research.
(iii) Requestors who are representatives of the news media. The
Commission will provide documents to requestors in this category for the
cost of duplication of the records provided by the Commission in
response to the request, according to the Commission's schedule of fees
as set forth at paragraph (c)(4) of this section, excluding charges for
the first 100 pages of duplication. Requestors in this category will not
be charged for search time. To be eligible for inclusion in this
category, the requestor must meet the criteria listed at 11 CFR 4.1(n)
and his or her request must not be made for a commercial use. A request
for records supporting the news dissemination function of the requestor
shall not be considered to be a request that is for a commercial use.
(iv) All other requestors. The Commission will charge requestors who
do not fit into any of the categories listed in paragraph (c)(1)(i),
(ii) or (iii) of this section the full direct costs of searching for and
duplicating records in response to the request, according to the
Commission's schedule of fees as set forth at paragraph (c)(4) of this
section, excluding charges for the first two hours of search time and
the first 100 pages of duplication. Requests from record subjects for
records about themselves will continue to be treated under the fee
provisions of the Privacy Act of 1974 which permit fees only for
duplication.
(2) The Commission may assess fees for the full allowable direct
costs of searching for documents in response to a request even if the
Commission fails to locate any documents which are responsive to that
request and, in the case of commercial use requestors, of reviewing
documents located in response to a request which the Commission
determines are exempt from disclosure.
(3) If the Commission estimates that search or duplication charges
are likely to exceed $25.00, it will notify the requestor of the
estimated amount of the fee unless the requestor has indicated in
advance a willingness to pay a fee as high as that estimated by the
Commission. Through this notification, the Commission will offer the
requestor the opportunity to confer with Commission staff to reformulate
the original request in order to meet the requestor's needs at a lower
cost.
(4) The following is the schedule of the Commission's standard fees.
The cost of staff time will be added to all of the following fees,
generally at the Professional rate listed below, except for the cost of
Photocopying from photocopying machines which has been calculated to
include staff time.
Photocopying
Photocopying from photocopying machines--$.07 per page
Photocopying from microfilm reader-printer--$.15 per page
Paper copies from microfilm-paper print machine--$.05 per frame page
Reels of Microfilm
Daily film (partial or complete roll)--$2.85 per roll
Other film (partial or complete roll)--$5.00 per roll
Publications: (new or not from available stocks)
Cost of photocopying document--$.07 per page
Cost of binding document--$.30 per inch
Publications: (available stock)
If available from stock on hand, cost is based on previously calculated
cost as stated in the publication (based on actual cost per copy,
including reproduction and binding). Commission publications for which
fees will be charged include, but are not limited to, the following:
Advisory Opinion Index, Report on Financial Activity, Financial Control
and Compliance Manual, MUR Index, and Guideline for Presentation in Good
Order.
[[Page 21]]
Computer Tapes
Cost to process the request at the rate of $25.00 per hour connect time
plus the cost of the computer tape ($25.00) and professional staff time
(see Staff Time).
Computer Indexes (including Name Searches)
Cost to process the request at the rate of $25.00 per hour connect time
plus the cost of professional staff time (see Staff Time).
Staff Time
Clerical: $4.50 per each half hour (agency average of staff below a GS-
11) for each request.
Professional: $12.40 per each half hour (agency average of staff at GS-
11 and above) for each request.
Other Charges
Certification of a Document: $7.35 per quarter hour.
Transcripts of Commission meetings not previously transcribed: $7.50 per
half hour (equivalent of a GS-11 executive secretary).
The Commission will not charge a fee for ordinary packaging and mailing
of records requested. When a request for special mailing or delivery
services is received the Commission will package the records requested.
The requestor will make all arrangements for pick-up and delivery of the
requested materials. The requestor shall 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
[[Page 22]]
Commission has received the payments or the requestor has made
acceptable arrangements to make the payments required by paragraph (f)
(1) or (2) of this section.
[52 FR 39213, Oct. 21, 1987]
PART 5--ACCESS TO PUBLIC DISCLOSURE DIVISION DOCUMENTS--Table of Contents
Sec.
5.1 Definitions.
5.2 Policy on disclosure of records.
5.3 Scope.
5.4 Availability of records.
5.5 Request for records.
5.6 Fees.
Authority: 2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), 438(a), and 31
U.S.C. 9701.
Source: 45 FR 31293, May 13, 1980, unless otherwise noted.
Sec. 5.1 Definitions.
(a) Commission means the Federal Election Commission established by
the Federal Election Campaign Act of 1971, as amended.
(b) Commissioner means the Secretary of the Senate, the Clerk of the
House, or their designees, ex officio, or an individual appointed to the
Federal Election Commission pursuant to 2 U.S.C. 437c(a).
(c) Request means to seek access to Commission materials subject to
the provisions of the Federal Election Campaign Act of 1971, as amended.
(d) Requestor is any person who submits a request to the Commission.
(e) Act means the Federal Election Campaign Act, as amended by the
Federal Election Campaign Act Amendments of 1974, 1976, and 1979, and
unless specifically excluded, includes chapters 95 and 96 of the
Internal Revenue Code of 1954 relating to public financing of Federal
elections.
(f) Public Disclosure Division of the Commission is that division
which is responsible for, among other things, the processing of requests
for public access to records which are submitted to the Commission
pursuant to 2 U.S.C. 437g(a)(4)(B)(ii), and 438(a).
Sec. 5.2 Policy on disclosure of records.
(a) The Commission will make the fullest possible disclosure of
records to the public, consistent with the rights of individuals to
privacy, the rights of persons contracting with the Commission with
respect to trade secrets and commercial or financial information
entitled to confidential treatment, and the need for the Commission to
promote free internal policy deliberations and to pursue its official
activities without undue disruption.
(b) Nothing herein shall be deemed to restrict the public
availability of Commission records falling outside provisions of the
Act, or to restrict such public access to Commission records as is
available pursuant to the Freedom of Information Act and the rules set
forth as part 4 of this chapter.
Sec. 5.3 Scope.
(a) The regulations in this part implement the provisions of 2
U.S.C. 437f(d), 437g(a)(4)(B)(ii), and 438(a).
(b) Public access to such Commission records as are subject to the
collateral provisions of the Freedom of Information Act and are not
included in the material subject to disclosure under this part
(described in 11 CFR 5.4(a)) shall be governed by the rules set forth as
part 4 of this chapter.
Sec. 5.4 Availability of records.
(a) In accordance with 2 U.S.C. 438(a), the Commission shall make
the following material available for public inspection and copying
through the Commission's Public Disclosure Division:
(1) Reports of receipts and expenditures, designations of campaign
depositories, statements of organization, candidate designations of
campaign committees and the indices compiled from the filings therein.
(2) Requests for advisory opinions, written comments submitted in
connection therewith, and responses issued by the Commission.
(3) With respect to enforcement matters, any conciliation agreement
entered into between the Commission and any respondent.
(4) Opinions of Commissioners rendered in enforcement cases and
General Counsel's reports and non-exempt 2 U.S.C. 437g investigatory
materials in enforcement files will be made available no later than 30
days from the date on which a respondent is notified that the Commission
has voted to take
[[Page 23]]
no further action and to close such an enforcement file.
(b) The provisions of this part apply only to existing records;
nothing herein shall be construed as requiring the creation of new
records.
(c) In order to ensure the integrity of the Commission records
subject to the Act and the maximum availability of such records to the
public, nothing herein shall be construed as permitting the physical
removal of any Commission records from the public facilities maintained
by the Public Disclosure Division other than copies of such records
obtained in accordance with the provisions of this part.
(d) Release of records under this section is subject to the
provisions of 5 U.S.C. 552a.
Sec. 5.5 Request for records.
(a) A request to inspect or copy those public records described in
11 CFR 5.4(a) may be made in person or by mail. The Public Disclosure
Division is open Monday through Friday between the hours of 9 a.m. and 5
p.m. and is located on the first floor, 999 E Street, NW., Washington,
DC 20463.
(b) Each request shall describe the records sought with sufficient
specificity with respect to names, dates and subject matter to permit
the records to be located with a reasonable amount of effort. A
requester will be promptly advised if the requested records cannot be
located on the basis of the description given and that further
identifying information must be provided before the request can be
satisfied.
(c) Requests for copies of records not available through the Public
Disclosure Division shall be addressed to the FOIA Officer, Federal
Election Commission, 999 E Street, NW., Washington, DC 20463. Requests
for Commission records not described in 11 CFR 5.4(a) shall be treated
as requests made pursuant to the Freedom of Information Act (5 U.S.C.
552) and shall be governed by 11 CFR part 4. In the event that the
Public Disclosure Division receives a written request for access to
materials not described in 11 CFR 5.4(a), it shall promptly forward such
request to the Commission FOIA Officer for processing in accordance with
the provisions of part 4 of this chapter.
[45 FR 31293, May 13, 1980, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 5.6 Fees.
(a)(1) Fees will be charged for copies of records which are
furnished to a requester under this part and for the staff time spent in
locating and reproducing such records. The fees to be levied for
services rendered under this part shall not exceed the Commission's
direct cost of processing requests for those records computed on the
basis of the actual number of copies produced and the staff time
expended in fulfilling the particular request, in accordance with the
following schedule of standard fees:
Photocopying from microfilm reader-printer--$.15 per page
Photocopying from photocopying machines--$.05 per page
Paper copies from microfilm--Paper Print Machine--$.05 per frame/page
Reels of Microfilm
Daily film (partial or complete roll)--$2.85 per roll
Other film (partial or complete roll)--$5.00 per roll
Publications: (new or not from stocks available)
Cost of photocopying (reproducing) document--$.05 per page
Cost of binding document--$.30 per inch
Plus cost of staff research time after first \1/2\ hour (see Research
Time)
Publications: (available stock)
If available from stock on hand, cost is based on previously calculated
cost as stated in the publication (based on actual cost per copy,
including reproduction and binding).
Computer Tapes:
Cost ($.0006 per Computer Resource Unit Utilized--CRU) to process the
request plus the cost of the computer tape ($25) and professional staff
time (see Research Time). The cost varies based upon request.
Computer Indexes:
No charge for 20 or fewer requests for computer indexes, except for a
name search as described below.
C Index--Committee Index of Disclosure Documents--No charge for requests
of 20 or fewer committee ID numbers. Requests for
[[Page 24]]
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 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]
[[Page 25]]
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--
(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.
[[Page 26]]
(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]
Secs. 6.104-6.109 [Reserved]
Sec. 6.110 Evaluation.
(a) Within one year of the effective date of this part, the
Commission will conduct, with the assistance of interested persons,
including handicapped persons and organizations representing handicapped
persons, and evaluation of its compliance with section 504. This
evaluation will include a determination of whether the Commission's
policies and practices, and the effects thereof, meet the requirements
of this part and whether modification of any such policies or practices
is required to comply with section 504. If modification of any policy or
practice is found to be required as a result of this evaluation, the
Commission will proceed to make the necessary modifications.
(b) For at least three years following completion of the evaluation
required under paragraph (a), the Commission will maintain on file and
make available for public inspection:
(1) A list of the interested persons consulted;
(2) A description of areas examined and any problems identified; and
(3) A description of any modifications made.
Sec. 6.111 Notice.
The Commission will make available to employees, applicants,
participants, beneficiaries, and other interested persons information
regarding the provisions of this part and its applicability to the
programs or activities conducted by the Commission. The Commission will
make such information available to them in a manner it finds necessary
to effectively apprise such persons of the protections against
discrimination assured them by section 504 and the provisions of this
part.
[[Page 27]]
Secs. 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 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
[[Page 28]]
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.
Secs. 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.
Secs. 6.141-6.148 [Reserved]
Sec. 6.149 Program accessibility: Discrimination prohibited.
Except as otherwise provided in 11 CFR 6.150 and 11 CFR 6.151, no
qualified handicapped person shall be denied the benefits of, be
excluded from participation in, or otherwise be subjected to
discrimination under any program or activity conducted by the Commission
because its facilities are inaccessible to or unusable by handicapped
persons.
Sec. 6.150 Program accessibility; Existing facilities.
(a) General. The Commission will operate each program or activity so
that the program or activity, when viewed in its entirety, is readily
accessible to and usable by handicapped persons. This paragraph does
not--
(1) Necessarily require the Commission to make each of its existing
facilities accessible to and usable by handicapped persons;
(2) Require the Commission to take any action that it can
demonstrate would result in a fundamental alteration in the nature of a
program or activity or in undue financial and administrative burdens.
The Commission has the burden of proving that compliance with 11 CFR
6.150(a) would result in such alterations or burdens. The decision that
compliance would result in such alteration or burdens must be made by
the Commission after considering all agency resources available for use
in the funding and operation of the conducted program or activity, and
must be accompanied by a written statement of the reasons for reaching
that conclusion. If an action would result in such an alteration or such
burdens, the Commission will take any other action that would not result
in such an alteration or such a burden but would nevertheless ensure
that handicapped persons receive the benefits and services of the
program or activity.
(b) Methods. The Commission may comply with the requirements of this
section through such means as redesign of equipment, reassignment of
services to accessible buildings, assignment of aides to beneficiaries,
home visits, delivery of services at alternate accessible sites,
alteration of existing facilities and construction of new facilities,
use of accessible rolling stock, or any other methods that result in
making its programs or activities readily accessible to and usable by
handicapped persons. The Commission is not required to make structural
changes in existing facilities where other methods are effective in
achieving compliance with this section. The Commission, in making
alterations to existing buildings, will meet accessibility requirements
to the extent compelled by the Architectural Barriers Act of 1968, as
amended (42 U.S.C. 4151-4157) and any regulations implementing it. In
choosing among available methods for meeting the requirements of this
section, the Commission will give priority to those methods that offer
programs and activities to qualified handicapped persons in the most
integrated setting appropriate.
(c) Time period for compliance. The Commission will comply with the
obligations established under this section within sixty days of the
effective date of this part except that where structural changes in
facilities are undertaken, such changes will be made within three years
of the effective date of this part, but in any event as expeditiously as
possible.
(d) Transition plan. In the event that structural changes to
facilities will be
[[Page 29]]
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.
Secs. 6.152-6.159 [Reserved]
Sec. 6.160 Communications.
(a) The Commission will take appropriate steps to ensure effective
communication with applicants, participants, personnel of other Federal
entities, and members of the public.
(1) The Commission will furnish appropriate auxiliary aids where
necessary to afford a handicapped person an equal opportunity to
participate in, and enjoy the benefits of, a program or activity
conducted by the Commission.
(i) In determination what type of auxiliary aid is necessary, the
Commission will give primary consideration to the requests of the
handicapped person.
(ii) The Commission need not provide individually prescribed
devices, readers for personal use or study, or other devices of a
personal nature.
(2) Where the Commission communicates with applicants and
beneficiaries by telephone, telecommunications devices for deaf persons
(TDD's), or equally effective telecommunication systems will be used.
(b) The Commission will ensure that interested persons, including
persons with impaired vision or hearing, can obtain information as to
the existence and location of accessible services, activities, and
facilities.
(c) The Commission will provide signage at a primary entrance to
each of its inaccessible facilities, directing users to a location at
which they can obtain information about accessible facilities. The
international symbol for accessibility shall be used at each primary
entrance of an accessible facility.
(d) The Commission will take appropriate steps to provide
handicapped persons with information regarding their section 504 rights
under the Commission's programs of activities.
(e) This section does not require the Commission to take any action
that it can demonstrate would result in a fundamental alteration in the
nature of a program or activity or in undue financial and administrative
burdens. The Commission has the burden of proving that compliance with
this section would result in such alterations or burdens. The decision
that compliance would result in such alteration or burdens must be made
by the Commission after considering all agency resources available for
use in the funding and operation of the conducted program or activity,
and must be accompanied by a written statement of the reasons for
reaching that conclusion. If an action required to comply with this
section would result in such an alteration or such burdens, the
Commission will take any other action that would not result in such an
alteration or such a burden but would nevertheless ensure
[[Page 30]]
that, to the maximum extent possible, handicapped persons receive the
benefits and services of the program or activity.
Secs. 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.
(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.
[[Page 31]]
(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]
Secs. 6.171-6.999 [Reserved]
PART 7--STANDARDS OF CONDUCT--Table of Contents
Subpart A--General Provisions
Sec.
7.1 Purpose and applicability.
7.2 Definitions.
7.3 Notification to employees and special Commission employees.
7.4 Interpretation and advisory service.
7.5 Reporting suspected violations.
7.6 Disciplinary and other remedial action.
Subpart B--Conduct and Responsibilities of Employees or Commissioners
7.7 Prohibited conduct--General.
7.8 Gifts, entertainment, and favors.
7.9 Outside employment or activities.
7.10 Financial interests.
7.11 Political and organization activity.
7.12 Membership in associations.
7.13 Use of Government property.
7.14 Prohibition against making complaints and investigations public.
7.15 Ex parte communications.
7.16 Miscellaneous statutory provisions.
Subpart C--Conduct and Responsibilities of Special Commission Employees
7.17 Use of Commission employment.
7.18 Use of inside information.
7.19 Coercion.
7.20 Gifts, entertainment, and favors.
7.21 Miscellaneous statutory provisions.
Subpart D--Post Employment Conflict of Interest: Procedures for
Administrative Enforcement Proceedings
7.22 Scope.
7.23 Initiation of investigation.
7.24 Conduct of preliminary investigation.
7.25 Initiation of administrative disciplinary proceeding.
7.26 Notice to former employee.
7.27 Hearing examiner designation and qualifications.
7.28 Hearing date.
7.29 Hearing rights of former employee.
7.30 Hearing procedures.
7.31 Examiner's decision.
7.32 Appeal.
7.33 Administrative sanctions.
Authority: 5 U.S.C. 7321 et seq.; 18 U.S.C. 207.
Source: 51 FR 34446, Sept. 29, 1986, unless otherwise noted.
Subpart A--General Provisions
Sec. 7.1 Purpose and applicability.
(a) The Federal Election Commission is committed to honest,
independent and impartial monitoring and enforcement of federal election
law. To ensure public trust in the fairness and integrity of the federal
elections process, all employees must observe the highest standards of
conduct. This part prescribes standards of ethical conduct for
Commissioners, employees and special Government employees of the Federal
Election Commission relating to conflicts of interest arising out of
outside employment, private business and professional activities,
political activities, and financial interests. The avoidance of
misconduct and conflicts of interest on the part of Commission employees
through informed judgment is indispensable to the maintenance of these
prescribed ethical standards. Attainment of these goals necessitates
strict and absolute fairness and impartiality in the administration of
the law.
(b) This part applies to all persons included within the terms
employee and special Commission employees of the Commission as defined
in 11 CFR 7.2, except to the extent otherwise indicated herein, and is
consistent with Executive Order 11222 and part 735 of title 5, Code of
Federal Regulations, relating to employee responsibilities and conduct.
(c) These Standards of Conduct shall be construed in accordance with
any applicable laws, regulations and agreements between the Federal
Election Commission and a labor organization.
Sec. 7.2 Definitions.
As used in this part:
(a) Commission means the Federal Election Commission, 999 E Street,
NW., Washington, DC 20463.
[[Page 32]]
(b) Commissioner means a voting member of the Federal Election
Commission, in accordance with 2 U.S.C. 437c.
(c) Conflict of interest means a situation in which an employee's
private interest is inconsistent with the efficient and impartial
conduct of his or her official duties and responsibilities.
(d) Designated Agency Ethics Officer or Ethics Officer means the
employee designated by the Commission to administer the provisions of
the Ethics in Government Act of 1978 (Pub. L. 95-521), as amended, and
includes a designee of the Ethics Officer.
(e) Employee means an employee of the Federal Election Commission,
but does not include a special Commission employee.
(f) Former employee means one who was, and is no longer, an employee
of the Commission.
(g) Official responsibility means the direct administrative or
operating authority, whether intermediate or final, to approve,
disapprove, or otherwise direct Commission action. Official
responsibility may be exercised alone or with others and either
personally or through subordinates.
(h) Outside employment or other outside activity means any work,
service or other activity performed by an employee, but not a
Commissioner, other than in the performance of the employee's official
duties. It includes such activities as writing and editing, publishing,
teaching, lecturing, consulting, self-employment, and other services or
work performed, with or without compensation.
(i) Person means an individual, corporation, company, association,
firm, partnership, society, joint stock company, political committee, or
other group, organization, or institution.
(j) Special Commission employee means an individual who is retained,
designated, appointed or employed by the Federal Election Commission to
perform, with or without compensation, temporary duties either on a
full-time or intermittent basis, for not to exceed 130 days during any
period of 365 consecutive days, as defined at 18 U.S.C. 202.
Sec. 7.3 Notification to employees and special Commission employees.
(a) The provisions of this part shall be brought to the attention
of, and made available to, each employee and special Commission employee
by furnishing a copy at the time of final publication. The provisions of
this part shall further be brought to the attention of such employees at
least annually thereafter.
(b) The provisions of this part shall be brought to the attention of
each new employee and new special Commission employee by furnishing a
copy at the time of entrance of duty, and by such other methods of
information and education as the Ethics Officer may prescribe.
Sec. 7.4 Interpretation and advisory service.
A Commissioner or employee seeking advice and guidance on questions
of conflict of interest and on other matters covered by this part should
consult with the Commission's General Counsel, who serves as Ethics
Officer. The Ethics Officer should be consulted prior to the undertaking
of any action which might violate this part governing the conduct of
Commissioners or employees.
Sec. 7.5 Reporting suspected violations.
(a) Personnel who have information which causes them to believe that
there has been a violation of a statute or policy set forth in this part
should promptly report such incident to the Ethics Officer. If a report
is made orally, the Ethics Officer shall require a written report from
the complainant before proceeding further.
(b) When information available to the Commission indicates a
conflict between the interests of an employee or special Commission
employee and the performance of his or her Commission duties, the
employee or special Commission employee shall be provided an opportunity
to explain the conflict or appearance of conflict in writing.
Sec. 7.6 Disciplinary and other remedial action.
(a) A violation of this part by an employee or special Commission
employee
[[Page 33]]
may be cause for appropriate disciplinary action which may be in
addition to any penalty prescribed by law.
(b) When the Ethics Officer determines that an employee may have or
appears to have a conflict of interest, the Ethics Officer, the
employee's supervisor, the employee's division head, and the Staff
Director or General Counsel may question the employee in the matter and
gather other information. The Ethics Officer, the employee's supervisor,
the employee's division head, and the Staff Director or General Counsel
shall discuss with the employee possible ways of eliminating the
conflict or appearance of conflict. If the Ethics Officer, after
consultation with the employee's supervisor, the employee's division
head, and the Staff Director or General Counsel, concludes that remedial
action should be taken, he or she shall refer a statement to the
Commission containing his or her recommendation for such action. The
Commission, after consideration of the employee's explanation and the
results of any investigation, may direct appropriate remedial action as
it deems necessary.
(c) Remedial action pursuant to paragraph (b) of this section may
include, but is not limited to:
(1) Changes in assigned duties;
(2) Divestment by the employee of his or her conflicting interest;
(3) Disqualification for a particular action; or
(4) Disciplinary action.
Subpart B--Conduct and Responsibilities of Employees or Commissioners
Sec. 7.7 Prohibited conduct--General.
A Commissioner or employee shall avoid any action whether or not
specifically prohibited by this subpart which might result in, or create
the appearance of:
(a) Using public office for unlawful private gain;
(b) Giving favorable or unfavorable treatment to any person or
organization due to any partisan, political, or other consideration;
(c) Impeding Government efficiency or economy;
(d) Losing independence or impartiality;
(e) Making a Government decision outside official channels; or
(f) Affecting adversely the confidence of the public in the
integrity of the Government.
Sec. 7.8 Gifts, entertainment, and favors.
(a) A Commissioner or employee of the Federal Election Commission
shall not solicit or accept, directly or indirectly, any gift, gratuity,
favor, entertainment, loan, or any other thing of monetary value, from a
person who:
(1) Has, or is seeking to obtain, contractual or other business or
financial relations with the Commission;
(2) Conducts operations or activities that are regulated or examined
by the Commission; or
(3) Has interests that may be substantially affected by the
performance or nonperformance of the Commissioner or employee's official
duty.
(b) Paragraph (a) of this section shall not apply:
(1) Where obvious family or personal relationships govern when the
circumstances make it clear that it is those relationships rather than
the business of the persons concerned which are the motivating factors;
(2) To the acceptance of food, refreshments, and accompanying
entertainment of nominal value in the ordinary course of a social
occasion or a luncheon or dinner meeting or other function where a
Commissioner or an employee is properly in attendance;
(3) To the acceptance of unsolicited advertising or promotional
material or other items of nominal intrinsic value such as pens,
pencils, note pads, calendars; and
(4) To the acceptance of loans from banks or other financial
institutions on customary terms to finance proper and usual activities,
such as home mortgage loans.
(c) A Commissioner or an employee shall not solicit a contribution
from another employee for a gift to an official superior, make a
donation as a gift to an official superior, or accept a gift from an
employee receiving less pay than himself or herself. However, this
[[Page 34]]
paragraph does not prohibit a voluntary gift of nominal value or
donation in a nominal amount made on a special occasion such as
birthday, holiday, marriage, illness, or retirement.
(d) A Commissioner or employee shall not accept a gift, present,
decoration, or other thing from a foreign government unless authorized
by Congress as provided by the Constitution and in section 7342 of title
5, United States Code.
(e) Neither this section nor 11 CFR 7.7 precludes a Commissioner or
employee from receipt of a bona fide reimbursement, unless prohibited by
law, for expenses of travel and such other necessary subsistence as is
compatible with this part for which no Government payment or
reimbursement is made. However, this section does not allow an employee
or Commissioner to be reimbursed, or payment to be made on his or her
behalf, for excessive personal living expenses, gifts, entertainment, or
other personal benefits, nor does it allow an employee to be reimbursed
by a person for travel on official business under agency orders when
reimbursement is proscribed by Decision B-128527 of the Comptroller
General dated March 7, 1967 (46 Comp. Gen. 689).
Sec. 7.9 Outside employment or activities.
(a) A member of the Commission shall not devote a substantial
portion of his or her time to any other business, vocation, or
employment. Any individual who is engaging substantially in any other
business, vocation, or employment at the time such individual begins to
serve as a member of the Commission shall appropriately limit such
activity no later than 90 days after beginning to serve as such a
member.
(b) An employee shall not engage in outside employment that is not
compatible with the full discharge of his or her Government employment
and not in compliance with any labor-management agreement between the
Federal Election Commission and a labor organization. Incompatible
outside employment or other activities include but are not limited to:
(1) Outside employment or other activities which would involve the
violation of a Federal or State statute, local ordinance, Executive
Order, or regulation to which the employee is subject;
(2) Outside employment or other activities which would give rise to
a real or apparent conflict of interest situation even though no
violation of a specific statutory provision was involved;
(3) Acceptance of a fee, compensation, gift, payment of expense, or
any other thing of monetary value in circumstances where acceptance may
result in, or create the appearance of, a conflict of interest;
(4) Outside employment or other activities that might bring
discredit upon the Government or Commission;
(5) Outside employment or other activities that establish
relationships or property interests that may result in a conflict
between the employee's private interests and official duties;
(6) Outside employment or other activities which would involve any
contractor or subcontractor connected with any work performed for the
Commission or would involve any person or organization in a position to
gain advantage in its dealings with the Government through the
employee's exercise of his or her official duties;
(7) Outside employment of other activities that may be construed by
the public to be the official acts of the Federal Election Commission.
In any permissible outside employment, care shall be taken to ensure
that names and titles of employees are not used to give the impression
that the activity is officially endorsed or approved by the Commission
or is part of the Commission's activities;
(8) Outside employment or other activities which would involve use
by an employee of his or her official duty time; use of official
facilities, including office space, machines, or supplies, at any time;
or use of the services of other employees during their official duty
hours;
(9) Outside employment or other activities which tend to impair the
employee's mental or physical capacities to perform Commission duties
and responsibilities in an acceptable manner; or
(10) Use of information obtained as a result of Government
employment which is not freely available to the general public or would
not be made
[[Page 35]]
available upon request. However, written authorization for the use of
any such information may be given when the Commission determines that
such use would be in the public interest.
(c) An employee shall not receive any salary or anything of monetary
value from a private source as compensation for his or her services to
the Government in violation of 18 U.S.C. 209.
(d) Employees are encouraged to engage in teaching, lecturing, and
writing that is not prohibited by law, Executive Order 11222, or this
part. However, an employee shall not, either for or without
compensation, engage in teaching or writing that is dependent on
information obtained as a result of his or her Commission employment,
except when that information has been made available to the general
public or will be made available on request, or when the Commission
gives written authorization for the use of nonpublic information on the
basis that the use is in the public interest.
(e) This section does not preclude an individual from participation
in the affairs of or acceptance of an award for meritorious public
contribution or achievement given by a charitable, religious,
professional, social, fraternal, nonprofit educational, recreational,
public service or civic organization.
(f) An employee of the Office of General Counsel who intends to
engage in outside employment shall obtain the approval of the General
Counsel/Ethics Officer. All other employees who intend to engage in
outside employment shall obtain the approval of the Staff Director prior
to review and approval by the Ethics Officer. The request shall include
the name of the person, group, or organization for whom the work is to
be performed, the nature of the services to be rendered, the proposed
hours of work, or approximate dates of employment, and the employee's
certification as to whether the outside employment (including teaching,
writing or lecturing) will depend in any way on information obtained as
a result of the employee's official Government position. The employee
will receive notice of approval or disapproval of any written request in
accordance with any labor-management agreement between the Commission
and a labor organization. A record of the approval shall be placed in
each employee's official personnel folder.
Sec. 7.10 Financial interests.
(a)(1) A Commissioner or employee shall not engage in, directly or
indirectly, a financial transaction as a result of, or primarily relying
on, information obtained through his or her Commission employment.
(2) A Commissioner or employee shall not have a direct or indirect
financial interest that conflicts substantially, or appears to conflict
substantially, with his or her Commission duties and responsibilities,
except in cases where the Commissioner or employee makes full
disclosure, and the Commissioner or employee disqualifies himself or
herself from participating in any decisions, approval, disapproval,
recommendation, the rendering of advice, investigation, or otherwise in
any proceeding of the Commission in which the financial interest is or
appears to be affected. The filing of public financial disclosure
reports will constitute full disclosure for all individuals who are
required to file such reports pursuant to the Ethics in Government Act.
Until such time as the extent, shape and form of confidential financial
disclosure reports required of employees by the Ethics in Government Act
has been determined, full disclosure by an employee will require that
that employee submit a written statement to the Ethics Officer
disclosing the particular financial interest which conflicts
substantially, or appears to conflict substantially, with the employee's
duties and responsibilities.
(3) A Commissioner or employee should disqualify himself or herself
from a proceeding in which his or her impartiality might reasonably be
questioned where the Commissioner or employee knows that he or she, or
his or her spouse, has an interest in the subject matter in controversy
or is a party to the proceeding, or any other interest that could be
substantially affected by the outcome of the proceeding.
(b) This section does not preclude a Commissioner or employee from
having a financial interest or engaging in financial transactions to the
same extent as a private citizen not employed
[[Page 36]]
by the Government provided that the activity is not prohibited by law,
Executive Order 11222, or Commission regulations.
Sec. 7.11 Political and organization activity.
(a) Due to the Federal Election Commission's role in the political
process, the following restrictions on political activities are required
in addition to those imposed by the Hatch Act (5 U.S.C. 7324 et seq.):
(1) No Commissioner or employee should publicly support a candidate,
political party, or political committee subject to the jurisdiction of
the Commission. No Commissioner or employee should work for a candidate,
political party or political committee subject to the jurisdiction of
the Commission. Commissioners and employees should be aware that
contributing to candidates, political parties, or political committees
subject to the jurisdiction of the Commission is likely to result in a
conflict of interest.
(2) No Commissioner or employee shall display partisan buttons,
badges or other insignia on Commission premises.
(b) Special Government employees are subject to the restrictions
contained in this section for the entire 24 hours of any day on which
the employee is on active duty status.
(c) Employees on leave, leave without pay, or on furlough or
terminal leave, even though the employees' resignations have been
accepted, are subject to the restrictions of this section. A separated
employee who has received a lump-sum payment for annual leave, however,
is not subject to the restrictions during the period covered by the
lump-sum payment or thereafter, provided he or she does not return to
Federal employment during that period. An employee is not permitted to
take a leave of absence to work with a political candidate, committee,
or organization or become a candidate for office despite any
understanding that he or she will resign his or her position if
nominated or elected.
(d) An employee is accountable for political activity by another
person acting as his or her agent or under the employee's direction or
control if the employee is thus accomplishing what he or she may not
lawfully do directly and openly.
Sec. 7.12 Membership in associations.
Commissioners or employees who are members of nongovernmental
associations or organizations shall avoid activities on behalf of those
associations or organizations that are incompatible with their official
governmental positions.
Sec. 7.13 Use of Government property.
A Commission or employee shall not directly or indirectly use, or
allow the use of, Government property of any kind, including property
leased to the Government, for other than officially approved activities.
Commissioners and employees have a positive duty to protect and conserve
Government property including equipment, supplies, and other property
entrusted or issued to him or her.
Sec. 7.14 Prohibition against making complaints and investigations public.
(a) Commission employees are warned that they are subject to
criminal penalties if they discuss or otherwise make public any matters
pertaining to a complaint or investigation under 2 U.S.C. 437g, without
the written permission of the person complained against or being
investigated. Such communications are prohibited by 2 U.S.C.
437g(a)(12)(A).
(b) 2 U.S.C. 437g(a)(12)(B) provides as follows: ``Any member or
employee of the Commission or any other person, who violates the
provisions of subparagraph (A) shall be fined not more than $2,000. Any
such member, employee, or other person who knowingly and willfully
violates this subsection shall be fined not more than $5,000.''
Sec. 7.15 Ex parte communications.
In order to avoid the possibility of prejudice, real or apparent, to
the public interest in enforcement actions pending before the Commission
pursuant to 2 U.S.C. 437g(A) (1) or (2):
(a) Except to the extent required for the disposition of ex parte
matters as
[[Page 37]]
required by law (as, for example, during the normal course of an
investigation or a conciliation effort), no Commissioner or employee
involved in the decisional process shall make or entertain any ex parte
communications.
(b) The prohibition of this section shall apply from the time a
complaint is filed with the Commission pursuant to 2 U.S.C. 437(a)(1) or
from the time that the Commission determines on the basis of information
ascertained in the normal course of its supervisory responsibilities
that it has reason to believe that a violation has occurred or may occur
pursuant to 2 U.S.C. 437g(a)(2), and shall remain in force until the
Commission has concluded all action with respect to the enforcement
matter in question.
(c) Any written communication prohibited by paragraph (a) of this
section shall be delivered to the Ethics Officer of the Commission who
shall place the communication in the file of the case.
(d) A Commissioner or employee, other than the employee assigned to
the case, involved in handling enforcement actions who receives an oral
offer or any communication concerning any enforcement action pending
before the Commission as described in paragraph (a) of this section
shall decline to listen to such communication. If unsuccessful in
preventing the communication, the Commissioner or employee shall advise
the person making the communication that he or she will not consider the
communication and shall prepare a statement setting forth the substance
and circumstances of the communication within 48 hours of receipt of the
communication and shall deliver the statement to the Ethics Officer for
placing in the file in the manner set forth in paragraph (c) of this
section.
Sec. 7.16 Miscellaneous statutory provisions.
Each employee shall acquaint himself or herself with each statute
that relates to his or her ethical and other conduct as an employee of
the Commission and of the Government. In particular, the attention of
employees is directed to the following statutory provisions:
(a) Chapter 11 of title 18, United States Code, relating to bribery,
graft, and conflicts of interest, as appropriate to the employees
concerned.
(b) The prohibition of 18 U.S.C. 1913 against lobbying with
appropriated funds.
(c) The prohibitions of 5 U.S.C. 7311 and 18 U.S.C. 1918 against
disloyalty and striking.
(d) The prohibition of 50 U.S.C. 784 against the employment of a
member of a Communist organization.
(e) The prohibitions against (1) the disclosure of classified
information under 18 U.S.C. 798 and 50 U.S.C. 782 and (2) the disclosure
of confidential business information under 18 U.S.C. 1905.
(f) The provisions of 5 U.S.C. 7352 relating to the habitual use of
intoxicants to excess.
(g) The prohibition of 31 U.S.C. 638a(c) against the misuse of a
Government vehicle.
(h) The prohibition of 18 U.S.C. 1719 against the misuse of the
franking privilege.
(i) The prohibition of 18 U.S.C. 1917 against the use of deceit in
an examination or personnel action in connection with Government
employment.
(j) The prohibition of 18 U.S.C. 1001 against fraud or false
statements in a Government matter.
(k) The prohibition of 18 U.S.C. 2071 against mutilating or
destroying a public record.
(l) The prohibition of 18 U.S.C. 508 against counterfeiting and
forging transportion requests.
(m) The prohibitions against
(1) Embezzlement of Government money or property under 18 U.S.C.
641;
(2) Failing to account for public money under 18 U.S.C. 643; and
(3) Embezzlement of the money or property of another person in the
possession of an employee by reason of his or her employment under 18
U.S.C 654.
(n) The prohibition of 18 U.S.C. 285 against unauthorized use of
documents relating to claims from or by the Government.
(o) The prohibitions against political activities in subchapter III
of chapter 73 of title 5, United States Code, and 18 U.S.C 602, 603,
607, and 608.
[[Page 38]]
(p) The prohibition of 18 U.S.C. 219 against an employee acting as
the agent of a foreign principal registered under the Foreign Agents
Registration Act.
(q) The prohibition of 18 U.S.C. 207 against certain activities of
departing and former employees.
(r) The prohibition of 18 U.S.C. 208 against certain acts affecting
a personal financial interest.
Subpart C--Conduct and Responsibilities of Special Commission Employees
Sec. 7.17 Use of Commission employment.
A special Commission employee shall not use his or her Commission
employment for a purpose that is, or gives the appearance of being,
motivated by a desire for unlawful private gain for himself or herself,
or for another person, particularly one with whom the employee has
family, business or financial ties.
Sec. 7.18 Use of inside information.
(a) A special Commission employee shall not use inside information
obtained as a result of his or her Commission employment for unlawful
private gain for himself or herself, or for another person, either by
direct action on the employee's part or by counsel, recommendation, or
suggestion to another person, particularly one with whom the employee
has family, business, or financial ties. For the purpose of this
section, inside information means information obtained under Commission
authority which has not become part of the body of public information.
(b) A special Commission employee may teach, lecture, or write in a
manner consistent with 11 CFR 7.9 (d) and (e).
Sec. 7.19 Coercion.
A special Commission employee shall not use his or her Commission
employment to coerce, or give the appearance of coercing, a person to
provide unlawful financial benefit to himself or herself or to another
person, particularly one with whom the employee has family, business, or
financial ties.
Sec. 7.20 Gifts, entertainment, and favors.
Except as provided at 11 CFR 7.8(b), a special Commission employee,
while so employed or in connection with his or her employment, shall not
receive or solicit from a person having business with the Commission
anything of value such as a gift, gratuity, loan, entertainment, or
favor for himself or herself, or for another person, particularly one
with whom the employee has family, business, or financial ties.
Sec. 7.21 Miscellaneous statutory provisions.
Each special Commission employee shall acquaint himself or herself
with each statute that relates to his or her ethical or other conduct as
a special Commission employee. Particular attention should be directed
to the statutory provisions listed in 11 CFR 7.16.
Subpart D--Post Employment Conflict of Interest: Procedures for
Administrative Enforcement Proceedings
Sec. 7.22 Scope.
The following are procedures to be followed by the Federal Election
Commission in investigating and administratively correcting violations
of the post employment conflict of interest provisions contained in 18
U.S.C. 207 (a), (b), and (c), which restrict activities of former
employees, including former special Commission employees, which might
give the appearance of undue benefit based on prior Commission
employment and affiliation. Where appropriate for purposes of this
subpart, former special Commission employee shall be defined in
accordance with 18 U.S.C. 207(c)(1).
Sec. 7.23 Initiation of investigation.
(a) Filing of complaint. (1) Any person who believes a former
employee has violated the post employment conflict of interest
provisions of 18 U.S.C. 207 (a), (b), or (c), or 5 CFR part 737 may file
a signed complaint with the Ethics Officer.
(2) The Ethics Officer, within five days after receipt of the
complaint, shall send a copy of the complaint by certified mail to the
former employee
[[Page 39]]
named in the complaint. The former employee may, within ten days after
receipt of the complaint, submit any written legal or factual materials
he or she believes demonstrate that the complaint should be dismissed on
its face.
(b) Review of complaint. (1) The Ethics Officer will review the
complaint and any materials submitted by the former employee, and will
prepare a report to the Commission recommending whether the complaint
should be investigated or should be dismissed on its face.
(2) If the Commission, by an affirmative vote of four members, finds
that the complaint appears to be substantiated, it may order an
investigation of the allegations made in the complaint.
(i) Except as may be required to coordinate with the Department of
Justice under 11 CFR 7.23(b)(2)(iii) any investigation conducted under
this section shall be kept confidential until such time as the
Commission has determined whether there is reasonable cause to believe a
violation has occurred.
(ii) The Ethics Officer shall notify the Director of the Office of
Government Ethics and the Criminal Division of the Department of Justice
of the Commission's finding that the complaint has merit. The
notification shall contain a copy of the complaint, any materials
submitted by the former employee, the Ethics Officer's report, and the
certification of the Commission's action.
(iii) The Commission will coordinate any investigation or
administrative action with the Department of Justice to avoid
prejudicing criminal proceedings, unless the Department of Justice
notifies the Commission that it does not intend to initiate criminal
proceedings.
(3) If the Commission finds the complaint to be unfounded, no
investigation will be conducted and both the complainant and the former
employee will be notified by the Ethics Officer of the Commission's
finding.
Sec. 7.24 Conduct of preliminary investigation.
(a) Ethics Officer's responsibility. Upon a finding under 11 CFR
7.23(b)(2) that a complaint appears to be substantiated, the Ethics
Officer shall conduct an investigation into the allegations of the
complaint.
(b) Opportunity to respond. The former employee will be sent a copy
of the Ethics Officer's report and will be given an opportunity to
respond in writing and under oath to the allegations made in the
complaint and the findings made in the report. The former empoloyee may
provide any written legal or factual materials he or she believes
demonstrate that no violation has occurred. Such response must be
received by the Commission within 20 days after the former employee's
receipt of the Ethics Officer's report, unless an extension is
authorized in writing by the Ethics Officer.
(c) Representation by counsel. The former employee may be
represented by counsel during the investigation. Such counsel shall
notify the Ethics Officer in writing that he or she is representing the
former employee. Thereafter, all communications between the Commission
staff and the former employee relating to the investigation shall be
made to the former employee's counsel.
(d) Report to the Commission. Upon completion of the investigation,
the Ethics Officer shall prepare a report to the Commission, including
any materials provided by the former employee. The report shall
recommend whether there is reasonable cause to believe the respondent
has violated 18 U.S.C. 207 (a), (b), or (c).
Sec. 7.25 Initiation of administrative disciplinary proceeding.
(a) Commission review of report. The Commission shall review the
Ethics Officer's investigative report in Executive Session.
(b) Reasonable cause to believe finding. If the Commission, by an
affirmative vote of four members, determines there is reasonable cause
to believe a violation has occurred, it shall initiate an administrative
disciplinary proceeding by providing the former employee with the notice
defined in 11 CFR 7.26.
(c) No reasonable cause to believe finding. If the Commission
determines that there is no reasonable cause to believe a violation has
occurred, it will close
[[Page 40]]
its file on the matter and take no further action. The Commission shall
notify the Director of the Office of Government Ethics, the Criminal
Division of the Department of Justice, the complainant, and the former
employee of its determination. Included in this notification will be a
statement of reasons for the Commission's determination.
Sec. 7.26 Notice to former employee.
(a) Notice requirement. After a reasonable cause to believe finding
the Ethics Officer shall provide the former Commission employee with
adequate notice of an intention to institute a disciplinary proceeding
and an opportunity to request a hearing.
(b) Contents. The notice required under this section shall contain:
(1) A statement of the allegations (and the basis thereof);
(2) Notification of the right to request a hearing;
(3) An explanation of the method by which a hearing may be requested
as set forth at 11 CFR 7.26(c); and
(4) A copy of the post-employment regulations.
(c) Request for hearing. (1) A former employee who has received a
notice under this section must notify the Commission with ten days after
receipt of such notice by certified mail of his or her desire for a
hearing. The request for a hearing should include the following
information:
(i) The former employee's daytime telephone number;
(ii) The name, address, and telephone number of the former
employee's counsel, if he or she intends to be represented by counsel;
and
(iii) At least three dates and times at which the former employee
will be available for a hearing.
(2) If a written request from the former employee is not received by
the Ethics Officer within the stated time period, the right to a hearing
shall be waived and the examiner (See 11 CFR 7.27) shall consider the
evidence and make a decision.
Sec. 7.27 Hearing examiner designation and qualifications.
(a) Designation. If the Commission decides by an affirmative vote of
four of its members to hold a hearing, the Ethics Officer shall
designate an individual to serve as examiner at the administrative
disciplinary hearing. In the absence of a hearing, the Ethics Officer
shall designate an examiner to consider the written evidence and make a
decision. (See 11 CFR 7.26(b)(2)). The individual designated as examiner
shall have the qualifications set forth in paragraph (b) of this
section.
(b) Qualifications. (1) An examiner shall be impartial. No
individual who has participated in any manner in the decision to
initiate the proceeding may serve as an examiner in those proceedings.
Therefore, the following persons may not be designated as an examiner:
(i) A Commissioner,
(ii) The Ethics Officer, or
(iii) Any Commission employee who has participated in the
preliminary investigation of the complaint.
(2) The examiner shall be an attorney at the Assistant General
Counsel level or higher.
Sec. 7.28 Hearing date.
(a) Setting of date by examiner. The examiner shall set the hearing
at a reasonable time, date, and place.
(b) Considerations. Whenever practicable, the examiner shall choose
a time and date from the list submitted by the former employee in the
request for a hearing. In setting a hearing date, the examiner shall
give due regard to the former employee's need for:
(1) Adequate time to prepare a defense properly, and
(2) An expeditious resolution of allegations that may be damaging to
his or her reputation.
Sec. 7.29 Hearing rights of former employee.
A hearing conducted under these procedures shall afford the former
employee the following rights:
(a) To represent oneself or to be represented by counsel,
(b) To introduce and examine witnesses and to submit physical
evidence,
(c) To confront and cross-examine adverse witnesses,
(d) To present oral argument, and
(e) To request a transcript of the recording of proceedings. The
requester
[[Page 41]]
will be charged according to the fee schedule set out at 11 CFR 5.6.
Sec. 7.30 Hearing procedures.
(a) Witness lists. (1) No later than 10 days prior to the hearing
date, the Ethics Officer will provide the former employee with a list of
the witnesses the Commission intends to introduce. The list shall
include the name and position of each witness and the aspect of the
allegation upon which the witness is expected to testify. If no
witnesses are to be called, the former employee shall be so notified.
(2) No later than 5 days prior to the hearing date, the former
employee shall provide the Ethics Officer with a list of witnesses he or
she intends to introduce. The list shall include the name and position
of each witness and the aspect of the allegation upon which the witness
is expected to testify. If no witnesses are to be called, the Ethics
Officer shall be so notified.
(3) Copies of the witness lists shall be given to the examiner by
the Ethics Officer.
(b) Representation. (1) The Commission shall be represented at the
hearing by the Ethics Officer or his or her designee,
(2) The former employee may represent himself or herself or may be
represented by counsel.
(c) Burden of proof. The burden of proof shall be on the Commission
which must establish substantial evidence of a violation.
(d) Conduct of hearing. (1) The following items will be introduced
by the Commission and will be made part of the hearing record:
(i) The complaint;
(ii) The notification sent to the former employee under 11 CFR 7.27;
(iii) The former employee's response to the notification; and
(iv) If the Commission so chooses, a brief or memorandum of law.
(2) The former employee will then be given an opportunity to submit
a brief or memorandum of law to be included in the hearing record.
(3) The Commission shall introduce its witnesses and evidence first.
At the close of the Commission's examination of each witness, the former
employee will be given an opportunity to cross-examine the witness.
(4) The former employee will present his or her witnesses and
evidence at the close of the Commission's presentation. At the close of
the former employee's examination of each witness, the Commission shall
be given an opportunity to cross-examine each witness.
(5) After the former employee has completed his or her presentation,
both parties will be given an opportunity for oral argument with the
Commission making its arguments first. Time shall be offered during the
oral argument for Commission rebuttal.
(6) Decisions as to the admissibility of evidence or testimony shall
be made under the Federal Rules of Evidence.
Sec. 7.31 Examiner's decision.
(a) Initial determination. No later than 15 days after the close of
the hearing, the examiner shall make a determination exclusively on
matters of record in the proceeding.
(b) Form of determination. The examiner's determination shall set
forth all findings of fact and conclusions of law relevant to the
matters at issue.
(c) Copies. The examiner shall provide copies of his or her
determination to the former employee, the complainant, the Ethics
Officer, and the Commission.
Sec. 7.32 Appeal.
(a) Right of appeal. Within ten days after receipt by certified mail
of the examiner's decision, either party may appeal such decision to the
members of the Commission by filing a notice of appeal with the
Chairman.
(b) Notice of appeal. The notice of appeal shall be accompanied by a
memorandum setting forth the legal and factual reasons why the
examiner's decision should be reversed or modified.
(c) Commission review of appeal. The Commission, by an affirmative
vote of four members, may affirm, modify, or reverse the examiner's
decision. The Commission's decision shall be based solely on the hearing
record or those portions thereof cited by the parties to limit the
issues.
(d) Commission statement on appeal. If the Commission modifies or
reverses
[[Page 42]]
the initial decision, it shall specify such findings of fact or
conclusions of law as are different from those of the examiner.
Sec. 7.33 Administrative sanctions.
The Commission may take appropriate disciplinary action in the case
of any individual who is found in violation of 18 U.S.C. 207 (a), (b),
or (c) after a final administrative hearing, or in the absence of a
hearing, after adequate notice such as by:
(a) Prohibiting the individual from making, on behalf of any person
(except the United States), any formal or informal appearance before,
or, with the intent to influence, any oral or written communication to
the Commission on any matter of business for a period not to exceed five
years, which may be accomplished by directing agency employees to refuse
to participate in any such appearance or to accept any such
communication;
(b) Issuing a letter of reprimand;
(c) Issuing a letter of admonishment;
(d) Prohibiting a former employee from making formal or informal
appearances or communications in connection with a particular matter or
on behalf of a particular party.
(e) Taking other appropriate disciplinary action.
PART 8--NATIONAL VOTER REGISTRATION ACT (42 U.S.C. 1973gg-1 et seq.)--Table of Contents
Subpart A--General Provisions
Sec.
8.1 Purpose & scope.
8.2 Definitions.
Subpart B--National Mail Voter Registration Form
8.3 General Information.
8.4 Contents.
8.5 Format.
8.6 Chief state election official.
Subpart C--Recordkeeping and Reporting
8.7 Contents of reports from the states.
Authority: 42 U.S.C. 1973gg-1 et seq.
Source: 59 FR 32323, June 23, 1994, unless otherwise noted.
Subpart A--General Provisions
Sec. 8.1 Purpose & scope.
The regulations in this part implement the responsibilities
delegated to the Commission under Section 9 of the National Voter
Registration Act of 1993, Public Law 103-31, 97 Stat. 77, 42 U.S.C.
1973gg-1 et seq. (``NVRA''). They describe the format and contents of
the national mail voter registration form and the information that will
be required from the states for inclusion in the Commission's biennial
report to Congress.
Sec. 8.2 Definitions.
As used in this part:
(a) Form means the national mail voter registration application
form, which includes the registration application, accompanying general
instructions for completing the application, and state-specific
instructions.
(b) Chief state election official means the designated state officer
or employee responsible for the coordination of state responsibilities
under 42 U.S.C. 1973gg-8.
(c) Active voters means all registered voters except those who have
been sent but have not responded to a confirmation mailing sent in
accordance with 42 U.S.C. 1973gg-6(d) and have not since offered to
vote.
(d) Inactive voters means registrants who have been sent but have
not responded to a confirmation mailing sent in accordance with 42
U.S.C. 1973gg-6(d) and have not since offered to vote.
(e) Duplicate registration application means an offer to register by
a person already registered to vote at the same address, under the same
name, and (where applicable) in the same political party.
(f) State means a state of the United States and the District of
Columbia not exempt from coverage under 42 U.S.C. 1973gg-2(b).
(g) Closed primary state means a state that requires party
registration as a precondition to vote for partisan races in primary
elections or for other nominating procedures.
[[Page 43]]
Subpart B--National Mail Voter Registration Form
Sec. 8.3 General information.
(a) The national mail voter registration form shall consist of three
components: An application, which shall contain appropriate fields for
the applicant to provide all of the information required or requested
under 11 CFR 8.4; general instructions for completing the application;
and accompanying state-specific instructions.
(b) The state-specific instructions shall contain the following
information for each state, arranged by state: the address where the
application should be mailed and information regarding the state's
specific voter eligibility and registration requirements.
(c) States shall accept, use, and make available the form described
in this section.
Sec. 8.4 Contents.
(a) Information about the applicant.
The application shall provide appropriate fields for the
applicant's:
(1) Last, first, and middle name, any suffix, and (optional) any
prefix;
(2) Address where the applicant lives including: street number and
street name, or rural route with a box number; apartment or unit number;
city, town, or village name; state; and zip code; with instructions to
draw a locational map if the applicant lives in a rural district or has
a non-traditional residence, and directions not to use a post office box
or rural route without a box number;
(3) Mailing address if different from the address where the
applicant lives, such as a post office box, rural route without a box
number, or other street address; city, town, or village name; state; and
zip code;
(4) Month, day, and year of birth;
(5) Telephone number (optional); and
(6) Voter identification number as required or requested by the
applicant's state of residence for election administration purposes.
(i) The application shall direct the applicant to consult the
accompanying state-specific instructions to determine what type of voter
identification number, if any, is required or requested by the
applicant's state.
(ii) For each state that requires the applicant's full social
security number as its voter identification number, the state's Privacy
Act notice required at 11 CFR 8.6(c) shall be reprinted with the
instructions for that state.
(7) Political party preference, for an applicant in a closed primary
state.
(i) The application shall direct the applicant to consult the
accompanying state-specific instructions to determine if the applicant's
state is a closed primary state.
(ii) The accompanying instructions shall state that if the applicant
is registering in a state that requires the declaration of party
affiliation, then failure to indicate a political party preference,
indicating ``none'', or selecting a party that is not recognized under
state law may prevent the applicant from voting in partisan races in
primary elections and participating in political party caucuses or
conventions, but will not bar an applicant from voting in other
elections.
(8) Race/ethnicity, if applicable for the applicant's state of
residence. The application shall direct the applicant to consult the
state-specific instructions to determine whether race/ethnicity is
required or requested by the applicant's state.
(b) Additional information required by the Act. (42 U.S.C. 1973gg-
7(b) (2) and (4)). The form shall also:
(1) Specify each eligibility requirement (including citizenship).
The application shall list U.S. Citizenship as a universal eligibility
requirement and include a statement that incorporates by reference each
state's specific additional eligibility requirements (including any
special pledges) as set forth in the accompany state instructions;
(2) Contain an attestation on the application that the applicant, to
the best of his or her knowledge and belief, meets each of his or her
state's specific eligibility requirements;
(3) Provide a field on the application for the signature of the
applicant, under penalty of perjury, and the date of the applicant's
signature;
(4) Inform an applicant on the application of the penalties provided
by law for submitting a false voter registration application;
[[Page 44]]
(5) Provide a field on the application for the name, address, and
(optional) telephone number of the person who assisted the applicant in
completing the form if the applicant is unable to sign the application
without assistance;
(6) State that if an applicant declines to register to vote, the
fact that the applicant has declined to register will remain
confidential and will be used only for voter registration purposes; and
(7) State that if an applicant does register to vote, the office at
which the applicant submits a voter registration application will remain
confidential and will be used only for voter registration purposes.
(c) Other information. The form will, if appropriate, require an
applicant's former address or former name or request a drawing of the
area where the applicant lives in relation to local landmarks.
[59 FR 32323, June 23, 1994; 59 FR 40639, Aug. 9, 1994]
Sec. 8.5 Format.
(a) The application shall conform to the technical specifications
described in the Federal Election Commission's National Mail Voter
Registration Form Technical Specifications.
(b) Size. The application shall consist of a 5" by 8" application
card of sufficient stock and weight to satisfy postal regulations. The
application card shall be attached by a perforated fold to another 5" by
8" card that contains space for the information set forth at 11 CFR
8.4(c).
(c) Layout. (1) The application shall be sealable.
(2) The outside of the application shall contain an appropriate
number of address lines to be completed by the applicant using the state
information provided.
(3) Both sides of the application card shall contain space
designated ``For Official Use Only.''
(d) Color. The application shall be of ink and paper colors of
sufficient contrast to permit for optical scanning capabilities.
(e) Signature field. The application shall contain a signature field
in lieu of a signature line.
(f) Type size. (1) All print on the form shall be of the largest
practicable type size.
(2) The requirements on the form specified in 11 CFR 8.4(b)(1), (6),
and (7) shall be in print identical to that used in the attestation
portion of the application required by 11 CFR 8.4(b)(2).
Sec. 8.6 Chief state election official.
(a) Each chief state election official shall certify to the
Commission within 30 days after July 25, 1994:
(1) All voter registration eligibility requirements of that state
and their corresponding state constitution or statutory citations,
including but not limited to the specific state requirements, if any,
relating to minimum age, length of residence, reasons to disenfranchise
such as criminal conviction or mental incompetence, and whether the
state is a closed primary state.
(2) Any voter identification number that the state requires or
requests; and
(3) Whether the state requires or requests a declaration of race/
ethnicity;
(4) The state's deadline for accepting voter registration
applications; and
(5) The state election office address where the application shall be
mailed.
(b) If a state, in accordance with 11 CFR 8.4(a)(2), requires the
applicant's full social security number, the chief state election
official shall provide the Commission with the text of the state's
privacy statement required under the Privacy Act of 1974 (5 U.S.C. 552a
note).
(c) Each chief state election official shall notify the Commission,
in writing, within 30 days of any change to the state's voter
eligibility requirements or other information reported under this
section.
Subpart C--Recordkeeping and Reporting
Sec. 8.7 Contents of reports from the states.
(a) The chief state election official shall provide the information
required under this section with the Commission by March 31 of each odd-
numbered year beginning March 31, 1995 on a form to be provided by the
Commission. Reports shall be mailed to: National
[[Page 45]]
Clearinghouse on Election Administration, Federal Election Commission,
999 E Street, NW., Washington DC 20463. The data to be reported in
accordance with this section shall consist of applications or responses
received up to and including the date of the preceding federal general
election.
(b) Except as provided in paragraph (c) of this section, the report
required under this section shall include:
(1) The total number of registered voters statewide, including both
``active'' and ``inactive'' voters if such a distinction is made by the
state, in the federal general election two years prior to the most
recent federal general election;
(2) The total number of registered voters statewide, including both
``active'' and ``inactive'' voters if such a distinction is made by the
state, in the most recent federal election;
(3) The total number of new valid registrations accepted statewide
between the past two federal general elections, including all
registrations that are new to the local jurisdiction and re-
registrations across jurisdictional lines, but excluding all
applications that are duplicates, rejected, or report only a change of
name, address, or (where applicable) party preference within the local
jurisdiction;
(4) If the state distinguishes between ``active'' and ``inactive''
voters, the total number of registrants statewide that were considered
``inactive'' at the close of the most recent federal general election;
(5) The total number of registrations statewide that were, for
whatever reason, deleted from the registration list, including both
``active'' and ``inactive'' voters if such a distinction is made by the
state, between the past two federal general elections;
(6) The statewide number of registration applications received
statewide (regardless of whether they were valid, rejected, duplicative,
or address, name or party changes) that were received from or generated
by each of the following categories:
(i) All motor vehicle offices statewide;
(ii) Mail;
(iii) All public assistance agencies that are mandated as
registration sites under the Act;
(iv) All state-funded agencies primarily serving persons with
disabilities;
(v) All Armed Forces recruitment offices;
(vi) All other agencies designated by the state;
(vii) All other means, including but not limited to, in person,
deputy registrars, and organized voter registration drives delivering
forms directly to registrars;
(7) The total number of duplicate registration applications
statewide that, between the past two federal general elections were
received in the appropriate election office and generated by each of the
categories described in paragraphs (b)(6) (i) through (vii) of this
section;
(8) The statewide number of confirmation notices mailed out between
the past two federal general elections and the statewide number of
responses received to these notices during the same period;
(9) Answers to a series of questions with categorical responses for
the state to indicate which options or procedures the state has selected
in implementing the NVRA or any significant changes to the state's voter
registration program; and
(10) Any additional information that would be helpful to the
Commission for meeting the reporting requirement under 42 U.S.C. 1973gg-
7(a)(3).
(c) For the State report due March 31, 1995, the chief state
election official need only provide the information described in
paragraph (b)(2) of this section and a brief narrative or general
description of the state's implementation of the NVRA.
[59 FR 32323, June 23, 1994, as amended at 59 FR 64560, Dec. 15, 1994]
[[Page 46]]
SUBCHAPTER A--GENERAL
PART 100--SCOPE AND DEFINITIONS (2 U.S.C. 431)--Table of Contents
Sec.
100.1 Scope.
100.2 Election (2 U.S.C. 431(1)).
100.3 Candidate (2 U.S.C. 431(2)).
100.4 Federal office (2 U.S.C. 431(3)).
100.5 Political committee (2 U.S.C. 431 (4), (5), (6)).
100.6 Connected organization (2 U.S.C. 431(7)).
100.7 Contribution (2 U.S.C. 431(8)).
100.8 Expenditure (2 U.S.C. 431(9)).
100.9 Commission (2 U.S.C. 431(10)).
100.10 Person (2 U.S.C. 431(11)).
100.11 State (2 U.S.C. 431(12)).
100.12 Identification (2 U.S.C. 431(13)).
100.13 National committee (2 U.S.C. 431(14)).
100.14 State committee, subordinate committee (2 U.S.C. 431(15)).
100.15 Political party (2 U.S.C. 431(16)).
100.16 Independent expenditure (2 U.S.C. 431(17)).
100.17 Clearly identified (2 U.S.C. 431(18)).
100.18 Act (2 U.S.C. 431(19)).
100.19 File, filed or filing (2 U.S.C. 434(a)).
100.20 Occupation (2 U.S.C. 431(13)).
100.21 Employer (2 U.S.C. 431(13)).
100.22 Expressly advocating (2 U.S.C. 431(17)).
Authority: 2 U.S.C. 431, 438(a)(8).
Source: 45 FR 15094, Mar. 7, 1980, unless otherwise noted.
Sec. 100.1 Scope.
This subchapter is issued by the Federal Election Commission to
implement the Federal Election Campaign Act of 1971 (Pub. L. 92-225), as
amended by Public Law 93-443, Public Law 94-283, Public Law 95-216, and
Public Law 96-187.
Sec. 100.2 Election (2 U.S.C. 431(1)).
(a) Election means the process by which individuals, whether opposed
or unopposed, seek nomination for election, or election, to Federal
office. The specific types of elections, as set forth at 11 CFR 100.2
(b), (c), (d), (e) and (f) are included in this definition.
(b) General election. A general election is an election which meets
either of the following conditions:
(1) An election held in even numbered years on the Tuesday following
the first Monday in November is a general election.
(2) An election which is held to fill a vacancy in a Federal office
(i.e., a special election) and which is intended to result in the final
selection of a single individual to the office at stake is a general
election. See 11 CFR 100.2(f).
(c) Primary election. A primary election is an election which meets
one of the following conditions:
(1) An election which is held prior to a general election, as a
direct result of which candidates are nominated, in accordance with
applicable State law, for election to Federal office in a subsequent
election is a primary election.
(2) An election which is held for the expression of a preference for
the nomination of persons for election to the office of President of the
United States is a primary election.
(3) An election which is held to elect delegates to a national
nominating convention is a primary election.
(4) With respect to individuals seeking federal office as
independent candidates, or without nomination by a major party (as
defined in 26 U.S.C. 9002(6)), the primary election is considered to
occur on one of the following dates, at the choice of the candidate:
(i) The day prescribed by applicable State law as the last day to
qualify for a position on the general election ballot may be designated
as the primary election for such candidate.
(ii) The date of the last major party primary election, caucus, or
convention in that State may be designated as the primary election for
such candidate.
(iii) In the case of non-major parties, the date of the nomination
by that party may be designated as the primary election for such
candidate.
(5) With respect to any major party candidate (as defined at 26
U.S.C. 9002(6)) who is unopposed for nomination within his or her own
party, and who is certified to appear as that party's nominee in the
general election for the office sought, the primary election is
considered to have occurred on the date on which the primary election
was
[[Page 47]]
held by the candidate's party in that State.
(d) Runoff election. Runoff election means the election which meets
either of the following conditions:
(1) The election held after a primary election, and prescribed by
applicable State law as the means for deciding which candidate(s) should
be certified as a nominee for the Federal office sought, is a runoff
election.
(2) The election held after a general election and prescribed by
applicable State law as the means for deciding which candidate should be
certified as an officeholder elect, is a runoff election.
(e) Caucus or Convention. A caucus or convention of a political
party is an election if the caucus or convention has the authority to
select a nominee for federal office on behalf of that party.
(f) Special election. Special election means an election which is
held to fill a vacancy in a Federal office. A special election may be a
primary, general, or runoff election, as defined at 11 CFR 100.2 (b),
(c) and (d).
Sec. 100.3 Candidate (2 U.S.C. 431(2)).
(a) Definition. Candidate means an individual who seeks nomination
for election, or election, to federal office. An individual becomes a
candidate for Federal office whenever any of the following events occur:
(1) The individual has received contributions aggregating in excess
of $5,000 or made expenditures aggregating in excess of $5,000.
(2) The individual has given his or her consent to another person to
receive contributions or make expenditures on behalf of that individual
and such person has received contributions aggregating in excess of
$5,000 or made expenditures aggregating in excess of $5,000.
(3) After written notification by the Commission that any other
person has received contributions aggregating in excess of $5,000 or
made expenditures aggregating in excess of $5,000 on the individual's
behalf, the individual fails to disavow such activity by letter to the
Commission within 30 days of receipt of the notification.
(4) The aggregate of contributions received under 11 CFR 100.3(a)
(1), (2), and (3), in any combination thereof, exceeds $5,000, or the
aggregate of expenditures made under 11 CFR 100.3(a) (1), (2), and (3),
in any combination thereof, exceeds $5,000.
(b) Election cycle. For purposes of determining whether an
individual is a candidate under this section, contributions or
expenditures shall be aggregated on an election cycle basis. An election
cycle shall begin on the first day following the date of the previous
general election for the office or seat which the candidate seeks,
unless contributions or expenditures are designated for another election
cycle. For an individual who receives contributions or makes
expenditures designated for another election cycle, the election cycle
shall begin at the time such individual, or any other person acting on
the individual's behalf, first receives contributions or makes
expenditures in connection with the designated election. The election
cycle shall end on the date on which the general election for the office
or seat that the individual seeks is held.
Sec. 100.4 Federal office (2 U.S.C. 431(3)).
Federal office means the office of President or Vice President of
the United States, Senator or Representative in, or Delegate or Resident
Commissioner to, the Congress of the United States.
Sec. 100.5 Political committee (2 U.S.C. 431 (4), (5), (6)).
Political committee means any group meeting one of the following
conditions:
(a) Except as provided in 11 CFR 100.5 (b), (c) and (d), any
committee, club, association, or other group of persons which receives
contributions aggregating in excess of $1,000 or which makes
expenditures aggregating in excess of $1,000 during a calendar year is a
political committee.
(b) Any separate segregated fund established under 2 U.S.C.
441b(b)(2)(C) is a political committee.
(c) Any local committee of a political party is a political
committee if: it receives contributions aggregating in excess of $5,000
during a calendar year; it
[[Page 48]]
makes payments exempted from the definition of contribution, under 11
CFR 100.7(b) (9), (15) and (17), and expenditure, under 11 CFR 100.8(b)
(10), (16) and (18), 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).)
(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--I11(i) A single
corporation and/or its subsidiaries;
(ii) A single national or international union and/or its local
unions or other subordinate organizations;
(iii) An organization of national or international unions and/or all
its State and local central bodies;
(iv) A membership organization, (other than political party
committees, 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
[[Page 49]]
(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.
[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]
Sec. 100.6 Connected organization (2 U.S.C. 431(7)).
(a) Connected organization means any organization which is not a
political committee but which directly or indirectly establishes,
administers, or financially supports a political committee. A connected
organization may
[[Page 50]]
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. 100.7 Contribution (2 U.S.C. 431(8)).
(a) The term contribution includes the following payments, services
or other things of value:
(1) A gift, subscription, loan (except for a loan made in accordance
with 11 CFR 100.7(b)(11)), advance, or deposit of money or anything of
value made by any person for the purpose of influencing any election for
Federal office is a contribution.
(i) For purposes of 11 CFR 100.7(a)(1), the term loan includes a
guarantee, endorsement, and any other form of security.
(A) A loan which exceeds the contribution limitations of 2 U.S.C.
441a and 11 CFR part 110 shall be unlawful whether or not it is repaid.
(B) A loan is a contribution at the time it is made and is a
contribution to the extent that it remains unpaid. The aggregate amount
loaned to a candidate or committee by a contributor, when added to other
contributions from that individual to that candidate or committee, shall
not exceed the contribution limitations set forth at 11 CFR part 110. A
loan, to the extent it is repaid, is no longer a contribution.
(C) Except as provided in (D), a loan is a contribution by each
endorser or guarantor. Each endorser or guarantor shall be deemed to
have contributed that portion of the total amount of the loan for which
he or she agreed to be liable in a written agreement. Any reduction in
the unpaid balance of the loan shall reduce proportionately the amount
endorsed or guaranteed by each endorser or guarantor in such written
agreement. In the event that such agreement does not stipulate the
portion of the loan for which each endorser or guarantor is liable, the
loan shall be considered a loan by each endorser or guarantor in the
same proportion to the unpaid balance that each endorser or guarantor
bears to the total number of endorsers or guarantors.
(D) A candidate may obtain a loan on which his or her spouse's
signature is required when jointly owned assets are used as collateral
or security for the loan. The spouse shall not be considered a
contributor to the candidate's campaign if the value of the candidate's
share of the property used as collateral equals or exceeds the amount of
the loan which is used for the candidate's campaign.
(E) If a political committee makes a loan to any person, such loan
shall be subject to the limitations of 11 CFR part 110. Repayment of the
principal amount of such loan to such political committee shall not be a
contribution by the debtor to the lender committee. Such repayment shall
be made with funds which are subject to the prohibitions of 11 CFR
110.4(a) and part 114. The payment of interest to such committee by the
debtor shall be a contribution only to the extent that the interest paid
exceeds a commercially reasonable rate prevailing at the time the loan
is made. All payments of interest shall be made from funds subject to
the prohibitions of 11 CFR 110.4(a) and part 114.
(ii) For purposes of 11 CFR 100.7(a)(1), the term money includes
currency of the United States or of any foreign nation, checks, money
orders, or any other negotiable instruments payable on demand.
(iii) (A) For purposes of 11 CFR 100.7(a)(1), the term anything of
value includes all in-kind contributions. Unless specifically exempted
under 11 CFR 100.7(b), the provision of any goods or services without
charge or at a charge which 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
[[Page 51]]
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.
(B) For purposes of 11 CFR 100.7(a)(1)(iii)(A), 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.
(2) The entire amount paid to attend a fundraiser or other political
event and the entire amount paid as the purchase price for a fundraising
item sold by a political committee is a contribution.
(3) The payment by any person of compensation for the personal
services of another person if those services are rendered without charge
to a political committee for any purpose, except for legal and
accounting services provided under 11 CFR 100.7(b)(13) or (14), is a
contribution. No compensation is considered paid to any employee under
any of the following conditions:
(i) If an employee is paid on an hourly or salaried basis and is
expected to work a particular number of hours per period, no
contribution results if the employee engages in political activity
during what would otherwise be a regular work period, provided that the
taken or released time is made up or completed by the employee within a
reasonable time.
(ii) No contribution results where an employee engages in political
activity during what would otherwise be normal working hours if the
employee is paid on a commission or piecework basis, or is paid only for
work actually performed and the employee's time is considered his or her
own to use as he or she sees fit.
(iii) No contribution results where the time used by the employee to
engage in political activity is bona fide, although compensable,
vacation time or other earned leave time.
(4) The extension of credit by any person is a contribution unless
the credit is extended in the ordinary course of the person's business
and the terms are substantially similar to extensions of credit to
nonpolitical debtors that are of similar risk and size of obligation. If
a creditor fails to make a commercially reasonable attempt to collect
the debt, a contribution will result. (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.
(b) The term contribution does not include the following payments,
services or other things of value:
(1)(i) Funds received solely for the purpose of determining whether
an individual should become a candidate are not contributions. Examples
of activities permissible under this exemption if they are conducted to
determine whether an individual should become a candidate include, but
are not limited to, conducting a poll, telephone calls, and travel. Only
funds permissible under the Act may be used for such activities. The
individual shall keep records of all such funds received. See 11 CFR
101.3. If the individual subsequently becomes a candidate, the funds
received are contributions subject to the reporting requirements of the
Act. Such contributions must be reported with the first report filed by
the principal campaign committee of the candidate, regardless of the
date the funds were received.
(ii) This exemption does not apply to funds received for activities
indicating that an individual has decided to become a candidate for a
particular office or for activities relevant to conducting a campaign.
Examples of activities that indicate that an individual has decided to
become a candidate include, but are not limited to:
(A) The individual uses general public political advertising to
publicize his
[[Page 52]]
or her intention to campaign for Federal office.
(B) The individual raises funds in excess of what could reasonably
be expected to be used for exploratory activities or undertakes
activities designed to amass campaign funds that would be spent after he
or she becomes a candidate.
(C) The individual makes or authorizes written or oral statements
that refer to him or her as a candidate for a particular office.
(D) The individual conducts activities in close proximity to the
election or over a protracted period of time.
(E) The individual has taken action to qualify for the ballot under
State law.
(2) Any cost incurred in covering or carrying a news story,
commentary, or editorial by any broadcasting station (including a cable
television operator, programmer or producer), newspaper, magazine, or
other periodical publication is not a contribution unless the facility
is owned or controlled by any political party, political committee, or
candidate, in which case the costs for a news story (i) which represents
a bona fide news account communicated in a publication of general
circulation or on a licensed broadcasting facility, and (ii) which is
part of a general pattern of campaign-related news accounts which give
reasonably equal coverage to all opposing candidates in the circulation
or listening area, is not a contribution.
(3) The value of services provided without compensation by any
individual who volunteers on behalf of a candidate or political
committee is not a contribution.
(4) No contribution results where an individual, in the course of
volunteering personal services on his or her residential premises to any
candidate or to any political committee of a political party, provides
the use of his or her real or personal property to such candidate for
candidate-related activity or to such political committee of a political
party for party-related activity. For the purposes of 11 CFR
100.7(b)(4), an individual's residential premises, shall include a
recreation room in a residential complex where the individual
volunteering services resides, provided that the room is available for
use without regard to political affiliation. A nominal fee paid by such
individual for the use of such room is not a contribution.
(5) No contribution results where an individual, in the course of
volunteering personal services to any candidate or political committee
of a political party, obtains the use of a church or community room and
provides such room to any candidate for candidate-related activity or to
any political committee of a political party for party-related activity,
provided that the room is used on a regular basis by members of the
community for noncommercial purposes and the room is available for use
by members of the community without regard to political affiliation. A
nominal fee paid by such individual for the use of such room is not a
contribution.
(6) The cost of invitations, food and beverages is not a
contribution where such items are voluntarily provided by an individual
volunteering personal services on the individual's residential premises
or in a church or community room as specified at 11 CFR 100.7(b) (4) and
(5) to a candidate for candidate-related activity or to any political
committee of a political party for party-related activity, to the extent
that: The aggregate value of such invitations, food and beverages
provided by the individual on behalf of the candidate does not exceed
$1,000 with respect to any single election; and on behalf of all
political committees of each political party does not exceed $2,000 in
any calendar year.
(7) The sale of any food or beverage by a vendor (whether
incorporated or not) for use in a candidate's campaign, or for use by a
political committee of a political party, at a charge less than the
normal or comparable commercial rate, is not a contribution, provided
that the charge is at least equal to the cost of such food or beverage
to the vendor, to the extent that: The aggregate value of such discount
given by the vendor on behalf of any single candidate does not exceed
$1,000 with respect to any single election; and on behalf of all
political committees of each political party does not exceed $2,000 in a
calendar year.
[[Page 53]]
(8) Any unreimbursed payment for transportation expenses incurred by
any individual on behalf of any candidate or any political committee of
a political party is not a contribution to the extent that: The
aggregate value of the payments made by such individual on behalf of a
candidate does not exceed $1,000 with respect to a single election; and
on behalf of all political committees of each political party does not
exceed $2,000 in a calendar year. Additionally, any unreimbursed payment
from a volunteer's personal funds for usual and normal subsistence
expenses incidental to volunteer activity is not a contribution.
(9) The payment by a State or local committee of a political party
of the costs of preparation, display, or mailing or other distribution
incurred by such committee with respect to a printed slate card, sample
ballot, palm card, or other printed listing(s) of three or more
candidates for any public office for which an election is held in the
State in which the committee is organized is not a contribution. The
payment of the portion of such costs allocable to Federal candidates
must be made from funds subject to the limitations and prohibitions of
the Act. If made by a political committee, such payments shall be
reported by that committee as disbursements, but need not be allocated
in committee reports to specific candidates. This exemption shall not
apply to costs incurred by such a committee with respect to the
preparation and display of listings made on broadcasting stations, or in
newspapers, magazines, and similar types of general public political
advertising such as billboards.
(10) Any payment made or obligation incurred by a corporation or a
labor organization is not a contribution if under the provisions of 11
CFR part 114 such payment or obligation would not constitute an
expenditure by the corporation or labor organization.
(11) A loan of money by a State bank, a federally chartered
depository institution (including a national bank) or a depository
institution whose deposits and accounts are insured by the Federal
Deposit Insurance Corporation, the Federal Savings and Loan Insurance
Corporation, or the National Credit Union Administration is not a
contribution by the lending institution if such loan is made in
accordance with applicable banking laws and regulations and is made in
the ordinary course of business. A loan will be deemed to be made in the
ordinary course of business if it: Bears the usual and customary
interest rate of the lending institution for the category of loan
involved; is made on a basis which assures repayment; is evidenced by a
written instrument; and is subject to a due date or amortization
schedule. Such loans shall be reported by the political committee in
accordance with 11 CFR 104.3(a). Each endorser or guarantor shall be
deemed to have contributed that portion of the total amount of the loan
for which he or she agreed to be liable in a written agreement, except
that, in the event of a signature by the candidate's spouse, the
provisions of 11 CFR 100.7(a)(1)(i)(D) shall apply. Any reduction in the
unpaid balance of the loan shall reduce proportionately the amount
endorsed or guaranteed by each endorser or guarantor in such written
agreement. In the event that such agreement does not stipulate the
portion of the loan for which each endorser or guarantor is liable, the
loan shall be considered a contribution by each endorser or guarantor in
the same proportion to the unpaid balance that each endorser or
guarantor bears to the total number of endorsers or guarantors. For
purposes of 11 CFR 100.7(b)(11), an overdraft made on a checking or
savings account shall be considered a contribution by the bank or
institution unless: The overdraft is made on an account which is subject
to automatic overdraft protection; the overdraft is subject to a
definite interest rate which is usual and customary; and there is a
definite repayment schedule.
(i) A loan, including a line of credit, shall be considered made on
a basis which assures repayment if it is obtained using either of the
sources of repayment described in paragraphs (b)(11)(i) (A) or (B) of
this section, or a combination of paragraphs (b)(11)(i) (A) and (B) of
this section:
[[Page 54]]
(A)(1) 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.
(2) 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, part 114
and part 115; or
(B) The lending institution making the loan has obtained a written
agreement whereby the candidate or political committee receiving the
loan has pledged future receipts, such as public financing payments
under 11 CFR part 9001 et seq. or part 9031 et seq., contributions, or
interest income, provided that:
(1) The amount of the loan or loans obtained on the basis of such
funds does not exceed the amount of pledged funds;
(2) 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;
(3) 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;
(4) 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
(5) 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.
(ii) If the requirements set forth in paragraph (b)(11)(i) of this
section are not met, the Commission will consider the totality of the
circumstances on a case-by-case basis in determining whether a loan was
made on a basis which assures repayment.
(12) A gift, subscription, loan, advance, or deposit of money or
anything of value made to a national committee or a State committee of a
political party is not a contribution if it is specifically designated
to defray any cost incurred for construction or purchase of any office
facility which is not acquired for the purpose of influencing the
election of any candidate in any particular election for Federal office.
If such gift, subscription, loan, advance, or deposit of money or
anything of value is made to a committee which is not a political
committee under 11 CFR 100.5, the amount need not be reported. However,
if such gift, subscription, loan, advance, or deposit of money or
anything of value is made to a political committee, it shall be reported
in accordance with 11 CFR 104.3(g).
(13) Legal or accounting services rendered to or on behalf of any
political committee of a political party are not contributions if the
person paying for such services is the regular employer of the
individual rendering the services and such services are not attributable
to activities which directly further the election of any designated
candidate for Federal office. For purposes of 11 CFR 100.7(b)(13), a
partnership shall be deemed to be the regular employer of a partner.
Amounts paid by the regular employer for such services shall be reported
by the committee receiving such services in accordance with 11 CFR
104.3(h).
(14) Legal or accounting services rendered to or on behalf of an
authorized committee of a candidate or any other
[[Page 55]]
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 11 CFR
100.7(b)(14), 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).
(15) The payment by a state or local committee of a political party
of the costs of campaign materials (such as pins, bumper stickers,
handbills, brochures, posters, party tabloids or newletters, and yard
signs) used by such committee in connection with volunteer activities on
behalf of any nominee(s) of such party is not a contribution, provided
that the following conditions are met:
(i) Such payment is not for cost incurred in connection with any
broadcasting, newspaper, magazine, bill board, direct mail, or similar
type of general public communication or political advertising. For
purposes of 11 CFR 100.7(b)(15)(i), the term direct mail means any
mailing(s) by a commercial vendor or any mailing(s) made from commercial
lists.
(ii) The portion of the cost of such materials allocable to Federal
candidates is paid from contributions subject to the limitations and
prohibitions of the Act.
(iii) Such payment is not made from contributions designated by the
donor to be spent on behalf of a particular candidate or candidates for
Federal office. For purposes of 11 CFR 100.7(b)(15)(iii), a contribution
shall not be considered a designated contribution if the party committee
disbursing the funds makes the final decision regarding which
candidate(s) shall receive the benefit of such disbursement.
(iv) Such materials are distributed by volunteers and not by
commercial or for-profit operations. For the purposes of 11 CFR
100.7(b)(15)(iv), payments by the party organization for travel and
subsistence or customary token payments to volunteers do not remove such
individuals from the volunteer category.
(v) If made by a political committee such payments shall be reported
by the political committee as disbursements in accordance with 11 CFR
104.3 but need not be allocated to specific candidates in committee
reports.
(vi) Payments by a State candidate or his or her campaign committee
to a State or local political party committee for the State candidate's
share of expenses for such campaign materials are not contributions,
provided the amount paid by the State candidate or his or her committee
does not exceed his or her proportionate share of the expenses.
(vii) Campaign materials purchased by the national committee of a
political party and delivered to a State or local party committee, or
materials purchased with funds donated by the national committee to such
State or local committee for the purchase of such materials, shall not
qualify under this exemption. Rather, the cost of such materials shall
be subject to the limitations of 2 U.S.C. 441a(d) and 11 CFR 110.7.
(16) The payment by a candidate for any public office (including
State or local office), or by such candidate's authorized committee, of
the costs of that candidate's campaign materials which include
information on or any reference to a candidate for Federal office and
which are used in connection with volunteer activities (such as pins,
bumper stickers, handbills, brochures, posters, and yard signs) is not a
contribution to such candidate for Federal office, provided that the
payment is not for the use of broadcasting, newspapers, magazines,
billboards, direct mail or similar types of general public communication
or political advertising. The payment of the portion of the cost of such
materials allocable to Federal candidates shall be made from
contributions subject to the limitations and prohibitions of the Act.
For purposes of 11 CFR 100.7(b)(16), the term direct mail means any
mailing(s) by commercial vendors or mailing(s) made from lists which
were not developed by the candidate.
(17) The payment by a State or local committee of a political party
of the
[[Page 56]]
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:
(i) Such payment is not for the costs incurred in connection with
any broadcasting, newspaper, magazine, billboard, direct mail, or
similar type of general public communication or political advertising.
For purposes of 11 CFR 100.7(b)(17)(i), the term direct mail means any
mailing(s) by a commercial vendor or any mailing(s) made from commercial
lists.
(ii) The portion of the costs of such activities allocable to
Federal candidates is paid from contributions subject to the limitations
and prohibitions of the Act.
(iii) Such payment is not made from contributions designated to be
spent on behalf of a particular candidate or candidates for Federal
office. For purposes of 11 CFR 100.7(b)(17)(iii), a contribution shall
not be considered a designated contribution if the party committee
disbursing the funds makes the final decision regarding which
candidate(s) shall receive the benefit of such disbursement.
(iv) For purposes of 11 CFR 100.7(b)(17), if such activities include
references to any candidate(s) for the House or Senate, the costs of
such activities which are allocable to that candidate(s) shall be a
contribution to such candidate(s) unless the mention of such
candidate(s) is merely incidental to the overall activity.
(v) For purposes of 11 CFR 100.7(b)(17), payment of the costs
incurred in the use of phone banks in connection with voter registration
and get-out-the-vote activities is not a contribution when such phone
banks are operated by volunteer workers. The use of paid professionals
to design the phone bank system, develop calling instructions and train
supervisors is permissible. The payment of the costs of such
professional services is not an expenditure but shall be reported as a
disbursement in accordance with 11 CFR 104.3 if made by a political
committee.
(vi) If made by a political committee, such payments for voter
registration and get-out-the-vote activities shall be reported by that
committee as disbursements in accordance with 11 CFR 104.3, but such
payments need not be allocated to specific candidates in committee
reports except as provided in 11 CFR 100.7(b)(17)(iv).
(vii) Payments made from funds donated by a national committee of a
political party to a State or local party committee for voter
registration and get-out-the-vote activities shall not qualify under
this exemption. Rather, such funds shall be subject to the limitations
of 2 U.S.C. 441a(d) and 11 CFR 110.7.
(18) Payments made to any party committee by a candidate or the
authorized committee of a candidate as a condition of ballot access are
not contributions.
(19) [Reserved]
(20) A gift, subscription, loan, advance, or deposit of money or
anything of value made with respect to a recount of the results of a
Federal election, or an election contest concerning a Federal election,
is not a contribution except that the prohibitions of 11 CFR 110.4(a)
and part 114 apply.
(21) Funds provided to defray costs incurred in staging candidate
debates in accordance with the provisions of 11 CFR 110.13 and 114.4(f).
(c) For purposes of 11 CFR 100.7 (a) and (b), a contribution or
payment made by an individual shall not be attributed to any other
individual, unless otherwise specified by that other individual in
accordance with 11 CFR 110.1(k).
[45 FR 15094, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 45
FR 23642, Apr. 8, 1980; 48 FR 19020, Apr. 27, 1983; 50 FR 9994, Mar. 13,
1985; 52 FR 773, Jan. 9, 1987; 55 FR 26385, June 27, 1990; 56 FR 67123,
Dec. 27, 1991; 57 FR 1640, Jan. 15, 1992; 60 FR 64272, Dec. 14, 1995; 61
FR 18051, Apr. 24, 1996]
Sec. 100.8 Expenditure (2 U.S.C. 431(9)).
(a) The term expenditure incudes the following payments, gifts or
other things of value:
(1) A purchase, payment, distribution, loan (except for a loan made
in accordance with 11 CFR 100.8(b)(12)), advance, deposit, or gift of
money or
[[Page 57]]
anything of value, made by any person for the purpose of influencing any
election for Federal office is an expenditure.
(i) For purposes of 11 CFR 100.8(a)(1), 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.
(ii) For purposes of 11 CFR 100.8(a)(1), the term payment does not
include the repayment by a political committee of the principal of an
outstanding obligation which is owed by such committee, except that the
repayment shall be reported as disbursements in accordance with 11 CFR
104.3(b).
(iii) For purposes of 11 CFR 100.8(a)(1), 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.
(iv)(A) For purposes of 11 CFR 100.8(a)(1), the term anything of
value includes all in-kind contributions. Unless specifically exempted
under 11 CFR 100.8(b), the provision of any goods or services without
charge or at a charge which 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.
(B) For the purposes of 11 CFR 100.8(a)(1)(iv)(A), 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 commerically reasonable rate prevailing at the
time the services were rendered.
(2) A written contract, including a media contract, promise, or
agreement to make an expenditure is an expenditure as of the date such
contract, promise or obligation is made.
(3) An independent expenditure which meets the requirements of 11
CFR 104.4 or part 109 is an expenditure, and such independent
expenditure is to be reported by the person making the expenditure in
accordance with 11 CFR 104.4 and part 109.
(b) The term expenditure does not include the following payments,
gifts, or other things of value:
(1)(i) Payments made solely for the purpose of determining whether
an individual should become a candidate are not expenditures. Examples
of activities permissible under this exemption if they are conducted to
determine whether an individual should become a candidate include, but
are not limited to, conducting a poll, telephone calls, and travel. Only
funds permissible under the Act may be used for such activities. The
individual shall keep records of all such payments. See 11 CFR 101.3. If
the individual subsequently becomes a candidate, the payments made are
subject to the reporting requirements of the Act. Such expenditures must
be reported with the first report filed by the principal campaign
committee of the candidate, regardless of the date the payments were
made.
(ii) This exemption does not apply to payments made for activities
indicating that an individual has decided to become a candidate for a
particular office or for activities relevant to conducting a campaign.
Examples of activities that indicate that an individual has decided to
become a candidate include, but are not limited to:
(A) The individual uses general public political advertising to
publicize his or her intention to campaign for Federal office.
(B) The individual raises funds in excess of what could reasonably
be expected to be used for exploratory activities or undertakes
activities designed to amass campaign funds that would be spent after he
or she becomes a candidate.
(C) The individual makes or authorizes written or oral statements
that refer to him or her as a candidate for a particular office.
[[Page 58]]
(D) The individual conducts activities in close proximity to the
election or over a protracted period of time.
(E) The individual has taken action to qualify for the ballot under
State law.
(2) Any cost incurred in covering or carrying a new story,
commentary, or editorial by any broadcasting station (including a cable
television operator, programmer or producer), newspaper, magazine, or
other periodical publication is not an expenditure unless the facility
is owned or controlled by any political party, political committee, or
candidate, in which case the costs for a news story (i) which represents
a bona fide news account communicated in a publication of general
circulation or on a licensed broadcasting facility, and (ii) which is
part of a general pattern of campaign-related news account which give
reasonably equal coverage to all opposing candidates in the circulation
or listening area, is not an expenditure.
(3) Any cost incurred for activity designed to encourage individuals
to register to vote or to vote is not an expenditure if no effort is or
has been made to determine the party or candidate preference of
individuals before encouraging them to register to vote or to vote,
except that corporations and labor organizations shall engage in such
activity in accordance with 11 CFR 114.4 (c) and (d). See also 11 CFR
114.3(c)(4)
(4) 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.
(i) For purposes of 11 CFR 100.8(b)(4), 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 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.
(ii) For purposes of 11 CFR 100.8(b)(4), 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.
(iii) For purposes of 11 CFR 100.8(b)(4), 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.
(A) This definition includes--
(1) Individuals who run the corporation's business, such as
officers, other executives, and plant, division, and section managers;
and
(2) Individuals following the recognized professions, such as
lawyers and engineers.
(B) This definition does not include--
(1) Professionals who are represented by a labor organization;
(2) Salaried foremen and other salaried lower level supervisors
having direct supervision over hourly employees;
(3) Former or retired personnel who are not stockholders; or
(4) 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).
(C) Individuals on commission may be considered executive or
administrative personnel if they have policymaking, managerial,
professional, or supervisory responsibility and if the individuals are
employees, within the meaning of 26 CFR 31.3401(c)-(1), of the
corporation for the purpose of the collection of, and liability for,
employee tax under 26 CFR 31.3402(a)-(1).
[[Page 59]]
(D) The Fair Labor Standards Act, 29 USC 201, et seq. and the
regulations issued pursuant to such Act, 29 CFR part 541, et seq., may
serve as a guideline in determining whether individuals have
policymaking, managerial, professional, or supervisory responsibilities.
(iv) (A) For purposes of paragraph (b)(4) 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.
(B) For purposes of paragraph (b)(4) 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 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 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.
(C) Notwithstanding the requirements of paragraph (b)(4)(iv)(B) 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.
(D) Notwithstanding the requirements of paragraphs (b)(4)(iv)(B)(1)
through (3) 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.
(E) 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 (b)(4)(iv)(B)(1),
(2), or (3) of this section shall also qualify as a member of all
affiliates for purposes of paragraph (b)(4)(iv) 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.
[[Page 60]]
(F) The status of a membership organization, and of members, for
purposes of paragraph (b)(4) of this section, shall be determined
pursuant to paragraph (b)(4)(iv) of this section and not by provisions
of state law governing unincorporated associations, trade associations,
cooperatives, corporations without capital stock, or labor
organizations.
(v) For purposes of 11 CFR 100.8(b)(4), 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)).
(vi) For purposes of 11 CFR 100.8(b)(4), corporation means any
separately incorporated entity, whether or not affiliated.
(vii) When the aggregate costs under 11 CFR 100.8(b)(4) exceed
$2,000 per election, all costs of the communication(s) shall be reported
on the filing dates specified in 11 CFR 104.6, and shall include the
total amount expended for each candidate supported.
(5) No expenditure results where an individual, in the course of
volunteering personal services on his or her residential premises to any
candidate or political committee of a political party, provides the use
of his or her real or personal property to such candidate for candidate-
related activity or to such political committee of a political party for
party-related activity. For the purposes of 11 CFR 100.8(b)(5), 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.
(6) No expenditure results where an individual, in the course of
volunteering personal services to any candidate or political committee
of a political party, obtains the use of a church or community room and
provides such room to any candidate for candidate-related activity or to
any political committee of a political party for party-related activity,
provided that the room is used on a regular basis by members of the
community for noncommercial purposes and the room is available for use
by members of the community without regard to political affiliation. A
nominal fee paid by such individual for the use of such room is not an
expenditure.
(7) The cost of invitations, food, and beverages is not an
expenditure where such items are voluntarily provided by an individual
in rendering voluntary personal services on the individual's residential
premises or in a church or community room as specified at 11 CFR
100.8(b) (5) and (6) to a candidate for candidate-related activity or to
a political committee of a political party for party-related activity,
to the extent that: The aggregate value of such invitations, food and
beverages provided by the individual on behalf of the candidate does not
exceed $1,000 with respect to any single election; and on behalf of all
political committees of each political party does not exceed $2,000 in
any calendar year.
(8) The sale of any food or beverage by a vendor (whether
incorporated or not) for use in a candidate's campaign, or for use by a
political committee of a political party, at a charge less than the
normal or comparable commercial charge, is not an expenditure, provided
that the charge is at least equal to the cost of such food or beverage
to the vendor, to the extent that: The aggregate value of such discount
given by the vendor on behalf of any single candidate does not exceed
$1,000 with respect to any single election; and on behalf of all
political committees of each political party does not exceed $2,000 in a
calendar year.
(9) Any unreimbursed payment for transportation expenses incurred by
any individual on behalf of any candidate or political committee of a
political party is not an expenditure to the extent that: The aggregate
value of the payments made by such individual
[[Page 61]]
on behalf of a candidate does not exceed $1,000 with respect to a single
election; and on behalf of all political committees of each political
party does not exceed $2,000 in a calendar year. Additionally, any
unreimbursed payment from a volunteer's personal funds for usual and
normal subsistence expenses incident to volunteer activity is not an
expenditure.
(10) The payment by a State or local committee of a political party
of the costs of preparation, display, or mailing or other distribution
incurred by such committee with respect to a printed slate card, sample
ballot, palm card, or other printed listing(s) of three or more
candidates for any public office for which an election is held in the
State in which the committee is organized is not an expenditure. The
payment of the portion of such costs allocable to Federal candidates
must be made from funds subject to the limitations and prohibitions of
the Act. If made by a political party committee, such payments shall be
reported by that committee as disbursements, but need not be allocated
in committee reports to specific candidates. This exemption shall not
apply to costs incurred by such a committee with respect to the
preparation and display of listings made on broadcasting stations, or in
newspapers, magazines, and similar types of general public political
advertising such as billboards.
(11) Any payment made or obligation incurred by a corporation or
labor organization is not an expenditure if under the provisions of 11
CFR part 114 such payment or obligation would not constitute an
expenditure by the corporation or labor organization.
(12) A loan of money by a State bank, a federally chartered
depository institution (including a national bank) or a depository
institution whose deposits and accounts are insured by the Federal
Deposit Insurance Corporation, the Federal Savings and Loan Insurance
Corporation, or the National Credit Union Administration is not 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: Bears the usual and customary
interest rate of the lending institution for the category of loan
involved; is made on a basis which assures repayment; is evidenced by a
written instrument; and is subject to a due date or amortization
schedule. Such loans shall be reported by the political committee in
accordance with 11 CFR 104.3(a). Each endorser or guarantor shall be
deemed to have contributed that portion of the total amount of the loan
for which he or she agreed to be liable in a written agreement, except
that, in the event of a signature by the candidate's spouse, the
provisions of 11 CFR 100.7(a)(1)(i)(D) shall apply. Any reduction in the
unpaid balance of the loan shall reduce proportionately the amount
endorsed or guaranteed by each endorser or guarantor in such written
agreement. In the event that 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. For the
purpose of 11 CFR 100.8(b)(12), an overdraft made on a checking or
savings account shall be considered an expenditure unless: The overdraft
is made on an account which is subject to automatic overdraft
protection; and the overdraft is subject to a definite interest rate and
a definite repayment schedule.
(i) A loan, including a line of credit, shall be considered made on
a basis which assures repayment if it is obtained using either of the
sources of repayment described in paragraphs (b)(12)(i) (A) or (B) of
this section, or a combination of paragraphs (b)(12)(i) (A) and (B) of
this section:
(A)(1) 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
[[Page 62]]
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.
(2) 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, part 114
and part 115; or
(B) The lending institution making the loan has obtained a written
agreement whereby the candidate or political committee receiving the
loan has pledged future receipts, such as public financing payments
under 11 CFR part 9001 et seq. or part 9031 et seq., contributions, or
interest income, provided that:
(1) The amount of the loan(s) obtained the basis of such funds does
not exceed the amount of pledged funds;
(2) 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;
(3) 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;
(4) 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
(5) 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.
(ii) If the requirements set forth in paragraph (b)(12)(i) of this
section are not met, the Commission will consider the totality of
circumstances on a case-by-case basis in determining whether a loan was
made on a basis which assures repayment.
(13) A purchase, payment, distribution, loan, advance, or deposit of
money or anything of value made to a national committee or a state
committee of a political party is not an expenditure if it is
specifically designated to defray any cost incurred for construction or
purchase of any office facility which is not acquired for the purpose of
influencing the election of any candidate in any particular election for
Federal office. If such purchase, payment, distribution, loan, advance,
or deposit of money or anything of value is made to a committee which is
not a political committee under 11 CFR 100.5, the amount need not be
reported. However, if such purchase, payment, distribution, loan,
advance, or deposit of money or anything of value is made to a political
committee, it shall be reported in accordance with 11 CFR 104.3(g).
(14) Legal or accounting services rendered to or on behalf of any
political committee of a political party are not expenditures if the
person paying for such services is the regular employer of the
individual rendering the services and such services are not attributable
to activities which directly further the election of any designated
candidate for Federal office. For purposes of 11 CFR 100.8(b)(14), a
partnership shall be deemed to be the regular employer of a partner.
Amounts paid by the regular employer for such services shall be reported
by the committee receiving such services in accordance with 11 CFR
104.3(h).
(15) Legal or accounting services rendered to or on behalf of an
authorized committee of a candidate or any other political committee are
not expenditures if the person paying for such services is the regular
employer of the individual rendering such services and if the services
are solely to ensure compliance with the Act or 26 U.S.C. 9001 et seq.
and 9032 et seq. For purposes of 11 CFR 100.8(b)(15), a partnership
shall be deemed to be the regular employer of a
[[Page 63]]
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.
(16) The payment by a state or local committee of a political party
of the costs of campaign materials (such as pins, bumper stickers,
handbills, brochures, posters, party tabloids or newsletters, and yard
signs) used by such committee in connection with volunteer activities on
behalf of any nominee(s) of such party is not an expenditure, provided
that the following conditions are met.
(i) Such payment is not for costs incurred in connection with any
broadcasting, newspaper, magazine, billboard, direct mail, or similar
type of general public communication or political advertising. For the
purposes of 11 CFR 100.8(b)(16)(i), the term direct mail means any
mailing(s) by a commercial vendor or any mailing(s) made from commercial
lists.
(ii) The portion of the cost of such materials allocable to Federal
candidates is paid from contributions subject to the limitations and
prohibitions of the Act.
(iii) Such payment is not made from contributions designated by the
donor to be spent on behalf of a particular candidate or candidates for
Federal office. For purposes of 11 CFR 100.8(b)(16)(iii), 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.
(iv) Such materials are distributed by volunteers and not by
commercial or for-profit operations. For the purposes of 11 CFR
100.8(b)(16)(iv), payments by the party organization for travel and
subsistence or customary token payments to volunteers do not remove such
individuals from the volunteer category.
(v) If made by a political party committee, such payments shall be
reported by that committee as disbursements, in accordance with 11 CFR
104.3, but need not be allocated to specific candidates in committee
reports.
(vi) Payments by a State candidate or his or her campaign committee
to a State or local political party committee for the State candidate's
share of expenses for such campaign materials are not expenditures,
provided the amount paid by the State candidate or his or her committee
does not exceed his or her proportionate share of the expenses.
(vii) Campaign materials purchased by the national committee of a
political party and delivered to a State or local party committee, or
materials purchased with funds donated by the national committee to such
State or local committee for the purchase of such materials, shall not
qualify under this exemption. Rather, the cost of such materials shall
be subject to the limitations of 2 U.S.C. 441a(d) and 11 CFR 110.7.
(17) The payment by a candidate for any public office (including
State or local office), or by such candidate's authorized committee, of
the costs of that candidate's campaign materials which include
information on or any reference to a candidate for Federal office and
which are used in connection with volunteer activities (such as pins,
bumper stickers, handbills, brochures, posters, and yard signs) is not
an expenditure on behalf of such candidate for Federal office, provided
that the payment is not for the use of broadcasting, newspapers,
magazines, billboards, direct mail or similar types of general public
communication or political advertising. The payment of the portion of
the cost of such materials allocable to Federal candidates shall be made
from contributions subject to the limitations and prohibitions of the
Act. For purposes of 11 CFR 100.8(b)(17), the term direct mail means
mailings by commercial vendors or mailings made
[[Page 64]]
from lists which were not developed by the candidate.
(18) The payment by a State or local committee of a political party
of the costs of voter registration and get-out-the-vote activities
conducted by such committee on behalf of the Presidential and Vice
Presidential nominee(s) of that party is not an expenditure for the
purpose of influencing the election of such candidates provided that the
following conditions are met:
(i) Such payment is not for the costs incurred in connection with
any broadcasting, newspaper, magazine, billboard, direct mail, or
similar type of general public communication or political advertising.
For purposes of 11 CFR 100.8(b)(18)(i), the term direct mail means any
mailing(s) by a commercial vendor or any mailing(s) made from commercial
lists.
(ii) The portion of the costs of such activities allocable to
Federal candidates is paid from contributions subject to the limitations
and prohibitions of the Act.
(iii) Such payment is not made from contributions designated to be
spent on behalf of a particular candidate or candidates for Federal
office. For the purposes of 11 CFR 100.8(b)(18)(iii), a contribution
shall not be considerd a designated contribution if the party committee
disbursing the funds makes the final decision regarding which
candidate(s) shall receive the benefit of such disbursement.
(iv) For purposes of 11 CFR 100.8(b)(18), if such activities include
references to any candidate(s) for the House or Senate, the costs of
such activities which are allocable to that candidate(s) shall be an
expenditure on behalf of such candidate(s) unless the mention of such
candidate(s) is merely incidental to the overall activity.
(v) For purposes of 11 CFR 100.8(b)(18), payment of the costs
incurred in the use of phone banks in connection with voter registration
and get-out-the-vote activities is not an expenditure when such phone
banks are operated by volunteer workers. The use of paid professionals
to design the phone bank system, develop calling instructions and train
supervisors is permissible. The payment of the costs of such
professional services is not an expenditure but shall be reported as a
disbursement in accordance with 11 CFR 104.3 if made by a political
committee.
(vi) If made by a political committee, such payments for voter
registration and get-out-the-vote activities shall be reported by that
committee as disbursements, in accordance with 11 CFR 104.3 but such
payments need not be allocated to specific candidates in committee
reports except as provided in 11 CFR 100.8(b)(18)(iv).
(vii) Payments made from funds donated by a national committee of a
political party to a State or local party committee for voter
registration and get-out-the-vote activities shall not qualify under
this exemption. Rather, such funds shall be subject to the limitations
of 2 U.S.C. 441a(d) and 11 CFR 110.7.
(19) Amounts transferred by a party committee to another party
committee or payments made to the appropriate State official of fees
collected from candidates or their authorized committees as a condition
of ballot access are not expenditures.
(20) A purchase, payment, distribution, loan, advance, or deposit of
money or anything of value made with respect to a recount of the results
of a Federal election, or an election contest concerning a Federal
election, is not an expenditure except that the prohibitions of 11 CFR
110.4(a) and part 114 apply.
(21)(i) Any costs incurred by a candidate or his or her authorized
committee(s) in connection with the solicitation of contributions are
not expenditures if incurred by a candidate who has been certified to
receive Presidential Primary Matching Fund Payments, or by a candidate
who has been certified to receive general election public financing
under 26 U.S.C. 9004 and who is soliciting contributions in accordance
with 26 U.S.C. 9003(b)(2) or 9003(c)(2) to the extent that the aggregate
of such costs does not exceed 20 percent of the expenditure limitation
applicable to the candidate. These costs shall, however, be reported as
disbursements pursuant to 11 CFR part 104.
(ii) For a candidate who has been certified to receive general
election public
[[Page 65]]
financing under 26 U.S.C. 9004 and who is soliciting contributions in
accordance with 26 U.S.C. 9003(b)(2) or 9003(c)(2), in connection with
the solicitation of contributions means any cost reasonably related to
fundraising activity, including the costs of printing and postage, the
production of and space or air time for, advertisements used for
fundraising, and the costs of meals, beverages, and other costs
associated with a fundraising reception or dinner.
(iii) For a candidate who has been certified to receive Presidential
Primary Matching Fund Payments, the costs that may be exempted as
fundraising expenses under this section shall not exceed 20% of the
overall expenditure limitation under 11 CFR 9035.1, and shall equal the
total of:
(A) All amounts excluded from the state expenditure limitations for
exempt fundraising activities under 11 CFR 110.8(c)(2), plus
(B) An amount of costs that would otherwise be chargeable to the
overall expenditure limitation but that are not chargeable to any state
expenditure limitation, such as salary and travel expenses. See 11 CFR
106.2.
(22) Payments by a candidate from his or her personal funds, as
defined at 11 CFR 110.10(b), for the candidate's routine living expenses
which would have been incurred without candidacy, including the cost of
food and residence, are not expenditures. Payments for such expenses by
a member of the candidate's family as defined in 11 CFR 113.1(g)(7), are
not expenditures if the payments are made from an account jointly held
with the candidate, or if the expenses were paid by the family member
before the candidate became a candidate.
(23) Funds used to defray costs incurred in staging candidate
debates in accordance with the provisions of 11 CFR 110.13 and 114.4(f).
(c) For purposes of 11 CFR 100.8 (a) and (b), a payment made by an
individual shall not be attributed to any other individual, unless
otherwise specified by that other individual. To the extent that a
payment made by an individual qualifies as a contribution, the
provisions of 11 CFR 110.1(k) shall apply.
[45 FR 15094, Mar. 7, 1980; 45 FR 23642, Apr. 8, 1980, as amended at 45
FR 43387, June 27, 1980; 48 FR 19020, Apr. 27, 1983; 50 FR 9994, Mar.
13, 1985; 52 FR 773, Jan. 9, 1987; 56 FR 35908, July 29, 1991; 56 FR
67123, Dec. 27, 1991; 58 FR 45774, Aug. 30, 1993; 60 FR 7874, Feb. 9,
1995; 60 FR 64272, Dec. 14, 1995; 61 FR 18051, Apr. 24, 1996; 64 FR
41272, July 30, 1999]
Sec. 100.9 Commission (2 U.S.C. 431(10)).
Commission means the Federal Election Commission, 999 E Street, NW.,
Washington, DC 20463.
[45 FR 15094, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 100.10 Person (2 U.S.C. 431(11)).
Person means an individual, partnership, committee, association,
corporation, labor organization, and any other organization, or group of
persons, but does not include the Federal government or any authority of
the Federal government.
Sec. 100.11 State (2 U.S.C. 431(12)).
State means each State of the United States, the District of
Columbia, the Commonwealth of Puerto Rico, and any territory or
possession of the United States.
Sec. 100.12 Identification (2 U.S.C. 431(13)).
Identification means, in the case of an individual, his or her full
name, including: First name, middle name or initial, if available, and
last name; mailing address; occupation; and the name of his or her
employer; and, in the case of any other person, the person's full name
and address.
Sec. 100.13 National committee (2 U.S.C. 431(14)).
National committee means the organization which, by virtue of the
bylaws of a political party, is responsible for the day-to-day operation
of the political party at the national level, as determined by the
Commission.
Sec. 100.14 State committee, subordinate committee (2 U.S.C. 431(15)).
(a) State committee means the organization which by virtue of the
bylaws of a political party, is responsible for the
[[Page 66]]
day-to-day operation of the political party at the State level, as
determined by the Commission.
(b) Subordinate committee of a State committee means any
organization which 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 or any
organization under the control or direction of the State committee.
Sec. 100.15 Political party (2 U.S.C. 431(16)).
Political party means an association, committee, or organization
which nominates or selects a candidate for election to any Federal
office, whose name appears on an election ballot as the candidate of the
association, committee, or organization.
Sec. 100.16 Independent expenditure (2 U.S.C. 431(17)).
The term independent expenditure means an expenditure for a
communication by a person expressly advocating the election or defeat of
a clearly identified candidate which is made without cooperation or
consultation with any candidate, or any authorized committee or agent of
such candidate, and which is not made in concert with, or at the request
or suggestion of, any candidate, or any authorized committee or agent of
such candidate.
Sec. 100.17 Clearly identified (2 U.S.C. 431(18)).
The term clearly identified means the candidate's name, nickname,
photograph, or drawing appears, or the identity of the candidate is
otherwise apparent through an unambiguous reference such as ``the
President,'' ``your Congressman,'' or ``the incumbent,'' or through an
unambiguous reference to his or her status as a candidate such as ``the
Democratic presidential nominee'' or ``the Republican candidate for
Senate in the State of Georgia.''
[60 FR 35304, July 6, 1995]
Sec. 100.18 Act (2 U.S.C. 431(19)).
Act means the Federal Election Campaign Act of 1971 (Pub. L. 92-
225), as amended in 1974 (Pub. L. 93-443), 1976 (Pub. L. 94-283), 1977
(Pub. L. 95-216) and 1980 (Pub. L. 96-187).
Sec. 100.19 File, filed or filing (2 U.S.C. 434(a)).
With respect to reports, statements, notices, and designations
required to be filed under 11 CFR parts 101, 102, 104, 105, 107, 108 and
109, and any modifications or amendments thereto, the terms file, filed
and filing mean either of the following actions:
(a) A document is timely filed upon delivery to the Federal Election
Commission, 999 E Street, NW., Washington, DC 20463; or the Secretary of
the United States Senate, Office of Public Records, 119 D Street NE.,
Washington, DC 20510 as required by 11 CFR part 105, by the close of the
prescribed filing date.
(b) A document is timely filed upon deposit as registered or
certified mail in an established U.S. Post Office and postmarked no
later than midnight of the day of the filing date, except that pre-
election reports so mailed must be postmarked no later than midnight of
the fifteenth day before the date of the election. Reports and
statements sent by first class mail must be received by the close of
business of the prescribed filing date to be timely filed.
[45 FR 15094, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 61
FR 6095, Feb. 16, 1996]
Sec. 100.20 Occupation (2 U.S.C. 431(13)).
Occupation means the principal job title or position of an
individual and whether or not self-employed.
Sec. 100.21 Employer (2 U.S.C. 431(13)).
Employer means the organization or person by whom an individual is
employed, and not the name of his or her supervisor.
Sec. 100.22 Expressly advocating (2 U.S.C. 431(17)).
Expressly advocating means any communication that--(a) Uses phrases
such as ``vote for the President,'' ``re-elect your Congressman,''
``support the Democratic nominee,'' ``cast your ballot for the
Republican challenger for U.S. Senate in Georgia,'' ``Smith for
Congress,'' ``Bill McKay in '94,'' ``vote
[[Page 67]]
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]
PART 101--CANDIDATE STATUS AND DESIGNATIONS (2 U.S.C. 432(e))--Table of Contents
Sec.
101.1 Candidate designations (2 U.S.C. 432(e)(1)).
101.2 Candidate as agent of authorized committee (2 U.S.C. 432(e)(2)).
101.3 Funds received or expended prior to becoming a candidate (2
U.S.C. 432(e)(2)).
Authority: 2 U.S.C. 432(e), 438(a)(f).
Sec. 101.1 Candidate designations (2 U.S.C. 432(e)(1)).
(a) Principal Campaign Committee. Within 15 days after becoming a
candidate under 11 CFR 100.3, each candidate, other than a nominee for
the office of Vice President, shall designate in writing a principal
campaign committee in accordance with 11 CFR 102.12. A candidate shall
designate his or her principal campaign committee by filing a Statement
of Candidacy on FEC Form 2, or 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]
Sec. 101.2 Candidate as agent of authorized committee (2 U.S.C. 432(e)(2)).
(a) Any candidate who receives a contribution as defined at 11 CFR
100.7, obtains any loan, or makes any disbursement, in connection with
his or her campaign shall be considered as having received such
contribution, obtained such loan or made such disbursement as an agent
of his or her authorized committee(s).
(b) When an individual becomes a candidate, any funds received,
loans obtained, or disbursements made prior to becoming a candidate in
connection with his or her campaign shall be deemed to have been
received, obtained or made as an agent of his or her authorized
committee(s).
[45 FR 15103, Mar. 7, 1980]
Sec. 101.3 Funds received or expended prior to becoming a candidate (2 U.S.C. 432(e)(2)).
When an individual becomes a candidate, all funds received or
payments made in connection with activities conducted under 11 CFR
100.7(b)(1) and
[[Page 68]]
11 CFR 100.8(b)(1) or his or her campaign prior to becoming a candidate
shall be considered contributions or expenditures under the Act and
shall be reported in accordance with 11 CFR 104.3 in the first report
filed by such candidate's principal campaign committee. The individual
shall keep records of the name of each contributor, the date of receipt
and amount of all contributions received (see 11 CFR 102.9(a)), and all
expenditures made (see 11 CFR 102.9(b)) in connection with activities
conducted under 11 CFR 100.7(b)(1) and 11 CFR 100.8(b)(1) or the
individual's campaign prior to becoming a candidate.
[50 FR 9995, Mar. 13, 1985]
PART 102--REGISTRATION, ORGANIZATION, AND RECORDKEEPING BY POLITICAL COMMITTEES (2 U.S.C. 433)--Table of Contents
Sec.
102.1 Registration of political committees (2 U.S.C. 433(a)).
102.2 Statement of organization: Forms and committee identification
number (2 U.S.C. 433 (b), (c)).
102.3 Termination of registration (2 U.S.C. 433(d)(1)).
102.4 Administrative termination (2 U.S.C. 433(d)(2)).
102.5 Organizations financing political activity in connection with
Federal and non-Federal elections, other than through
transfers and joint fundraisers.
102.6 Transfers of funds; collecting agents.
102.7 Organization of political committees (2 U.S.C. 432(a)).
102.8 Receipt of contributions (2 U.S.C. 432(b)).
102.9 Accounting for contributions and expenditures (2 U.S.C. 432(c)).
102.10 Disbursement by check (2 U.S.C. 432(h)(1)).
102.11 Petty cash fund (2 U.S.C. 432(h)(2)).
102.12 Designation of principal campaign committee (2 U.S.C. 432(e) (1)
and (3)).
102.13 Authorization of political committees (2 U.S.C. 432(e) (1) and
(3)).
102.14 Names of political committees (2 U.S.C. 432(e) (4) and (5)).
102.15 Commingled funds (2 U.S.C. 432(a)(3)).
102.16 Notice: Solicitation of contributions (2 U.S.C. 441d).
102.17 Joint fundraising by committees other than separate segregated
funds.
Authority: 2 U.S.C. 432, 433, 438(a)(8), 441d.
Source: 45 FR 15104, Mar. 7, 1980, unless otherwise noted.
Sec. 102.1 Registration of political committees (2 U.S.C. 433(a)).
(a) Principal campaign committees. Each principal campaign committee
shall file a Statement of Organization in accordance with 11 CFR 102.2
no later than 10 days after designation pursuant to 11 CFR 101.1. In
addition, each principal campaign committee shall file all designations,
statements and reports which are filed with such committee at the place
of filing specified at 11 CFR part 105.
(b) Authorized committees. Each authorized committee(s) shall file
only one Statement of Organization in accordance with 11 CFR 102.2 no
later than 10 days after designation pursuant to 11 CFR 101.1. Such
Statement(s) shall be filed with the principal campaign committee of the
authorizing candidate.
(c) Separate segregated funds. Each separate segregated fund
established under 2 U.S.C. 441b(b)(2)(C) shall file a Statement of
Organization with the Federal Election Commission no later than 10 days
after establishment. This requirement shall not apply to a fund
established solely for the purpose of financing political activity in
connection with State or local elections. Examples of establishment
events after which a fund would be required to register include, but are
not limited to: A vote by the board of directors or comparable governing
body of an organization to create a separate segregated fund to be used
wholly or in part for federal elections; selection of initial officers
to administer such a fund; or payment of the initial operating expenses
of such a fund.
(d) Other political committees. All other committees shall file a
Statement of Organization no later than 10 days after becoming a
political committee within the meaning of 11 CFR 100.5. Such
statement(s) shall be filed at the place of filing specified at 11 CFR
part 105.
Sec. 102.2 Statement of organization: Forms and committee identification number (2 U.S.C. 433 (b), (c)).
(a) Forms. (1) The Statement of Organization shall be filed in
accordance with 11 CFR part 105 on Federal Election Commission Form 1,
which may be
[[Page 69]]
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);
(iii) The name, address, and committee position of the custodian of
books and accounts of the committee;
(iv) The name and address of the treasurer of the committee;
(v) If the committee is authorized by a candidate, the name, office
sought (including State and Congressional district, when applicable) and
party affiliation of the candidate; and the address to which
communications should be sent;
(vi) A listing of all banks, safe deposit boxes, or other
depositories used by the committee.
(2) Any change or correction in the information previously filed in
the Statement of Organization shall be reported no later than 10 days
following the date of the change or correction by filing an amended
Statement of Organization or by filing a letter noting the change(s).
The amendment need list only the name of such committee and the change
or correction.
(3) A committee shall certify to the Commission that it has
satisfied the criteria for becoming a multicandidate committee set forth
at 11 CFR 100.5(e)(3) by filing FEC Form 1M before it makes any
contributions to candidates that exceed $1000 per election.
(b) For purposes of 11 CFR 102.2(a)(1)(ii), political committees
shall disclose the names of any connected organization(s) or affiliated
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 which have been
authorized by its candidate, and all other unauthorized committees that
are affiliated with the principal campaign committee. Authorized
committees, and unauthorized committees that are affiliated, need only
disclose the name of their principal campaign committee.
(ii)(A) Political committees established by a single parent
corporation, a single national or international union, a single
organization or federation of national or international unions, a single
national membership organization or trade association, or any other
similar group of persons (other than political party organizations) are
required to disclose the names and addresses of all political committees
established by any subsidiary, or by any State, local, or other
subordinate unit of a national or international union or federation
thereof, or by any subordinate units of a national membership
organization, trade association, or other group of persons (other than
political party organizations).
(B) Political committees established by subsidiaries, or by State,
local, or other subordinate units are only required to disclose the name
and address of each political committee established by their parent or
superior body, e.g., parent corporation, national or international union
or organization or federation of such unions, or national organization
or trade association.
(2) 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]
Sec. 102.3 Termination of registration (2 U.S.C. 433(d)(1)).
(a)(1) A political committee (other than a principal campaign
committee)
[[Page 70]]
may terminate only upon filing a termination report on the appropriate
FEC Form or upon filing a written statement containing the same
information at the place of filing specified at 11 CFR part 105. Except
as provided in 11 CFR 102.4(c), only a committee which will no longer
receive any contributions or make any disbursements that would otherwise
qualify it as a political committee may terminate, provided that such
committee has no outstanding debts and obligations. In addition to the
Notice, the committee shall also provide a final report of receipts and
disbursements, which report shall include a statement as to the purpose
for which such residual funds will be used, including a statement as to
whether such residual funds will be used to defray expenses incurred in
connection with an individual's duties as a holder of federal office.
(2) An authorized committee of a qualified Member, as defined at 11
CFR 113.1(f), shall comply with the requirements of 11 CFR 113.2 before
any excess funds are converted to such Member's personal use. All other
authorized committees shall include in their termination reports a
statement signed by the treasurer, stating that no noncash committee
assets will be converted to personal use.
(b) Except as provided at 11 CFR 102.4, a principal campaign
committee may not terminate until it has met the requirements of 11 CFR
102.3(a) and until all debts of any other authorized committee(s) of the
candidate have been extinguished.
[45 FR 15104, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 56
FR 34126, July 25, 1991]
Sec. 102.4 Administrative termination (2 U.S.C. 433(d)(2)).
(a) The Commission, on its own initiative or upon the request of the
political committee itself, may administratively terminate a political
committee's reporting obligation on the basis of the following factors:
(1) The committee's aggregate reported financial activity in one
year is less than $5000;
(2) The committee's reports disclose no receipt of contributions for
the previous year;
(3) The committee's last report disclosed minimal expenditures;
(4) The committee's primary purpose for filing its reports has been
to disclose outstanding debts and obligations;
(5) The committee has failed to file reports for the previous year;
(6) The committee's last report disclosed that the committee's
outstanding debts and obligations do not appear to present a possible
violation of the prohibitions and limitations of 11 CFR parts 110 and
114;
(7) The committee's last report disclosed that the Committee does
not have substantial outstanding accounts receivable;
(8) The committee's outstanding debts and obligations exceed the
total of the committee's reported cash on hand balance.
(b) The Commission shall send a notification to the committee
treasurer of its intent to administratively terminate that committee and
may request the treasurer to submit information with regard to the
factors set forth at 11 CFR 102.4(a). The treasurer shall respond, in
writing, within 30 days of receipt of the Commission's notice or request
and if the committee objects to such termination, the committee's
response shall so state.
(c) The Commission shall administratively terminate a committee if
such committee fails to object to the Commission's action under 11 CFR
102.4(b) and the Commission determines that either:
(1) The committee has complied with the debt settlement procedures
set forth at 11 CFR part 116.
(2) The Commission has approved the forgiveness of any loan(s) owed
the committee which would have otherwise been considered a contribution
under the Act in violation of 11 CFR part 110;
(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]
[[Page 71]]
Sec. 102.5 Organizations financing political activity in connection with Federal and non-Federal elections, other than through transfers and joint fundraisers.
(a) Organizations that are political committees under the Act
(1) Each organization, including a party committee, which finances
political activity in connection with both federal and non-federal
elections and which qualifies as a political committee under 11 CFR
100.5 shall either:
(i) Establish a separate federal account in a depository in
accordance with 11 CFR part 103. Such account shall be treated as a
separate federal political committee which shall comply with the
requirements of the Act including the registration and reporting
requirements of 11 CFR parts 102 and 104. Only funds subject to the
prohibitions and limitations of the Act shall be deposited in such
separate federal account. All disbursements, contributions, expenditures
and transfers by the committee in connection with any federal election
shall be made from its federal account. No transfers may be made to such
federal account from any other account(s) maintained by such
organization for the purpose of financing activity in connection with
non-federal elections, except as provided in 11 CFR 106.5(g) and
106.6(e). Administrative expenses shall be allocated pursuant to 11 CFR
part 106 between such federal account and any other account maintained
by such committee for the purpose of financing activity in connection
with non-federal elections; or
(ii) Establish a political committee which shall receive only
contributions subject to the prohibitions and limitations of the Act,
regardless of whether such contributions are for use in connection with
federal or non-federal elections. Such organization shall register as a
political committee and comply with the requirements of the Act.
(2) Only contributions meeting the conditions set forth at
subsections (i), (ii), and (iii) of this section may be deposited in a
federal account established under 11 CFR 102.5(a)(1)(i) or may be
received by a political committee established under 11 CFR
102.5(a)(1)(ii).
(i) Contributions designated for the federal account;
(ii) Contributions that result from a solicitation which expressly
states that the contribution will be used in connection with a federal
election; and
(iii) Contributions from contributors who are informed that all
contributions are subject to the prohibitions and limitations of the
Act.
(3) Any party committee solicitation that makes reference to a
federal candidate or a federal election shall be presumed to be for the
purpose of influencing a federal election, and contributions resulting
from that solicitation shall be subject to the prohibitions and
limitations of the Act. This presumption may be rebutted by
demonstrating to the Commission that the funds were solicited with
express notice that they would not be used for federal election
purposes.
(b) Organizations that are not political committees under the Act
(1) Any organization that makes contributions or expenditures but
does not qualify as a political committee under 11 CFR 100.5 and any
State or local party organization that makes contributions, expenditures
and exempted payments under 11 CFR 100.7(b)(9), (15) and (17) and
100.8(b)(10), (16) and (18) shall either:
(i) Establish a separate account to which only funds subject to the
prohibitions and limitations of the Act shall be deposited and from
which contributions, expenditures and exempted payments shall be made.
Such organization shall keep records of deposits to and disbursements
from such account and, upon request, shall make such records available
for examination by the Commission.
(ii) Demonstrate through a reasonable accounting method that
whenever such organization makes a contribution, expenditure or exempted
payment, that organization has received sufficient funds subject to the
limitations and prohibitions of the Act to make such contribution,
expenditure or payment. Such organization shall keep records of amounts
received or expended under this subsection and, upon
[[Page 72]]
request, shall make such records available for examination by the
Commission.
[45 FR 15104, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 55
FR 26067, June 26, 1990]
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) 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.
(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.
[[Page 73]]
(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 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
[[Page 74]]
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]
Sec. 102.7 Organization of political committees (2 U.S.C. 432(a)).
(a) Every political committee shall have a treasurer and may
designate, on the committee's Statement of Organization, an assistant
treasurer who shall assume the duties and responsibilities of the
treasurer in the event of a temporary or permanent vacancy in the office
or in the event the treasurer is unavailable.
(b) Except as provided in subsection (a), no contribution or
expenditure shall be accepted or made by or on behalf of a political
committee at a time when there is a vacancy in the office of the
treasurer.
(c) No expenditure shall be made for or on behalf of a political
committee without the authorization of its treasurer or of an agent
authorized orally or in writing by the treasurer.
(d) Any candidate who receives a contribution, as defined at 11 CFR
100.7, obtains any loan or makes any disbursement in connection with his
or her campaign, shall be considered as having received the
contribution, obtained the loan or made the disbursement as an agent of
such authorized committee(s).
Sec. 102.8 Receipt of contributions (2 U.S.C. 432(b)).
(a) Every person who receives a contribution for an authorized
political committee shall, no later than 10 days after receipt, forward
such contribution to the treasurer. If the amount of the contribution is
in excess of $50, such person shall also forward to the treasurer the
name and address of the contributor and the date of receipt of the
contribution. If the amount of the contribution is in excess of $200,
such person shall forward the contribution, the identification of the
contributor in accordance with 11 CFR 100.12, and the date of receipt of
the contribution. Date of receipt shall be the date such person obtains
possession of the contribution.
(b)(1) Every person who receives a contribution of $50 or less for a
political committee which is not an authorized committee shall forward
such contribution to the treasurer of the political committee no later
than 30 days after receipt.
(2) Every person who receives a contribution in excess of $50 for a
political committee which is not an authorized committee shall, no later
than 10 days after receipt of the contribution, forward to the treasurer
of the political committee: The contribution; the name and address of
the contributor; and the date of receipt of the contribution. If the
amount of the contribution is in excess of $200, such person shall
forward the contribution, the identification of the contributor in
accordance with 11 CFR 100.12, and the date of receipt of the
contribution. Date of receipt shall be the date such person obtains
possession of the contribution.
(c) The provisions of 11 CFR 102.8 concerning receipt of
contributions for political committees shall also apply to earmarked
contributions transmitted by an intermediary or conduit.
Sec. 102.9 Accounting for contributions and expenditures (2 U.S.C. 432(c)).
The treasurer of a political committee or an agent authorized by the
treasurer to receive contributions and make expenditures shall fulfill
all recordkeeping duties as set forth at 11 CFR 102.9(a) through (f):
(a) An account shall be kept by any reasonable accounting procedure
of all contributions received by or on behalf of the political
committee.
(1) For contributions in excess of $50, such account shall include
the name and address of the contributor and the date of receipt and
amount of such contribution.
(2) For contributions from any person whose contributions aggregate
more than $200 during a calendar year, such account shall include the
identification of the person, and the date of receipt and amount of such
contribution.
(3) For contributions from a political committee, such account shall
include the identification of the political committee and the date of
receipt and amount of such contribution.
[[Page 75]]
(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 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) If the candidate, or his or her authorized committee(s),
receives contributions prior to the date of the primary election, which
contributions are designated in writing by the contributor for use in
connection with the general election, such candidate or such
committee(s) shall use an acceptable accounting method to distinguish
between contributions received for the primary election and
contributions received for the general election. Acceptable methods
include, but are not limited to:
(1) The designation of separate accounts for each election, caucus
or convention or
(2) The establishment of separate books and records for each
election.
If a candidate is not a candidate in the general election, any
contributions made for the general election shall be refunded to the
contributors, redesignated in accordance with 11 CFR 110.1(b)(5) or
110.2(b)(5), or reattributed in accordance with 11 CFR 110.1(k)(3), as
appropriate.
(f) The treasurer shall maintain the documentation required by 11
CFR 110.1(1), concerning designations, redesignations, reattributions
and the dates of contributions. If the treasurer does
[[Page 76]]
not maintain this documentation, 11 CFR 110.1(1)(5) shall apply.
[45 FR 15104, Mar. 7, 1980, as amended at 52 FR 773, Jan. 9, 1987]
Sec. 102.10 Disbursement by check (2 U.S.C. 432(h)(1)).
All disbursements by a political committee, except for disbursements
from the petty cash fund under 11 CFR 102.11, shall be made by check or
similar draft drawn on account(s) established at the committee's
campaign depository or depositories under 11 CFR part 103.
Sec. 102.11 Petty cash fund (2 U.S.C. 432(h)(2)).
A political committee may maintain a petty cash fund out of which it
may make expenditures not in excess of $100 to any person per purchase
or transaction. If a petty cash fund is maintained, it shall be the duty
of the treasurer of the political committee to keep and maintain a
written journal of all disbursements. This written journal shall include
the name and address of every person to whom any disbursement is made,
as well as the date, amount, and purpose of such disbursement. In
addition, if any disbursement is made for a candidate, the journal shall
include the name of that candidate and the office (including State and
Congressional district) sought by such candidate.
Sec. 102.12 Designation of principal campaign committee (2 U.S.C. 432(e) (1) and (3)).
(a) Each candidate for Federal office (other than a nominee of a
political party to the Office of Vice President) shall designate in
writing a political committee to serve as his or her principal campaign
committee in accordance with 11 CFR 101.1(a) no later than 15 days after
becoming a candidate. Each principal campaign committee shall register,
designate a depository and report in accordance with 11 CFR parts 102,
103 and 104.
(b) No political committee may be designated as the principal
campaign committee of more that one candidate.
(c)(1) No political committee which supports or has supported more
than one candidate may be designated as a principal campaign committee,
except that, after nomination, a candidate for the office of President
of the United States nominated by a political party may designate the
national committee of such political party as his or her principal
campaign committee. A national committee which is so designated shall
maintain separate books of account with respect to its function as a
principal campaign committee.
(2) For purposes of 11 CFR 102.12(c), the term support does not
include contributions by an authorized committee in amounts aggregating
$1,000 or less per election to an authorized committee of any other
candidate, except that the national committee of a political party which
has been designated as the principal campaign committee of that party's
Presidential candidate may contribute to another candidate in accordance
with 11 CFR part 110.
Sec. 102.13 Authorization of political committees (2 U.S.C. 432(e) (1) and (3)).
(a)(1) Any political committee authorized by a candidate to receive
contributions or make expenditures shall be authorized in writing by the
candidate. Such authorization must be filed with the principal campaign
committee in accordance with 11 CFR 102.1(b).
(2) If an individual fails to disavow activity pursuant to 11 CFR
100.3(a)(3) and is therefore a candidate upon notice by the Commission,
he or she shall authorize the committee in writing.
(b) A candidate is not required to authorize a national, State or
subordinate State party committee which solicits funds to be expended on
the candidate's behalf pursuant to 11 CFR 110.7.
(c)(1) No political committee which supports or has supported more
than one candidate may be designated as an authorized committee, except
that two or more candidates may designate a political committee
established solely for the purpose of joint fundraising by such
candidates as an authorized committee.
(2) For purposes of 11 CFR 102.13(c), the term support does not
include contributions by an authorized committee in amounts aggregating
$1,000 or less
[[Page 77]]
per election to an authorized committee of any other candidate, except
that the national committee of a political party which has been
designated as the principal campaign committee of that party's
Presidential candidate may contribute to another candidate in accordance
with 11 CFR part 110.
Sec. 102.14 Names of political committees (2 U.S.C. 432(e) (4) and (5)).
(a) The name of each authorized committee shall include the name of
the candidate who authorized such committee. Except as provided in
paragraph (b) of this section, no unauthorized committee shall include
the name of any candidate in its name. For purposes of this paragraph,
``name'' includes any name under which a committee conducts activities,
such as solicitations or other communications, 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 109.3 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]
Sec. 102.15 Commingled funds (2 U.S.C. 432(a)(3)).
All funds of a political committee shall be segregated from, and may
not be commingled with, any personal funds of officers, members or
associates of that committee, or with the personal funds of any other
individual. See also 11 CFR 103.3 and part 114 and 2 U.S.C. 441b.
Sec. 102.16 Notice: Solicitation of contributions (2 U.S.C. 441d).
Each political committee shall comply with the notice requirements
for solicitation of contributions set forth at 11 CFR 110.11.
Sec. 102.17 Joint fundraising by committees other than separate segregated funds.
(a) General. (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
[[Page 78]]
to assist in conducting the joint fundraising activity. In that case,
however, the fundraising representative shall still be responsible for
ensuring that the recordkeeping and reporting requirements set forth in
this section are met.
(2) The procedures in 11 CFR 102.17(c) will govern all joint
fundraising activity conducted under this section. The participants in
joint fundraising activity may include political party committees
(whether or not they are political committees under 11 CFR 100.5),
candidate committees, multicandidate committees, and unregistered
organizations which do not qualify as collecting agents under 11 CFR
102.6(b).
(3) A fundraising representative conducting joint fundraising under
this section is distinguished from an unregistered organization acting
as a collecting agent under 11 CFR 102.6(b). If a separate segregated
fund or an unregistered organization qualifies and acts as a collecting
agent under 11 CFR 102.6(b), the provisions of 11 CFR 102.17 will not
apply to that fundraising activity.
(b) 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
[[Page 79]]
(B) The allocation formula to be used for distributing joint
fundraising proceeds; and
(C) A statement informing contributors that, notwithstanding the
stated allocation formula, they may designate their contributions for a
particular participant or participants; and
(D) A statement informing contributors that the allocation formula
may change if a contributor makes a contribution which would exceed the
amount that contributor may give to any participant.
(ii) In the following situations, the notice shall include the
following additional information:
(A) If one or more participants engage in the joint fundraising
activity solely to satisfy outstanding debts, a statement informing
contributors that the allocation formula may change if a participant
receives sufficient funds to pay its outstanding debts; and
(B) If one or more participants can lawfully accept contributions
that are prohibited under the Act, a statement informing contributors
that contributions from prohibited sources will be distributed only to
those participants that can accept them.
(3) 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.
[[Page 80]]
(6) Allocation of gross proceeds. (i) The fundraising representative
shall allocate proceeds according to the formula stated in the
fundraising agreement. If distribution according to the allocation
formula extinguishes the debts of one or more participants and results
in a surplus for those participants or if distribution under the formula
results in a violation of the contribution limits of 11 CFR 110.1(a),
the fundraising representative may reallocate the exesss funds.
Reallocation shall be based upon the remaining participants'
proportionate shares under the allocation formula. If reallocation
results in a violation of a contributor's limit under 11 CFR 110.1, the
fundraising representative shall return to the contributor the amount of
the contribution that exceeds the limit.
(ii) Designated contributions which exceed the contributor's limit
to the designated participant under 11 CFR part 110 may not be
reallocated by the fundraising representative absent the prior written
permission of the contributor.
(iii) If any participants can lawfully accept contributions from
sources prohibited under the Act, any such contributions that are
received are not required to be distributed according to the allocation
formula.
(7) Allocation of expenses and distribution of net proceeds. (i) If
participating committees are not affiliated as defined in 11 CFR 110.3
prior to the joint fundraising activity and are not committees of the
same political party;
(A) After gross contributions are allocated among the participants
under 11 CFR 102.17(c)(6), the fundraising representative shall
calculate each participant's share of expenses based on the percentage
of the total receipts each participant had been allocated. If
contributions from sources prohibited under the Act have been received
and distributed under 11 CFR 102.17(c)(6)(iii), those contributions need
not be included in the total receipts for the purpose of allocating
expenses under this section. To calculate each participant's net
proceeds, the fundraising representative shall subtract the
participant's share of expenses from the amount that participant has
been allocated from gross proceeds.
(B) A participant may only pay expenses on behalf of another
participant subject to the contribution limits of 11 CFR part 110.
(C) The expenses from a series of fundraising events or activities
shall be allocated among the participants on a per-event basis
regardless of whether the participants change or remain the same
throughout the series.
(ii) If participating committees are affilated as defined in 11 CFR
110.3 prior to the joint fundraising activity or if participants are
party committees of the same political party, expenses need not be
allocated among those participants. Payment of such expenses by an
unregistered committee or organization on behalf of an affiliated
political committee may cause the unregistered organization to become a
political committee.
(iii) Payment of expenses may be made from gross proceeds by the
fundraising representative.
(8) Reporting of receipts and disbursements--(i) Reporting receipts.
(A) The fundraising representative shall report all funds received in
the reporting period in which they are received. The fundraising
representative shall report the total amount of contributions received
from prohibited sources during the reporting period, if any, as a memo
entry. Each Schedule A filed by the fundraising representative under
this section shall clearly indicate that the contributions reported on
that schedule represent joint fundraising proceeds.
(B) After distribution of net proceeds, each participating political
committee shall report its share of net proceeds received as a transfer-
in from the fundraising representative. Each participating political
committee shall also file a memo Schedule A itemizing its share of gross
receipts as contributions from original contributors to the extent
required under 11 CFR 104.3(a).
(ii) Reporting disbursements. The fundraising representative shall
report all disbursements in the reporting period in which they are made.
[48 FR 26301, June 7, 1983, as amended at 56 FR 35909, July 29, 1991]
[[Page 81]]
PART 103--CAMPAIGN DEPOSITORIES (2 U.S.C. 432(h))--Table of Contents
Sec.
103.1 Notification of the commission.
103.2 Depositories (2 U.S.C. 432(h)(1)).
103.3 Deposit of receipts and disbursements (2 U.S.C. 432(h)(1)).
103.4 Vice Presidential candidate campaign depositories.
Authority: 2 U.S.C. 432(h), 438(a)(8).
Source: 45 FR 15108, Mar. 7, 1980, unless otherwise noted.
Sec. 103.1 Notification of the commission.
Each committee shall notify the Commission of the campaign
depository(ies) it has designated, pursuant to 11 CFR 101.1 and 103.2.
Sec. 103.2 Depositories (2 U.S.C. 432(h)(1)).
Each political committee shall designate one or more State banks,
federally chartered depository institutions (including a national bank),
or depository institutions the depositor accounts of which are insured
by the Federal Deposit Insurance Corporation, Federal Savings and Loan
Insurance Corporation, or the National Credit Union Administration, as
its campaign depository or depositories. One or more depositories may be
established in one or more States. Each political committee shall
maintain at least one checking account or transaction account at one of
its depositories. Additional accounts may be established at each
depository.
Sec. 103.3 Deposit of receipts and disbursements (2 U.S.C. 432(h)(1)).
(a) All receipts by a political committee shall be deposited in
account(s) established pursuant to 11 CFR 103.2, except that any
contribution may be, within 10 days of the treasurer's receipt, returned
to the contributor without being deposited. The treasurer of the
committee shall be responsible for making such deposits. All deposits
shall be made within 10 days of the treasurer's receipt. A committee
shall make all disbursements by check or similar drafts drawn on an
account at its designated campaign depository, except for expenditures
of $100 or less made from a petty cash fund maintained pursuant to 11
CFR 102.11. Funds may be transferred from the depository for investment
purposes, but shall be returned to the depository before such funds are
used to make expenditures.
(b) The treasurer shall be responsible for examining all
contributions received for evidence of illegality and for ascertaining
whether contributions received, when aggregated with other contributions
from the same contributor, exceed the contribution limitations of 11 CFR
110.1 or 110.2.
(1) Contributions that present genuine questions as to whether they
were made by corporations, labor organizations, foreign nationals, or
Federal contractors may be, within ten days of the treasurer's receipt,
either deposited into a campaign depository under 11 CFR 103.3(a) or
returned to the contributor. If any such contribution is deposited, the
treasurer shall make his or her best efforts to determine the legality
of the contribution. The treasurer shall make at least one written or
oral request for evidence of the legality of the contribution. Such
evidence includes, but is not limited to, a written statement from the
contributor explaining why the contribution is legal, or a written
statement by the treasurer memorializing an oral communication
explaining why the contribution is legal. If the contribution cannot be
determined to be legal, the treasurer shall, within thirty days of the
treasurer's receipt of the contribution, refund the contribution to the
contributor.
(2) If the treasurer in exercising his or her responsibilities under
11 CFR 103.3(b) determined that at the time a contribution was received
and deposited, it did not appear to be made by a corporation, labor
organization, foreign national or Federal contractor, or made in the
name of another, but later discovers that it is illegal based on new
evidence not available to the political committee at the time of receipt
and deposit, the treasurer shall refund the contribution to the
contributor within thirty days of the date on which the illegality is
discovered. If the political committee does not have sufficient funds to
refund the contribution at the time the illegality is discovered, the
[[Page 82]]
political committee shall make the refund from the next funds it
receives.
(3) Contributions which on their face exceed the contribution
limitations set forth in 11 CFR 110.1 or 110.2, and contributions which
do not appear to be excessive on their face, but which exceed the
contribution limits set forth in 11 CFR 110.1 or 110.2 when aggregated
with other contributions from the same contributor, and contributions
which cannot be accepted under the net debts outstanding provisions of
11 CFR 110.1(b)(3) and 110.2(b)(3) may be either deposited into a
campaign depository under 11 CFR 103.3(a) or returned to the
contributor. If any such contribution is deposited, the treasurer may
request redesignation or reattribution of the contribution by the
contributor in accordance with 11 CFR 110.1(b), 110.1(k) or 110.2(b), as
appropriate. If a redesignation or reattribution is not obtained, the
treasurer shall, within sixty days of the treasurer's receipt of the
contribution, refund the contribution to the contributor.
(4) Any contribution which appears to be illegal under 11 CFR
103.3(b) (1) or (3), and which is deposited into a campaign depository
shall not be used for any disbursements by the political committee until
the contribution has been determined to be legal. The political
committee must either establish a separate account in a campaign
depository for such contributions or maintain sufficient funds to make
all such refunds.
(5) If a contribution which appears to be illegal under 11 CFR
103.3(b) (1) or (3) is deposited in a campaign depository, the treasurer
shall make and retain a written record noting the basis for the
appearance of illegality. A statement noting that the legality of the
contribution is in question shall be included in the report noting the
receipt of the contribution. If a contribution is refunded to the
contributor because it cannot be determined to be legal, the treasurer
shall note the refund on the report covering the reporting period in
which the refund is made.
[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 (2 U.S.C. 434)--Table of Contents
Sec.
104.1 Scope (2 U.S.C. 434(a)).
104.2 Forms.
104.3 Contents of reports (2 U.S.C. 434(b), 439a).
104.4 Independent expenditures by political committees (2 U.S.C.
434(c)).
104.5 Filing dates (2 U.S.C. 434(a)(2)).
104.6 Form and content of internal communications reports (2 U.S.C.
431(9)(B)(iii)).
104.7 Best efforts (2 U.S.C. 432(i)).
104.8 Uniform reporting of receipts.
104.9 Uniform reporting of disbursements.
104.10 Reporting of expenses allocated among candidates and activities.
104.11 Continuous reporting of debts and obligations.
104.12 Beginning cash on hand for political committees.
104.13 Disclosure of receipt and consumption of in-kind contributions.
104.14 Formal requirements regarding reports and statements.
104.15 Sale or use restriction (2 U.S.C. 438(a)(4)).
104.16 Audits (2 U.S.C. 438(b)).
104.17 [Reserved]
104.18 Electronic filing of reports (2 U.S.C. 432(d) and 434(a)(11)).
Authority: 2 U.S.C. 431(1), 431(8), 431(9), 432(i), 434, 438(a)(8),
438(b), 439a.
Source: 45 FR 15108, Mar. 7, 1980, unless otherwise noted.
Sec. 104.1 Scope (2 U.S.C. 434(a)).
(a) Who must report. Each treasurer of a political committee
required to register under 11 CFR part 102 shall report in accordance
with 11 CFR part 104.
(b) Who may report. An individual seeking federal office who has not
attained candidate status under 11 CFR 100.3, the committee of such an
individual or any other committee may voluntarily register and report in
accordance with 11 CFR parts 102 and 104.
[[Page 83]]
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 (2 U.S.C. 434(b), 439a).
(a) Reporting of Receipts. Except for reports filed in accordance
with 11 CFR 104.17, each report filed under 11 CFR 104.1 shall disclose
the total amount of receipts for the reporting period and for the
calendar year and shall disclose the information set forth at 11 CFR
104.3(a) (1) through (4). The first report filed by a committee shall
also include all amounts received prior to becoming a political
committee under 11 CFR 100.5, 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 84]]
(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 calendar year 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 110.7 (2 U.S.C. 441a(d)), by a party
committee shall not be reported as contributions by the authorized
committee on whose behalf they are made;
(iv) Contributions from committees, including contributions from
committees which are not political committees under the Act, but
excluding contributions from any party committees;
(v) Total contributions;
(vi) Transfers from other authorized committee(s) of the same
candidate, regardless of amount;
(vii) Loans;
(A) All loans to the committee, except loans made, guaranteed, or
endorsed by a candidate to his or her authorized committee;
(B) Loans made, guaranteed, or endorsed by a candidate to his or her
authorized committee;
(C) Total loans;
(viii) For authorized committee(s) of Presidential candidates,
federal funds received under chapters 95 and 96 of the Internal Revenue
Code of 1954 (Title 26, United States Code);
(ix) Offsets to operating expenditures;
(A) Itemized offsets to operating expenditures (such as refunds and
rebates);
(B) Unitemized offsets to operating expenditures (such as refunds
and rebates);
(C) Total offsets to operating expenditures;
(x) Other receipts;
(A) Itemized other receipts (such as dividends and interest);
(B) Unitemized other receipts (such as dividends and interest);
(C) Total other receipts;
(xi) Total receipts.
(4) Itemization of receipts for all committees including authorized
and unauthorized committees. The identification (as defined at 11 CFR
100.12) of each contributor and the aggregate year-to-date total for
such contributor in each of the following categories shall be reported.
(i) Each person, other than any committee, who makes a contribution
to the reporting committee during the reporting period, whose
contribution or contributions aggregate in excess of $200 per calendar
year, together with the date of receipt and amount of any such
contributions, except that the reporting committee may elect to report
such information for contributors of lesser amount(s) on a separate
schedule;
[[Page 85]]
(ii) All committees (including political committees and committees
which do not qualify as political committees under the Act) which make
contributions to the reporting committee during the reporting period,
together with the date of receipt and amount of any such contribution;
(iii) Transfers;
(A) For authorized committees of a candidate for Federal office,
each authorized committee which makes a transfer to the reporting
committee, together with the date and amount of such transfer;
(B) For committees which are not authorized by a candidate for
Federal office, each affiliated committee or organization which makes a
transfer to the reporting committee during the reporting period and,
where the reporting committee is a political party committee, each
transfer of funds to the reporting committee from another party
committee regardless of whether such committees are affiliated, together
with the date and amount of such transfer;
(iv) Each person who makes a loan to the reporting committee or to
the candidate acting as an agent of the committee, during the reporting
period, together with the identification of any endorser or guarantor of
such loan, the date such loan was made and the amount or value of such
loan;
(v) Each person who provides a rebate, refund or other offset to
operating expenditures to the reporting committee in an aggregate amount
or value in excess of $200 within the calendar year, together with the
date and amount of any such receipt; and
(vi) Each person who provides any dividend, interest, or other
receipt to the reporting committee in an aggregate value or amount in
excess of $200 within the calendar year, together with the date and
amount of any such receipt.
(b) Reporting of Disbursements. Except for reports filed in
accordance with 11 CFR 104.17, each report filed under 11 CFR 104.1
shall disclose the total amount of all disbursements for the reporting
period and for the calendar year and shall disclose the information set
forth at 11 CFR 104.3(b) (1) through (4). The first report filed by a
committee shall also include all amounts disbursed prior to becoming a
political committee under 11 CFR 100.5, even if such amounts were not
disbursed during the current reporting period.
(1) Categories of disbursements for political committees other than
authorized committees. All political committees other than authorized
committees shall report the total amount of disbursements made during
the reporting period and, except for itemized and unitemized breakdowns,
during the calendar year in each of the following categories:
(i) Operating expenditures;
(A) Itemized operating expenditures;
(B) Unitemized operating expenditures;
(C) Total operating expenditures;
(ii) Transfers to affiliated committees or organizations and, where
the reporting committee is a political party committee, transfers to
other political party committees regardless of whether they are
affiliated;
(iii) Repayment of all loans;
(iv) Offsets;
(A) Itemized offsets to contributions (including contribution
refunds);
(B) Unitemized offsets to contributions (including contribution
refunds);
(C) Total offsets to contributions;
(v) Contributions made to other political committees;
(vi) Loans made by the reporting committee;
(vii) Independent expenditures made by the reporting committee;
(viii) Expenditures made under 11 CFR 110.7 (2 U.S.C. 441a(d)), See
11 CFR 104.3(a)(3)(iii);
(ix) Other disbursements;
(A) Itemized other disbursements;
(B) Unitemized other disbursements;
(C) Total other disbursements;
(x) Total disbursements.
(2) 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 calendar year
in each of the following categories:
(i) Operating expenditures;
(A) Itemized operating expenditures;
[[Page 86]]
(B) Unitemized operating expenditures;
(C) Total operating expenditures;
(ii) Transfers to other committees authorized by the same candidate;
(iii) Repayment of loans;
(A) Repayment of loans made by or guaranteed by the candidate;
(B) Repayment of all other loans;
(C) Total loan repayments;
(iv) For an authorized committee of a candidate for the office of
President, disbursements not subject to the limitations of 11 CFR 110.8
(2 U.S.C. 441a(b));
(v) Offsets;
(A) Itemized offsets to contributions (including contribution
refunds);
(B) Unitemized offsets to contributions (including contribution
refunds);
(C) Total offsets to contributions;
(vi) Other disbursements;
(A) Itemized other disbursements;
(B) Unitemized other disbursements;
(C) Total other disbursements;
(vii) Total disbursements.
(3) Itemization of disbursements by political committees other than
authorized committees. Each political committee, other than an
authorized committee, shall report the full name and address of each
person in each of the following categories, as well as the information
required by each category;
(i) Each person to whom an expenditure in an aggregate amount or
value in excess of $200 within the calendar year is made by the
reporting committee to meet the committee's operating expenses, together
with the date, amount, and purpose of such operating expenditure;
(A) As used in 11 CFR 104.3(b)(3), purpose means a brief statement
or decription of why the disbursement was made.
(B) Examples of statements or descriptions which meet the
requirements of 11 CFR 104.3(b)(3) include the following: dinner
expenses, media, salary, polling, travel, party fees, phone banks,
travel expenses, travel expense reimbursement, and catering costs.
However, statements or descriptions such as advance, election day
expenses, other expenses, expenses, expense reimbursement,
miscellaneous, outside services, get-out-the-vote and voter registration
would not meet the requirements of 11 CFR 104.3(b)(3) for reporting the
purpose of an expenditure.
(ii) Each affiliated committee to which a transfer is made by the
reporting committee during the reporting period and, where the reporting
committee is a political party committee, each transfer of funds by the
reporting committee to another political party committee, regardless of
whether such committees are affiliated, together with the date and
amount of such transfer;
(iii) Each person who receives a loan repayment from the reporting
committee during the reporting period, together with the date and amount
of such loan repayment;
(iv) Each person who receives a contribution refund or other offset
to contributions from the reporting committee where such contribution
refund was reported under 11 CFR 104.3(b)(1)(iv), together with the date
and amount of such refund or offset;
(v) Each political committee which has received a contribution from
the reporting committee during the reporting period, together with the
date and amount of any such contribution, and, in the case of a
contribution to an authorized committee, the candidate's name and office
sought (including State and Congressional district, if applicable);
(vi) Each person who has received a loan from the reporting
committee during the reporting period, together with the date and amount
or value of such loan;
(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
[[Page 87]]
penalty of perjury, as to whether such independent expenditure is made
in cooperation, consultation or concert with, or at the request or
suggestion of, any candidate or any authorized committee or agent of
such committee;
(C) The information required by 11 CFR 104.3(b)(3)(vii) (A) and (B)
shall be reported on Schedule E as part of a report covering the
reporting period in which the aggregate disbursements for any
independent expenditure to any person exceed $200 per calendar year.
Schedule E shall also include the total of all such expenditures of $200
or less made during the reporting period.
(viii) Each person who receives any expenditure from the reporting
committee during the reporting period in connection with an expenditure
under 11 CFR 110.7 (2 USC 441a(d)), together with the date, amount, and
purpose of any such expenditure as well as the name of, and office
sought by (including State and Congressional district, when applicable),
the candidate on whose behalf the expenditure is made; and
(ix) Each person who has received any disbursement within the
reporting period not otherwise disclosed in accordance with 11 CFR
104.3(b)(3) to whom the aggregate amount or value of disbursements made
by the reporting committee exceeds $200 within the calendar year,
together with the date, amount and purpose of any such disbursement.
(4) 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 calendar year is made by the
reporting committee to meet the committee's operating expenses, together
with the date, amount and purpose of each expenditure.
(A) As used in 11 CFR 104.3(b)(4), purpose means a brief statement
or description of why the disbursement was made. Examples of statements
or descriptions which meet the requirements of 11 CFR 104.3(b)(4)
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)(4) for reporting the
purpose of an expenditure.
(B) In addition to reporting the purpose described in 11 CFR
104.3(b)(4)(i)(A), whenever an authorized committee itemizes a
disbursement that is partially or entirely a personal use for which
reimbursement is required under 11 CFR 113.1(g)(1)(ii) (C) or (D), it
shall provide a brief explanation of the activity for which
reimbursement is required.
(ii) Each authorized committee of the same candidate to which a
transfer is made by the reporting committee during the reporting period,
together with the date and amount of such transfer;
(iii) Each person who receives a loan repayment from the reporting
committee during the reporting period, together with the date and amount
of such loan repayment;
(iv) Each person who receives a loan repayment from the candidate,
if the proceeds of such loan were used in connection with the
candidate's campaign;
(v) Each person who receives a contribution refund or other offset
to contributions from the reporting committee where such contribution
refund was reported under 11 CFR 104.3(b)(2)(v), together with the date
and amount of such refund or offset.
(vi) Each person who has received any disbursement(s) not otherwise
disclosed under 11 CFR 104.3(b)(4) to whom the aggregate amount or value
of such disbursements exceeds $200 within the calendar year, together
with the date, amount, and purpose of any such disbursement.
(c) Summary of contributions and operating expenditures. Each report
filed pursuant to 11 CFR 104.1 shall disclose for both the reporting
period and the calendar year:
(1)(i) The total contributions to the reporting committee;
(ii) The total offsets to contributions;
[[Page 88]]
(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 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 candidate or political committee obtains a
loan from, or establishes a line of credit at, a lending institution as
described in 11 CFR 100.7(b)(11) and 100.8(b)(12), it shall disclose in
the next due report the following information on schedule C-1 or C-P-1:
(i) The date and amount of the loan or line of credit;
(ii) The interest rate and repayment schedule of the loan, or of
each draw on the line of credit;
(iii) The types and value of traditional collateral or other sources
of repayment that secure the loan or the line of credit, and whether
that security interest is perfected;
(iv) An explanation of the basis upon which the loan was made or the
line of credit established, if not made on the basis of either
traditional collateral or the other sources of repayment described in 11
CFR 100.7(b)(11)(i) (A) and (B) and 100.8(b)(12)(i) (A) and (B); and
(v) A certification from the lending institution that the borrower's
responses to paragraphs (d)(1)(i)-(iv) of this section are accurate, to
the best of the lending institution's knowledge; that the loan was made
or the line of credit established on terms and conditions (including
interest rate) no more favorable at the time than those imposed for
similar extensions of credit 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 100.7(b)(11) and 100.8(b)(12).
(2) The political committee shall submit a copy of the loan or line
of credit agreement which describes the terms and conditions of the loan
or line of credit when it files Schedule C-1 or C-P-1.
(3) The political committee shall file in the next due report a
Schedule C-1 or C-P-1 each time a draw is made on a line of credit, and
each time a loan or line of credit is restructured to change the terms
of repayment.
(e) 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
[[Page 89]]
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. Gifts, subscriptions, loans, advances, deposits
of money or anything of value made to defray costs of construction or
purchase of office facilities received by a political committee in
accordance with 11 CFR 100.7(b)(12) shall be reported as a memo entry on
Schedule A.
(h) Legal and accounting services. A committee which receives legal
or accounting services pursuant to 11 CFR 100.7(b) (13) and (14) 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 11
CFR 104.5 shall be cumulative for the calendar year to which they
relate, but if there has been no change in a category reported in a
previous report during that year, 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).
[45 FR 15108, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 50
FR 50778, Dec. 12, 1985; 55 FR 26386, June 27, 1990; 56 FR 67124, Dec.
27, 1991; 60 FR 7874, Feb. 9, 1995; 61 FR 3549, Feb. 1, 1996]
Sec. 104.4 Independent expenditures by political committees (2 U.S.C. 434(c)).
(a) Every political committee which makes independent expenditures
shall report all such expenditures on Schedule E in accordance with 11
CFR 104.3(b)(3)(vii). Every person (other than a political committee)
shall report independent expenditures in accordance with 11 CFR part
109.
(b) 24 Hour reports. Any independent expenditures aggregating $1,000
or more made after the 20th day, but more than 24 hours, before 12:01
a.m. of the day of the election, shall be reported within 24 hours after
such independent expenditure is made. Such report shall be filed with
the appropriate officers listed in 11 CFR 104.4(c) and 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.
(c) Where to file. Reports of independent expenditures under 11 CFR
104.4 and part 109 shall be filed as set forth at 11 CFR 104.4(c)(1)
through (3).
(1) For independent expenditures in support of or in opposition to,
a candidate for President or Vice-President: with the Commission and the
Secretary of State for the State in which the expenditure is made.
(2) For independent expenditures in support of, or in opposition to,
a candidate for the Senate: with the Secretary of the Senate and the
Secretary of State for the State in which the candidate is seeking
election.
[[Page 90]]
(3) For independent expenditures in support of, or in opposition to,
a candidate for the House of Representatives: with the Federal Election
Commission and the Secretary of State for the State in which the
candidate is seeking election.
[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996]
Sec. 104.5 Filing dates (2 U.S.C. 434(a)(2)).
(a) Principal Campaign Committee of House or Senate Candidate. Each
treasurer of a principal campaign committee supporting a candidate for
the House of Representatives or to the Senate shall file reports on the
dates specified at 11 CFR 104.5(a) (1) and (2).
(1) Election year reports--(i) Pre-election reports. (A) Pre-
election reports for the primary and general election shall 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, the
report shall be mailed 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.
(ii) Post-general election report. (A) The post-general election
report shall be filed no later than 30 days after any general election
in which the candidate seeks election.
(B) The report shall be complete as of the 20th day after the
general election.
(iii) 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 report shall be complete as of the last day of each calendar
quarter.
(C) The requirement for a quarterly report shall be waived if, under
11 CFR 104.5(a)(1)(i), a pre-election report is required to be filed
during the period beginning on the fifth day after the close of the
calendar quarter and ending on the fifteenth day after the close of the
calendar quarter.
(2) 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.
(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 $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 11 CFR
104.5(a)(1)(i), a post-general election report shall be filed as
prescribed at 11 CFR 104.5(a)(1)(ii), and a year-end report shall be
filed no later than January 31 of the following calendar year.
(ii) If on January 1 of the election year, the committee does not
anticipate receiving or has not received contributions aggregating
$100,000 or does not anticipate making or has not made expenditures
aggregating $100,000, the committee shall file a preelection report or
reports, a post general election report and, quarterly reports, as
prescribed in 11 CFR 104.5(a)(1).
(iii) If during the election year, a committee filing under 11 CFR
104.5(b)(1)(ii) receives contributions aggregating $100,000 or makes
expenditures aggregating $100,000, the treasurer shall begin filing
monthly reports at the next reporting period.
(2) Non-election year reports. During a non-election year, the
treasurer shall file either (i) monthly reports as prescribed at 11 CFR
104.5(b)(1)(i); or (ii) quarterly reports as prescribed at 11 CFR
104.5(a)(1).
(c) Committees other than authorized committees of candidates. Each
political
[[Page 91]]
committee which is not the authorized committee of a candidate shall
file either: election year and non-election year reports as prescribed
at 11 CFR 104.5(c) (1) and (2); or monthly reports as prescribed at 11
CFR 104.5(c)(3). A political committee reporting under 11 CFR 104.5(c)
may elect to change the frequency of its reporting from monthly to
quarterly and semi-annually or vice versa. A committee may change its
filing frequency only after notifying the Commission in writing of its
intention at the time it files a required report under its current
filing frequency. Such committee will then be required to file the next
required report under its new filing frequency. A 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, the report
shall be mailed 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)(1)(i), a
post general election report shall be filed as prescribed at 11 CFR
104.5(a)(1)(ii), and a year-end report shall be filed no later than
January 31 of the following calendar year.
(d) 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) U.S. post mark. A designation, report or statement sent by
registered or certified mail shall be considered filed on the date of
the U.S. post mark except that a twelve day pre-election report sent by
certified or registered mail shall be mailed no later than the 15th day
before any election. Designations, reports or statements sent by first
class mail must be received by the close of business of 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
[[Page 92]]
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 in
addition to the reporting of these contributions on the post-election
report.
(g) 24 hour report of independent expenditures. Any independent
expenditures aggregating $1,000 or more made after the 20th day, but
more than 24 hours, before 12:01 a.m. of the day of the election, shall
be reported within 24 hours after such independent expenditure is made.
Such report shall be filed with the appropriate officers listed in 11
CFR 104.4(c) and 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.
(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.
[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996]
Sec. 104.6 Form and content of internal communications reports (2 U.S.C. 431(9)(B)(iii)).
(a) Form. Every membership organization or corporation which makes
disbursements for communications pursuant to 11 CFR 100.8(b)(4) 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 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)(iii) and, with
respect to any general election, in accordance with 11 CFR
104.5(a)(1)(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
[[Page 93]]
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.
Sec. 104.7 Best efforts (2 U.S.C. 432(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 committees aggregate in excess of $200 in a calendar
year (pursuant to 11 CFR 104.3(a)(4)), the treasurer and the committee
will only be deemed to have exercised best efforts to obtain, maintain
and report the required information if--
(1) All written solicitations for contributions include a clear
request for the contributor's full name, mailing address, occupation and
name of employer, and include an accurate statement of Federal law
regarding the collection and reporting of individual contributor
identifications. The following are examples of acceptable statements,
but are not the only allowable statements: ``Federal law requires us to
use our best efforts to collect and report the name, mailing address,
occupation and name of employer of individuals whose contributions
exceed $200 in a calendar year;'' and ``To comply with Federal law, we
must use best efforts to obtain, maintain, and submit the name, mailing
address, occupation and name of employer of individuals whose
contributions exceed $200 per calendar year.'' The request and statement
shall appear in a clear and conspicuous manner on any response material
included in a solicitation. The request and statement are not clear and
conspicuous if they are in small type in comparison to the solicitation
and response materials, or if the printing is difficult to read or if
the placement is easily overlooked.
(2) For each contribution received aggregating in excess of $200 per
calendar year which lacks required contributor information, such as the
contributor's full name, mailing address, occupation or name of
employer, the treasurer makes at least one effort after the receipt of
the contribution to obtain the missing information. Such effort shall
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
[[Page 94]]
(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]
Sec. 104.8 Uniform reporting of receipts.
(a) A reporting committee shall disclose the identification of each
individual who contributes an amount in excess of $200 to the
committee's federal account(s). This identification shall include the
individual's name, mailing address, occupation, the name of his or her
employer, if any, and the date of receipt and amount of any such
contribution. If an individual contributor's name is known to have
changed since an earlier contribution reported during the calendar year,
the exact name or address previously used shall be noted with the first
reported contribution from that contributor subsequent to the name
change.
(b) In each case where a contribution received from an individual in
a reporting period is added to previously unitemized contributions from
the same individual and the aggregate exceeds $200 in a calendar year
the reporting committee shall disclose the identification of such
individual along with the date of receipt and amount of any such
contribution. Except for contributions by payroll deduction, each
additional contribution from the individual shall be separately
itemized. In the case of a political committee other than an authorized
committee which receives contributions through a payroll deduction plan,
such committee is not required to separately itemize each additional
contribution received from the contributor during the reporting period.
In lieu of separate itemization, such committee may report: the
aggregate amount of contributions received from the contributor through
the payroll deduction plan during the reporting period; the
identification of the individual; and a statement of the amount deducted
per pay period.
(c) Absent evidence to the contrary, any contribution made by check,
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;
[[Page 95]]
(B) The second part of the memo entry shall disclose all of the
information for the contribution as it was redesignated by the
contributing political committee, including the election for which the
contribution was redesignated and the date on which the redesignation
was made.
(3) If an itemized contribution is reattributed by the
contributor(s) in accordance with 11 CFR 110.1(k), the treasurer shall
report the reattribution in a memo entry on Schedule A of the report
covering the reporting period in which the reattribution is received.
The memo entry for each reattributed contribution shall be reported in
the following manner--
(i) The first part of the memo entry shall disclose all of the
information for the contribution as it was originally reported on
Schedule A;
(ii) The second part of the memo entry shall disclose all of the
information for the contribution as it was reattributed by the
contributors, including the date on which the reattribution was
received.
(4) If a contribution is refunded to the contributor, the treasurer
of the political committee making the refund shall report the refund on
Schedule B of the report covering the reporting period in which the
refund is made, in accordance with 11 CFR 103.3(b)(5) and 104.3(b). If a
contribution is refunded to a political committee, the treasurer of the
political committee receiving the refund shall report the refund on
Schedule A of the report covering the reporting period in which the
refund is received, in accordance with 11 CFR 104.3(a).
(e) National party committees shall disclose in a memo Schedule A
information about each individual, committee, corporation, labor
organization, or other entity that donates an aggregate amount in excess
of $200 in a calendar year to the committee's non-federal account(s).
This information shall include the donating individual's or entity's
name, mailing address, occupation or type of business, and the date of
receipt and amount of any such donation. If a donor's name is known to
have changed since an earlier donation reported during the calendar
year, the exact name or address previously used shall be noted with the
first reported donation from that donor subsequent to the name change.
The memo entry shall also include, where applicable, the information
required by paragraphs (b) through (d) of this section.
(f) National party committees shall also disclose in a memo Schedule
A information about each individual, committee, corporation, labor
organization, or other entity that donates an 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.
[45 FR 15108, Mar. 7, 1980, as amended at 52 FR 774, Jan. 9, 1987; 55 FR
26067, June 26, 1990]
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 is made from the
reporting committee's federal account(s), together with the date, amount
and purpose of such expenditure, in accordance with 11 CFR 104.9(b). As
used in 11 CFR 104.9, 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, the
reporting committee shall disclose the recipient's full name and mailing
address on the prescribed reporting forms, together with the date,
amount and purpose of such expenditure. As used in 11 CFR 104.9, purpose
means a brief statement or description
[[Page 96]]
as to the reason for the disbursement as defined at 11 CFR
104.3(b)(3)(i)(A).
(c) National party committees shall report in a memo Schedule B the
full name and mailing address of each person to whom a disbursement in
an aggregate amount or value in excess of $200 within the calendar year
is made from the committee's non-federal account(s), together with the
date, amount and purpose of such disbursement, in accordance with 11 CFR
104.9(b). As used in 11 CFR 104.9, purpose means a brief statement or
description as to the reasons for the disbursement. See 11 CFR
104.3(b)(3)(i)(A).
(d) National party committees shall report in a memo Schedule B the
full name and mailing address of each person to whom a disbursement in
an aggregate amount or value in excess of $200 within the calendar year
is made from the committee's building fund account(s), together with the
date, amount and purpose of such disbursement, in accordance with 11 CFR
104.9(b). As used in 11 CFR 104.9, purpose means a brief statement or
description as to the reasons for the disbursement. See 11 CFR
104.3(b)(3)(i)(A).
(e) National party committees shall report in a memo Schedule B each
transfer from their non-federal account(s) to the non-federal account(s)
of a state or local party committee.
[45 FR 15108, Mar. 7, 1980, as amended at 55 FR 26067, June 26, 1990]
Sec. 104.10 Reporting of expenses allocated among candidates and activities.
(a) Expenses allocated among candidates. A political 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 106.5(g) or 106.6(e), as appropriate, but shall be
reported pursuant to paragraphs (a)(1) through (a)(4), 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 106.5(g) or 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 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 106.5(g) or
[[Page 97]]
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
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, exempt activities, and generic
voter drives according to 11 CFR 106.5 or 106.6, as appropriate, and
shall report those allocations according to paragraphs (b) (1) through
(5), as follows:
(1) Reporting of allocation of administrative expenses and costs of
generic voter drives. (i) In the first report in a calendar year
disclosing a disbursement for administrative expenses or generic voter
drives, as described in 11 CFR 106.5(a)(2) or 106.6(b), the committee
shall state the allocation ratio to be applied to these categories of
activity according to 11 CFR 106.5 (b), (c) or (d) or 106.6(c), and the
manner in which it was derived. The Senate and House campaign committees
of each political party shall also state whether the calculated ratio or
the minimum federal percentage required by 11 CFR 106.5(c)(2) will be
used.
(ii) In each subsequent report in the calendar year itemizing an
allocated disbursement for administrative expenses or generic voter
drives:
(A) The committee shall state the category of activity for which
each allocated disbursement was made, and shall summarize the total
amount spent by the federal and non-federal accounts that year, to date,
for each such category.
(B) Nonconnected committees, separate segregated funds, and Senate
and House campaign committees of a national party that have allocated
expenses according to the funds expended method as described in 11 CFR
106.5(c)(1) or 106.6(c) shall also report in a memo entry the total
amounts expended in donations and direct disbursements on behalf of
specific state and local candidates, to date, in that calendar year.
(2) Reporting of allocation of the direct costs of fundraising and
costs of exempt activities. In each report disclosing a disbursement for
the direct costs of a fundraising program or an exempt activity, as
described in 11 CFR 106.5(a)(2) or 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 106.5 (e) and (f) or 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 106.5(g) or 106.6(e) shall report
each transfer of funds from its
[[Page 98]]
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 or
exempt activity, as described in 11 CFR 106.5(a)(2) or 106.6(b).
(4) Reporting of allocated disbursements. A political committee that
pays allocable expenses in accordance with 11 CFR 106.5(g) or 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 or exempt activity, as described in 11 CFR
106.5(a)(2) or 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.
[55 FR 26068, June 26, 1990; 55 FR 34007, Aug. 20, 1990]
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.
[[Page 99]]
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 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.
(b) Each political committee or other person required to file any
report or statement under this subchapter shall maintain all records
relevant to such reports or statements as follows:
(1) Maintain records, including bank records, with respect to the
matters required to be reported, including vouchers, worksheets,
receipts, bills and accounts, which shall provide in sufficient detail
the necessary information and data from which the filed reports and
statements may be verified, explained, clarified, and checked for
accuracy and completeness;
(2) Preserve a copy of each report or statement required to be filed
under 11 CFR parts 102 and 104;
(3) Keep all reports required to be preserved under 11 CFR 104.14
available for audit, inspection, or examination by the Commission or its
authorized representative(s) for a period of not less than 3 years after
the report or statement is filed. (See 11 CFR 102.9(c) for requirements
relating to preservation of records and accounts.)
(c) Acknowledgements by the Commission or the Secretary of the
Senate, of the receipt of Statements of Organization, reports or other
statements filed under 11 CFR parts 101, 102 and 104 are intended solely
to inform the person filing the report of its receipt and neither the
acknowledgement nor the acceptance of a report or statement shall
constitute express or implied approval, or in any manner indicate that
the contents of any report or statement fulfill the filing or other
requirements of the Act or of these regulations.
(d) Each treasurer of a political committee, and any other person
required to file any report or statement under these regulations and
under the Act, shall be personally responsible for the timely and
complete filing of the report or statement and for the accuracy of any
information or statement contained in it.
[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996]
Sec. 104.15 Sale or use restriction (2 U.S.C. 438(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,
[[Page 100]]
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 (2 U.S.C. 438(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 [Reserved]
Sec. 104.18 Electronic filing of reports (2 U.S.C. 432(d) and 434(a)(11)).
(a) General. A political committee that files reports with the
Commission, as provided in 11 CFR part 105, may choose to file its
reports in an electronic format that meets the requirements of this
section. If a committee chooses to file its reports electronically, and
its first electronic report passes the Commission's validation program
in accordance with paragraph (c) of this section, it 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
committee to continue filing electronically.
(b) 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.
(c) Acceptance of reports filed in electronic format. (1) Each
committee that submits an electronic report shall check the report
against the Commission's validation program before it is submitted, to
ensure that the 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 is 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
committee submits a report that does not pass the validation program,
the Commission will notify the committee that the report has not been
accepted.
(d) Amended reports. If a committee files an amendment to a report
that was filed electronically, it shall also submit the amendment in an
electronic
[[Page 101]]
format. The committee shall submit a complete version of the report as
amended, rather than just those portions of the report that are being
amended. In addition, the amended report shall contain electronic flags
or markings that point to the portions of the report that are being
amended.
(e) Signature requirements. The 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. Each verification submitted under this section shall certify
that the person 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.
(f) Schedules and forms with special requirements. The following
list of schedules, materials, and forms have special signature and other
requirements and reports containing these documents shall include, in
addition to providing the required data within the electronic report,
either a paper copy submitted with the committee's electronic report or
a digitized version submitted as a separate file in the electronic
submission: Schedule C-1 (Loans and Lines of Credit From Lending
Institutions), including copies of loan agreements required to be filed
with that Schedule, Schedule E (Itemized Independent Expenditures), Form
5 (Report of Independent Expenditures Made and Contributions Received),
and Form 8 (Debt Settlement Plan). The committee shall submit any paper
materials together with the electronic media containing the committee's
report.
(g) Preservation of reports. For any report filed in electronic
format under this section, the treasurer shall retain a machine-readable
copy of the report as the copy preserved under 11 CFR 104.14(b)(2). In
addition, the treasurer shall retain the original signed version of any
documents submitted in a digitized format under paragraphs (e) and (f)
of this section.
[61 FR 42376, Aug. 15, 1996]
PART 105--DOCUMENT FILING (2 U.S.C. 432(g))--Table of Contents
Sec.
105.1 Place of filing; House candidates and their authorized committees
(2 U.S.C. 432(g)(1)).
105.2 Place of filing; Senate candidates, their principal campaign
committees, and committees supporting only Senate candidates
(2 U.S.C. 432(g)(2)).
105.3 Place of filing; Presidential candidates and their principal
campaign committees (2 U.S.C. 432(g)(4)).
105.4 Place of filing; political committees and other persons (2 U.S.C.
432(g)(4)).
105.5 Transmittal of microfilm copies and photocopies of original
reports filed with the Secretary of the Senate to the
Commission (2 U.S.C. 432(g)(3)).
Authority: 2 U.S.C. 432(g), 438(a)(8).
Source: 45 FR 15116, Mar. 7, 1980, unless otherwise noted.
Sec. 105.1 Place of filing; House candidates and their authorized committees (2 U.S.C. 432(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 (2 U.S.C. 432(g)(2)).
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
[[Page 102]]
any other political committee(s) which supports only candidates for
nomination for election or election to the Senate of the United States
shall be filed in original form with, and received by, the Secretary of
the Senate, as custodian for the Federal Election Commission.
Sec. 105.3 Place of filing; Presidential candidates and their principal campaign committees (2 U.S.C. 432(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 (2 U.S.C. 432(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 (2 U.S.C. 432(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]
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 party committees.
106.6 Allocation of expenses between federal and non-federal activities
by separate segregated funds and nonconnected committees.
Authority: 2 U.S.C. 438(a)(8), 441a(b), 441a(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
[[Page 103]]
attribution shall be determined by the proportion of funds received by
each candidate as compared to the total receipts by 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). A payment that also includes amounts attributable to one or
more non-federal candidates, and that is made by a political committee
with separate federal and non-federal accounts, shall be made according
to the procedures set forth in 11 CFR 106.5(g) or 106.6(e), as
appropriate, but shall be reported pursuant to 11 CFR 104.10(a).
(b) An authorized expenditure made by a candidate or political
committee on behalf of another candidate shall be reported as a
contribution in-kind (transfer) to the candidate on whose behalf the
expenditure was made, except that expenditures made by party committees
pursuant to Sec. 110.7 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.
(3) Payments made for the cost of certain voter registration and
get-out-the-vote activities conducted by State or local party
organizations on behalf of any Presidential or Vice-Presidential
candidate(s) are exempt from the definition of a contribution or an
expenditure under 11 CFR 100.7(b)(17) and 100.8(b)(18). If the State or
local party organization includes references 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) Party committees, separate segregated funds, and nonconnected
committees that make disbursements for administrative expenses,
fundraising, exempt activities, or generic voter drives in connection
with both federal and non-federal elections shall allocate their
expenses in accordance with Sec. 106.5 or Sec. 106.6, as appropriate.
(2 U.S.C. 438(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]
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
[[Page 104]]
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 100.7(b)(1) and 100.8(b)(1), i.e.,
payments for testing the waters, shall be allocable expenditures under
this section if the individual becomes a candidate.
(b) 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 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.
[[Page 105]]
(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 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
[[Page 106]]
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]
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 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 conveyance or
accommodations for travel which is campaign-related is the rate for
comparable commercial conveyance or accommodation. In the case of a
candidate authorized by law or required by national security to be
accompanied by staff and equipment, the allocable expenditures are the
costs of facilities sufficient to accommodate the party, less authorized
or required personnel and equipment. If such a trip includes both
campaign and noncampaign stops,
[[Page 107]]
equivalent costs are calculated in accordance with paragraphs (b) and
(c) of this section.
(Authority: 2 U.S.C. 438(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]
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 100.8(b)(1).
(b) The purchase of opinion poll results by a political committee or
other person not authorized by a candidate to make expenditures and the
subsequent acceptance of the poll results by a candidate or a
candidate's authorized political committee or agent or by another
unauthorized political committee is a contribution in-kind by the
purchaser to the candidate or other political committee and an
expenditure by the candidate or other political committee. Regarding the
purchase of opinion poll results for the purpose of determining whether
an individual should become a candidate, see 11 CFR 100.7(b)(1). The
poll results are accepted by a candidate or other political committee if
the candidate or the candidate's authorized political committee or agent
or the other unauthorized political committee--
(1) Requested the poll results before their receipt;
(2) Uses the poll results; or
(3) Does not notify the contributor that the results are refused.
(c) The acceptance of any part of a poll's results which part, prior
to receipt, has been made public without any request, authorization,
prearrangement, or coordination by the candidate-receipient or political
committee-recipient, shall not be treated as a contribution in-kind and
expenditure under paragraph (b) of this section.
(d) The purchase of opinion poll results by an unauthorized
political committee for its own use, in whole or in part, is an overhead
expenditure by the political committee under 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--
[[Page 108]]
(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]
Sec. 106.5 Allocation of expenses between federal and non-federal activities by party committees.
(a) General rules. (1) 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 (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 exempt activities by state and local party committees,
and of fundraising costs by all 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. 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;
(iii) State and local party activities exempt from the definitions
of contribution and expenditure under 11 CFR 100.7(b) (9), (15) or (17),
and 100.8(b) (10), (16) or (18) (exempt activities) including the
production and distribution of slate cards and sample ballots, campaign
materials distributed by volunteers, and voter registration and get-out-
the-vote drives on behalf of the party's presidential and vice-
presidential nominees, where such activities are conducted in
conjunction with non-federal election activities; and
(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
[[Page 109]]
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 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) State and local party committees; method for allocating
administrative expenses and costs of generic voter drives--(1) General
rule. All state and local party committees except those covered by
paragraph (d)(2) of this section shall
[[Page 110]]
allocate their administrative expenses and costs of generic voter
drives, as described in paragraph (a)(2) of this section, according to
the ballot composition method, described in paragraphs (d)(1) (i) and
(ii) as follows:
(i) Under this method, expenses shall be allocated based on the
ratio of federal offices expected on the ballot to total federal and
non-federal offices expected on the ballot in the next general election
to be held in the committee's state or geographic area. This ratio shall
be determined by the number of categories of federal offices on the
ballot and the number of categories of non-federal offices on the
ballot, as described in paragraph (d)(1)(ii) of this section.
(ii) In calculating a ballot composition ratio, a state or local
party committee shall count the federal offices of President, United
States Senator, and United States Representative, if expected on the
ballot in the next general election, as one federal office each. The
committee shall count the non-federal offices of Governor, State
Senator, and State Representative, if expected on the ballot in the next
general election, as one non-federal office each. The committee shall
count the total of all other partisan statewide executive candidates, if
expected on the ballot in the next general election, as a maximum of two
non-federal offices. State party committees shall also include in the
ratio one additional non-federal office if any partisan local candidates
are expected on the ballot in any regularly scheduled election during
the two-year congressional election cycle. Local party committees shall
also include in the ratio a maximum of two additional non-federal
offices if any partisan local candidates are expected on the ballot in
any regularly scheduled election during the two-year congressional
election cycle. State and local party committees shall also include in
the ratio one additional non-federal office.
(2) Exception for states that do not hold federal and non-federal
elections in the same year. State and local party committees in states
that do not hold federal and non-federal elections in the same year
shall allocate the costs of generic voter drives according to the ballot
composition method described in paragraph (d)(1) of this section, based
on a ratio calculated for that calendar year. These committees shall
allocate their administrative expenses according to the ballot
composition method described in paragraph (d)(1) of this section, based
on a ratio calculated for the two-year Congressional election cycle.
(e) State and local party committees; method for allocating costs of
exempt activities. Each state or local party committee shall allocate
its expenses for activities exempt from the definitions of contribution
and expenditure under 11 CFR 100.7(b) (9), (15) or (17), and 100.8(b)
(10), (16) or (18), when conducted in conjunction with non-federal
election activities, as described in paragraph (a)(2) of this section,
according to the proportion of time or space devoted in a communication.
Under this method, the committee shall allocate expenses of a particular
communication based on the ratio of the portion of the communication
devoted to federal candidates or elections as compared to the entire
communication. In the case of a publication, this ratio shall be
determined by the space devoted to federal candidates or elections as
compared to the total space devoted to all federal and non-federal
candidates or elections. In the case of a phone bank, the ratio shall be
determined by the number of questions or statements devoted to federal
candidates or elections as compared to the total number of questions or
statements devoted to all federal and non-federal candidates or
elections.
(f) All 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
[[Page 111]]
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 which
serves as the basis for the transfer. In the case of a telemarketing or
direct mail campaign, the ``date'' for purposes of this paragraph is the
last day of the telemarketing campaign, or the day on which the final
direct mail solicitations are mailed.
(g) 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 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.
[[Page 112]]
(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).
[55 FR 26069, June 26, 1990, as amended at 57 FR 8993, Mar. 13, 1992; 57
FR 11137, Apr. 1, 1992]
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 (b)(1)(i), or that
make federal and non-federal disbursements from a single account under
11 CFR 102.5(b)(1)(ii), shall allocate their federal and non-federal
expenses according to paragraphs (c) and (d) 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 a party committee, an authorized committee of any candidate
for federal election, or a separate segregated fund.
(b) Costs to be allocated--(1) Separate segregated funds. Separate
segregated funds that make disbursements in connection with federal and
non-federal elections shall allocate expenses for the following
categories of activity:
(i) Administrative expenses including rent, utilities, office
supplies, and salaries not attributable to a clearly identified
candidate, if such expenses are not paid by the separate segregated
fund's connected organization;
(ii) The direct costs of a fundraising program or event including
disbursements for solicitation of funds and for planning and
administration of actual fundraising events, where federal and non-
federal funds are collected through such program or event, if such
expenses are not paid by the separate segregated fund's connected
organization; and
(iii) Generic voter drives including voter identification, voter
registration, and get-out-the-vote drives, or any other activities that
urge the general public to register, vote or support candidates of a
particular party or associated with a particular issue, without
mentioning a specific candidate.
(2) Nonconnected committees. Nonconnected committees that make
disbursements in connection with federal and non-federal elections shall
allocate expenses 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 through such program or event; and
(iii) Generic voter drives including voter identification, voter
registration, and get-out-the-vote drives, or any other activities that
urge the general public to register, vote or support candidates of a
particular party or associated with a particular issue, without
mentioning a specific candidate.
(c) Method for allocating administrative expenses and costs of
generic voter drives. Nonconnected committees and separate segregated
funds shall allocate their administrative expenses and costs of generic
voter drives, as described in paragraph (b) of this section, according
to the funds expended method, described in paragraphs (c) (1) and (2) as
follows:
(1) Under this method, expenses shall be allocated based on the
ratio of federal expenditures to total federal and
[[Page 113]]
non-federal disbursements made by the committee during the two-year
federal election cycle. This ratio shall be estimated and reported at
the beginning of each federal election cycle, based upon the committee's
federal and non-federal disbursements in a prior comparable federal
election cycle or upon the committee's reasonable prediction of its
disbursements for the coming two years. In calculating its federal
expenditures, the committee shall include only amounts contributed to or
otherwise spent on behalf of specific federal candidates. Calculation of
total federal and non-federal disbursements shall also be limited to
disbursements for specific candidates, and shall not include overhead or
other generic costs.
(2) On each of its periodic reports, the committee shall adjust its
allocation ratio to reconcile it with the ratio of actual federal and
non-federal disbursements made, to date. If the non-federal account has
paid more than its allocable share, the committee shall transfer funds
from its federal to its non-federal account, as necessary, to reflect
the adjusted allocation ratio. The committee shall make note of any such
adjustments and transfers on its periodic reports, submitted pursuant to
11 CFR 104.5.
(d) 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 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) or
(b)(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
[[Page 114]]
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 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).
[55 FR 26071, June 26, 1990, as amended at 57 FR 8993, Mar. 13, 1992]
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 committees,
organizations or other groups representing a state, city or
other local government agency.
Authority: 2 U.S.C. 437, 438(a)(8).
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 committees, organizations or other groups representing a state, city or other local government
agency.
Each host committee, and each committee or other organization or
group of persons which represents a State, municipality, local
government agency or other political subdivision in dealing with
officials of a national political party with respect to matters
involving a presidential nominating convention, shall register and
report in accordance with 11 CFR 9008.51.
[[Page 115]]
PART 108--FILING COPIES OF REPORTS AND STATEMENTS WITH STATE OFFICERS (2 U.S.C. 439)--Table of Contents
Sec.
108.1 Filing requirements (2 U.S.C. 439(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 (2 U.S.C.
439(a)(2)).
108.3 Filing copies of reports and statements in connection with the
campaign of any congressional candidate (2 U.S.C. 439(a)(2)).
108.4 Filing copies of reports by committees other than principal
campaign committees (2 U.S.C. 439(a)(2)).
108.5 Time and manner of filing copies (2 U.S.C. 434(a)(2)).
108.6 Duties of State officers (2 U.S.C. 439(b)).
108.7 Effect on State law (2 U.S.C. 453).
108.8 Exemption for the District of Columbia.
Authority: 2 U.S.C. 434(a)(2) 438(a)(8), 439, 453.
Source: 45 FR 15117, Mar. 7, 1980, unless otherwise noted.
Sec. 108.1 Filing requirements (2 U.S.C. 439(a)(1)).
A copy of each report and statement required to be filed by any
person under the Act shall be filed either with the Secretary of State
of the appropriate State or with the State officer who is charge by
State law with maintaining state election campaign reports. In States
where reports are to be filed with a designated officer other than the
Secretary of State, the chief executive officer of that State shall
notify the Commission of such designation.
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 (2 U.S.C. 439(a)(2)).
A copy of each report and statement required to be filed by a
Presidential or Vice Presidential candidate's principal campaign
committee under the Act, including 11 CFR part 104, or by any other
person making independent expenditures in connection with a candidate
seeking nomination for election to the office of President or Vice-
President under 11 CFR 104.4 or part 109, shall be filed with the State
officer of each State in which an expenditure is made in connection with
the campaign of a candidate seeking nomination for election to the
office of President or Vice-President. The 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.
Sec. 108.3 Filing copies of reports and statements in connection with the campaign of any congressional candidate (2 U.S.C. 439(a)(2)).
A copy of each report and statement required to be filed by a
committee under 11 CFR part 104, or by any other person under 11 CFR
part 109 shall be filed with the appropriate State officer of that State
in which an expenditure is made in connection with the campaign of a
candidate for nomination for election or election, to the office of
Senator, Representative in, Delegate or Resident Commissioner to the
Congress except that political committees other than authorized
committees are required to file, and the Secretary of State is required
to retain only that portion of the report applicable to candidates
seeking election in that State.
Sec. 108.4 Filing copies of reports by committees other than principal campaign committees (2 U.S.C. 439(a)(2)).
Any unauthorized committee, which makes contributions in connection
with a Presidential election and which is required to file a report(s)
and statement(s) under the Act shall file a copy of such report(s) and
statement(s) with the State officer of the State in which both the
recipient and contributing committees have their headquarters.
[45 FR 15117, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980]
[[Page 116]]
Sec. 108.5 Time and manner of filing copies (2 U.S.C. 434(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 (2 U.S.C. 439(b)).
The Secretary of State, or the equivalent State officer shall carry
out the duties set forth in 11 CFR 108.5(a) through (d):
(a) Receive and maintain in an orderly manner all reports and
statements required to be filed;
(b) Preserve such reports and statements (either in original form or
in facsimile copy by microfilm or otherwise) filed under the Act for a
period of 2 years from the date of receipt;
(c) Make the reports and statements filed available as soon as
practicable (but within 48 hours of receipt) for public inspection and
copying during office hours and permit copying of any such reports or
statements by hand or by duplicating machine, at the request of any
person except that such copying shall be at the expense of the person
making the request and at a reasonable fee;
(d) Compile and maintain a current list of all reports and
statements or parts of such reports and statements pertaining to each
candidate.
Sec. 108.7 Effect on State law (2 U.S.C. 453).
(a) The provisions of the Federal Election Campaign Act of 1971, as
amended, and rules and regulations issued thereunder, supersede and
preempt any provision of State law with respect to election to Federal
office.
(b) Federal law supersedes State law concerning the--
(1) Organization and registration of political committees supporting
Federal candidates;
(2) Disclosure of receipts and expenditures by Federal candidates
and political committees; and
(3) Limitation on contributions and expenditures regarding Federal
candidates and political committees.
(c) The Act does not supersede State laws which provide for the--
(1) Manner of qualifying as a candidate or political party
organization;
(2) Dates and places of elections;
(3) Voter registration;
(4) Prohibition of false registration, voting fraud, theft of
ballots, and similar offenses; or
(5) Candidate's personal financial disclosure.
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--INDEPENDENT EXPENDITURES (2 U.S.C. 431(17), 434(c))--Table of Contents
Sec.
109.1 Definitions (2 U.S.C. 431(17)).
109.2 Reporting of independent expenditures by persons other than a
political committee (2 U.S.C. 434(c)).
109.3 Non-authorization notice (2 U.S.C. 441d).
Authority: 2 U.S.C. 431(17), 434(c), 438(a)(8), 441d.
Source: 45 FR 15118, Mar. 7, 1980, unless otherwise noted.
Sec. 109.1 Definitions (2 U.S.C. 431(17)).
(a) Independent expenditure means an expenditure by a person for a
communication expressly advocating the election or defeat of a clearly
identified candidate which is not made with the cooperation or with the
prior consent of, or in consultation with, or at the request or
suggestion of, a candidate or any agent or authorized committee of such
candidate.
(b) For purposes of this definition--
(1) Person means an individual, partnership, committee, association,
qualified nonprofit corporation under 11 CFR 114.10(c), or any
organization or group of persons, including a separate segregated fund
established by a labor
[[Page 117]]
organization, corporation, or national bank (see part 114) but does not
mean a labor organization, corporation not qualified under 11 CFR
114.10(c), or national bank.
(2) Expressly advocating shall have the same meaning as set forth at
11 CFR 100.22.
(3) Clearly identified shall have the same meaning as set forth at
11 CFR 100.17.
(4) Made with the cooperation or with the prior consent of, or in
consultation with, or at the request or suggestion of, a candidate or
any agent or authorized committee of the candidate--
(i) Means any arrangement, coordination, or direction by the
candidate or his or her agent prior to the publication, distribution,
display, or broadcast of the communication. An expenditure will be
presumed to be so made when it is--
(A) Based on information about the candidate's plans, projects, or
needs provided to the expending person by the candidate, or by the
candidate's agents, with a view toward having an expenditure made; or
(B) Made by or through any person who is, or has been, authorized to
raise or expend funds, who is, or has been, an officer of an authorized
committee, or who is, or has been, receiving any form of compensation or
reimbursement from the candidate, the candidate's committee or agent;
(ii) But does not include providing to the expending person upon
request Commission guidelines on independent expenditures.
(5) Agent means any person who has actual oral or written authority,
either express or implied, to make or to authorize the making of
expenditures on behalf of a candidate, or means any person who has been
placed in a position within the campaign organization where it would
reasonably appear that in the ordinary course of campaign-related
activities he or she may authorize expenditures.
(c) An expenditure not qualifying under this section as an
independent expenditure shall be a contribution in-kind to the candidate
and an expenditure by the candidate, unless otherwise exempted.
(d)(1) The financing of the dissemination, distribution, or
republication, in whole or in part, of any broadcast or any written,
graphic, or other form of campaign materials prepared by the candidate,
his campaign committees, or their authorized agents shall be considered
a contribution for the purpose of contribution limitations and reporting
responsibilities by the person making the expenditure but shall not be
considered an expenditure by the candidate or his authorized committees
unless made with the cooperation or with the prior consent of, or in
consultation with, or at the request or suggestion of, a candidate or
any authorized agent or committee thereof.
(2) This paragraph does not affect the right of a State or
subordinate party committee to engage in such dissemination,
distribution, or republication as agents designated by the national
committee pursuant to Sec. 110.7(a)(4).
(e) No expenditure by an authorized committee of a candidate on
behalf of that candidate shall qualify as an independent expenditure.
[45 FR 15118, Mar. 7, 1980, as amended at 60 FR 35305, July 6, 1995; 60
FR 64273, Dec. 14, 1995]
Sec. 109.2 Reporting of independent expenditures by persons other than a political committee (2 U.S.C. 434(c)).
(a) Every person other than a political committee, who makes
independent expenditures aggregating in excess of $250 during a calendar
year shall file a signed statement or report on FEC Form 5 with the
Commission or Secretary of the Senate in accordance with 11 CFR
104.4(c).
(1) If a signed statement is submitted, the statement shall include:
(i) The reporting person's name mailing address, occupation and the
name of his or her employer, if any;
(ii) The identification (name and mailing address) of the person to
whom the expenditure was made;
(iii) The amount, date and purpose of each expenditure;
(iv) A statement which indicates whether such expenditure was in
support of, or in opposition to a candidate, together with the
candidate's name and office sought;
[[Page 118]]
(v) A notarized certification under penalty of perjury as to whether
such expenditure was made in cooperation, consultation or concert with,
or at the request or suggestion of any candidate or any authorized
committee or agent thereof; and
(vi) The identification of each person who made a contribution in
excess of $200 to the person filing such report, which contribution was
made for the purpose of furthering the reported independent expenditure.
(2) Reports or statements filed under this section shall be filed at
the end of the reporting period (quarterly pre-election post-election
semi-annual annual) (See 11 CFR 104.5)) during which any independent
expenditure which aggregrates in excess of $250 is made and in any
reporting period thereafter in which additional independent expenditures
are made.
(b) Independent expenditures aggregating $1,000 or more made by any
person after the twentieth day, but more than 24 hours before 12:01 a.m
of the day of an election shall be reported within 24 hours after such
independent expenditure is made. Such report or statement shall contain
the information required by 11 CFR 109.2(a) indicating whether the
independent expenditure is made in support of, or in opposition to, a
particular candidate and shall be filed with the appropriate officers in
accordance with 11 CFR 104.4(c).
[45 FR 15118, Mar. 7, 1980, as amended at 61 FR 3550, Feb. 1, 1996]
Sec. 109.3 Non-authorization notice (2 U.S.C. 441d).
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.
PART 110--CONTRIBUTION AND EXPENDITURE LIMITATIONS AND PROHIBITIONS--Table of Contents
Sec.
110.1 Contributions by persons other than multicandidate political
committees (2 U.S.C. 441a(a)(1)).
110.2 Contributions by multicandidate political committees (2 U.S.C.
441a(a)(2)).
110.3 Contribution limitations for affiliated committees and political
party committees; Transfers (2 U.S.C. 441a(a)(5), 441a(a)(4)).
110.4 Prohibited contributions (2 U.S.C. 441e, 441f, 441g, 432(c)(2)).
110.5 Annual contribution limitation for individuals (2 U.S.C.
441a(a)(3)).
110.6 Earmarked contributions (2 U.S.C. 441a(a)(8)).
110.7 Party committee expenditure limitations (2 U.S.C. 441a(d)).
110.8 Presidential candidate expenditure limitations.
110.9 Miscellaneous provisions.
110.10 Expenditures by candidates.
110.11 Communications; advertising (2 U.S.C. 441d).
110.12 Candidate appearances on public educational institution
premises.
110.13 Candidate debates.
110.14 Contributions to and expenditures by delegates and delegate
committees.
Authority: 2 U.S.C. 431(8), 431(9), 432(c)(2), 437d(a)(8),
438(a)(8), 441a, 441b, 441d, 441e, 441f, 441g and 441h.
Sec. 110.1 Contributions by persons other than multicandidate political committees (2 U.S.C. 441a(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 110.4 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 which, in the aggregate, exceed $1,000.
(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.
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.
[[Page 119]]
(3)(i) A contribution designated in writing for a particular
election, but made after that election, shall be made only to the extent
that the contribution does not exceed net debts outstanding from such
election. To the extent that such contribution exceeds net debts
outstanding, the candidate or the candidate's authorized political
committee shall return or deposit the contribution within ten days from
the date of the treasurer's receipt of the contribution as provided by
11 CFR 103.3(a), and if deposited, then within sixty days from the date
of the treasurer's receipt the treasurer shall take the following
action, as appropriate:
(A) Refund the contribution using a committee check or draft; or
(B) Obtain a written redesignation by the contributor for another
election in accordance with 11 CFR 110.1(b)(5); or
(C) Obtain a written reattribution to another contributor in
accordance with 11 CFR 110.1(k)(3).
If the candidate is not a candidate in the general election, all
contributions made for the general election shall be either returned or
refunded to the contributors or redesignated in accordance with 11 CFR
110.1(b)(5), or reattributed in accordance with 11 CFR 110.1(k)(3), as
appropriate.
(ii) In order to determine whether there are net debts outstanding
from a particular election, the treasurer of the candidate's authorized
political committee shall calculate net debts outstanding as of the date
of the election. For purposes of this section, 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; and
(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.
(iii) The amount of the net debts outstanding shall be adjusted as
additional funds are received and expenditures are made. The candidate
and his or her authorized political committee(s) may accept
contributions made after the date of the election if such contributions
are designated in writing by the contributor for that election and if
such contributions do not exceed the adjusted amount of net debts
outstanding on the date the contribution is received.
(iv) This paragraph shall not be construed to prevent a candidate
who is a candidate in the general election or his or her authorized
political committee(s) from paying primary election debts and
obligations with funds which represent contributions made with respect
to the general election.
(4) For purposes of this section, a contribution shall be considered
to be designated in writing for a particular election if--
(i) The contribution is made by check, money order, or other
negotiable instrument which clearly indicates the particular election
with respect to which the contribution is made;
(ii) The contribution is accompanied by a writing, signed by the
contributor, which clearly indicates the particular election with
respect to which the contribution is made; or
(iii) The contribution is redesignated in accordance with 11 CFR
110.1(b)(5).
(5)(i) The treasurer of an authorized political committee may
request a written redesignation of a contribution by the contributor for
a different election if--
(A) The contribution was designated in writing for a particular
election, and
[[Page 120]]
the contribution, either on its face or when aggregated with other
contributions from the same contributor for the same election, exceeds
the limitation on contributions set forth in 11 CFR 110.1(b)(1);
(B) The contribution was designated in writing for a particular
election and the contribution was made after that election and the
contribution cannot be accepted under the net debts outstanding
provisions of 11 CFR 110.1(b)(3);
(C) The contribution was not designated in writing for a particular
election, and the contribution exceeds the limitation on contributions
set forth in 11 CFR 110.1(b)(1); or
(D) The contribution was not designated in writing for a particular
election, and the contribution was received after the date of an
election for which there are net debts outstanding on the date the
contribution is received.
(ii) A contribution shall be considered to be redesignated for
another election if--
(A) The treasurer of the recipient authorized political committee
requests that the contributor provide a written redesignation of the
contribution and informs the contributor that the contributor may
request the refund of the contribution as an alternative to providing a
written redesignation; and
(B) Within sixty days from the date of the treasurer's receipt of
the contribution, the contributor provides the treasurer with a written
redesignation of the contribution for another election, which is signed
by the contributor.
(iii) A contribution redesignated for another election shall not
exceed the limitations on contributions made with respect to that
election. A contribution redesignated for a previous election shall be
subject to the requirements of 11 CFR 110.1(b)(3) regarding net debts
outstanding.
(6) For the purposes of this section, a contribution shall be
considered to be made when the contributor relinquishes control over the
contribution. A contributor shall be considered to relinquish control
over the contribution when it is delivered by the contributor to the
candidate, to the political committee, or to an agent of the political
committee. A contribution that is mailed to the candidate, or to the
political committee or to an agent of the political committee, shall be
considered to be made on the date of the postmark. See 11 CFR
110.1(1)(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, which, in
the aggregate, exceed $20,000.
(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 110.1(c)(2) may
receive up to the $20,000 limitation from a contributor, but the limits
of 11 CFR 110.5 shall also apply to contributions made by an individual.
(4) The recipient committee shall not be an authorized political
committee of any candidate, except as provided in 11 CFR 9002.1(c).
(d) Contributions to other political committees. (1) No person shall
make contributions to any other political committee in any calendar year
which, in the aggregate, exceed $5,000.
(2) The limitation on contributions of this paragraph also applies
to contributions made to political committees making independent
expenditures under 11 CFR part 109.
(e) 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--
[[Page 121]]
(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 $1,000 to the candidate, or
his or her authorized political committees for each election for each
office, as long as--
(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 and minors. (1) The limitations on
contributions of this section shall apply separately to contributions
made by each spouse even if only one spouse has income.
(2) Minor children (children under 18 years of age) may make
contributions to any candidate or political committee which in the
aggregate do not exceed the limitations on contributions of this
section, if--
(i) The decision to contribute is made knowingly and voluntarily by
the minor child;
(ii) The funds, goods, or services contributed are owned or
controlled exclusively by the minor child, such as income earned by the
child, the proceeds of a trust for which the child is the
[[Page 122]]
beneficiary, or a savings account opened and maintained exclusively in
the child's name; and
(iii) The contribution is not made from the proceeds of a gift, the
purpose of which was to provide funds to be contributed, or is not in
any other way controlled by another individual.
(j) 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 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 contribution shall be considered to be reattributed to
another contributor if--
(A) The treasurer of the recipient political committee asks the
contributor whether the contribution is intended to be a joint
contribution by more than one person, and informs the contributor that
he or she may request the return of the excessive portion of the
contribution if it is not intended to be a joint contribution; and
(B) Within sixty days from the date of the treasurer's receipt of
the contribution, the contributors provide the treasurer with a written
reattribution of the contribution, which is signed by each contributor,
and which indicates the amount to be attributed to each contributor if
equal attribution is not intended.
(l) 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) If a political committee chooses to rely on a postmark as
evidence of the date on which a contribution was made, the treasurer
shall retain the envelope or a copy of the envelope containing the
postmark and other identifying information.
(5) If a political committee does not retain the written records
concerning designation required under 11 CFR 110.1(1)(2), the
contribution shall not be
[[Page 123]]
considered to be designated in writing for a particular election, and
the provisions of 11 CFR 110.1(b)(2)(ii) or 110.2(b)(2)(ii) shall apply.
If a political committee does not retain the written records concerning
redesignation or reattribution required under 11 CFR 110.1(1) (2), (3)
or (6), the redesignation or reattribution shall not be effective, and
the original designation or attribution shall control.
(6) For each written redesignation or written reattribution of a
contribution described in paragraph (b)(5) or paragraph (k)(3) of this
section, the political committee shall retain documentation
demonstrating when the written redesignation or written reattribution
was received. Such documentation shall consist of:
(i) A copy of the envelope bearing the postmark and the
contributor's name, or return address or other identifying code; or
(ii) A copy of the written redesignation or written reattribution
with a date stamp indicating the date of the committee's receipt; or
(iii) A copy of the written redesignation or written reattribution
dated by the contributor.
(m) 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.
[52 FR 769, Jan. 9, 1987, as amended at 52 FR 35534, Sept. 22, 1987; 54
FR 34110, Aug. 17, 1989; 54 FR 48580, Nov. 24, 1989; 55 FR 2281, Jan.
23, 1990; 56 FR 35911, July 29, 1991; 60 FR 31381, June 15, 1995; 64 FR
37400, July 12, 1999]
Sec. 110.2 Contributions by multicandidate political committees (2 U.S.C. 441a(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).
(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:
(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
[[Page 124]]
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(1)(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
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
[[Page 125]]
(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. (1) No
multicandidate political committee shall make contributions to any other
political committee in any calendar year which, in the aggregate, exceed
$5,000.
(2) The limitation on contributions of this paragraph also applies
to contributions made to political committees making independent
expenditures under 11 CFR part 109.
(e) Contributions by political party committees to Senatorial
candidates. 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 $17,500 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.
(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 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.
[[Page 126]]
(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.
[52 FR 772, Jan. 9, 1987, as amended at 52 FR 35534, Sept. 22, 1987; 58
FR 42173, Aug. 6, 1993]
Sec. 110.3 Contribution limitations for affiliated committees and political party committees; Transfers (2 U.S.C. 441a(a)(5), 441a(a)(4)).
(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 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;
[[Page 127]]
(D) Whether a sponsoring organization or committee has a common or
overlapping membership with another sponsoring organization or committee
which indicates a formal or ongoing relationship between the sponsoring
organizations or committees;
(E) Whether a sponsoring organization or committee has common or
overlapping officers or employees with another sponsoring organization
or committee which indicates a formal or ongoing relationship between
the sponsoring organizations or committees;
(F) Whether a sponsoring organization or committee has any members,
officers or employees who were members, officers or employees of another
sponsoring organization or committee which indicates a formal or ongoing
relationship between the sponsoring organizations or committees, or
which indicates the creation of a successor entity;
(G) Whether a sponsoring organization or committee provides funds or
goods in a significant amount or on an ongoing basis to another
sponsoring organization or committee, such as through direct or indirect
payments for administrative, fundraising, or other costs, but not
including the transfer to a committee of its allocated share of proceeds
jointly raised pursuant to 11 CFR 102.17;
(H) Whether a sponsoring organization or committee causes or
arranges for funds in a significant amount or on an ongoing basis to be
provided to another sponsoring organization or committee, but not
including the transfer to a committee of its allocated share of proceeds
jointly raised pursuant to 11 CFR 102.17;
(I) Whether a sponsoring organization or a committee or its agent
had an active or significant role in the formation of another sponsoring
organization or committee; and
(J) Whether the sponsoring organizations or committees have similar
patterns of contributions or contributors which indicates a formal or
ongoing relationshp between the sponsoring organizations or committees.
(b) 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
[[Page 128]]
collecting agents to a separate segregated fund made pursuant to 11 CFR
102.6;
(2) Transfers of joint fundraising proceeds between organizations or
committees participating in the joint fundraising activity provided that
no participating committee or organization governed by 11 CFR 102.17
received more than its allocated share of the funds raised;
(3) Transfers of funds between the primary campaign and general
election campaign of a candidate of funds unused for the primary;
(4) Transfers of funds between a candidate's previous Federal
campaign committee and his or her current Federal campaign committee, or
between previous Federal campaign committees, provided that the
candidate is not a candidate for more than one Federal office at the
same time, and provided that the funds transferred are not composed of
contributions that would be in violation of the Act. The cash on hand
from which the transfer is made shall be considered to consist of the
funds most recently received by the transferor committee. The transferor
committee must be able to demonstrate that such cash on hand contains
sufficient funds at the time of the transfer that comply with the
limitations and prohibitions of the Act to cover the amount transferred.
(i) 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;
[[Page 129]]
(ii) The limitations on contributions by persons shall not be
exceeded by the transfer. The cash on hand from which the transfer is
made shall be considered to consist of the funds most recently received
by the transferor committee. The transferor committee must be able to
demonstrate that such cash on hand contains sufficient funds at the time
of the transfer that comply with the limitations and prohibitions of the
Act to cover the amount transferred. A contribution shall be excluded
from the amount transferred to the extent that such contribution, when
aggregated with other contributions from the same contributor to the
transferee principal campaign committee, exceeds the contribution limits
set forth at 11 CFR 110.1 or 110.2, as appropriate; and
(iii) The candidate has not elected to receive funds under 26 U.S.C.
9006 or 9037 for either election; or
(6) [Reserved]
(7) The authorized committees of a candidate for more than one
Federal office, or for a Federal office and a nonfederal office, shall
follow the requirements for separate campaign organizations set forth at
11 CFR 110.8(d).
(d) 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 Prohibited contributions (2 U.S.C. 441e, 441f, 441g, 432(c)(2)).
(a) Contributions or expenditures by foreign nationals. (1) A
foreign national shall not directly or through any other person make a
contribution, or an expenditure, or expressly or impliedly promise to
make a contribution, or an expenditure, in connection with a convention,
a caucus, or a primary, general, special, or runoff election in
connection with any local, State, or Federal public office.
(2) No person shall solicit, accept, or receive a contribution as
set out above from a foreign national.
(3) A foreign national shall not direct, dictate, control, or
directly or indirectly participate in the decision-making process of any
person, such as a corporation, labor organization, or political
committee, with regard to such person's Federal or nonfederal election-
related activities, such as decisions concerning the making of
contributions or expenditures in connection with elections for any
local, State, or Federal office or decisions concerning the
administration of a political committee.
(4) For purposes of this section, 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);
(iii) Except that foreign national shall not include any individual
who is a citizen of the United States.
(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
[[Page 130]]
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]
Sec. 110.5 Annual contribution limitation for individuals (2 U.S.C. 441a(a)(3)).
(a) Scope. This section applies to all contributions made by any
individual, except individuals prohibited from making contributions
under 11 CFR 110.4 and 11 CFR part 115.
(b) Annual limitation. No individual shall make contributions in any
calendar year which aggregate more than $25,000.
(c) Contributions made in a nonelection year. (1) For the purposes
of this section, nonelection year means a year other than the calendar
year in which a particular election is held.
(2) For purposes of this section, any contribution to a candidate or
his or her authorized committee with respect to a particular election
made in a nonelection year shall be considered to be made during the
calendar year in which such election is held.
(3) For purposes of this section, any contribution to an
unauthorized committee which is made in a nonelection year shall not be
considered to be made during the calendar year in which an election is
held unless:
(i) The political committee is a single candidate committee which
has supported or anticipates supporting the candidate; or
(ii) The contribution is earmarked by the contributor for a
particular candidate with respect to a particular election.
(d) Independent expenditures. The annual limitation on contributions
in this section applies to contributions made to persons, including
political committees, making independent expenditures under 11 CFR part
109.
(e) Contributions to delegates and delegate committees. The annual
limitation on contributions in this section applies to contributions to
delegates and delegate committees under 11 CFR 110.14.
[54 FR 34112, Aug. 17, 1989 and 54 FR 48580, Nov. 24, 1989]
Sec. 110.6 Earmarked contributions (2 U.S.C. 441a(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 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;
[[Page 131]]
(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.
(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 calendar year.
[[Page 132]]
(ii) The report by the recipient candidate or authorized committee
shall contain the following information:
(A) The identification of the conduit or intermediary, as defined in
11 CFR 100.12;
(B) The total amount of earmarked contributions received from the
conduit or intermediary and the date of receipt; and
(C) The information required under 11 CFR 104.3(a) (3) and (4) for
each earmarked contribution which in the aggregate exceeds $200 in any
calendar year.
(iii) The information specified in paragraph (c)(2)(ii) (A) through
(C) of this section shall be itemized on Schedule A attached to the
report for the reporting period in which the earmarked contribution is
received.
(d) 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]
Sec. 110.7 Party committee expenditure limitations (2 U.S.C. 441a(d)).
(a)(1) The national committee of a political party may make
expenditures in connection with the general election campaign of any
candidate for President of the United States affiliated with the party.
(2) The expenditures shall not exceed an amount equal to 2 cents
multiplied by the voting age population of the United States.
(3) Any expenditure under this paragraph (a) shall be in addition
to--
(i) Any expenditure by a national committee of a political party
serving as the principal campaign committee of a candidate for President
of the United States; and
(ii) Any contribution by the national committee to the candidate
permissible under Sec. 110.1 or Sec. 110.2.
(4) The national committee of a political party may make
expenditures authorized by this section through any designated agent,
including State and subordinate party committees.
(5) The national committee of a political party may not make
independent expenditures (see part 109) in connection with the general
election campaign of a candidate for President of the United States.
(6) Any expenditures made by the national, state and subordinate
committees of a political party pursuant to 11 CFR 110.7(a) on behalf of
that party's Presidential candidate shall not count against the
candidate's expenditure limitations under 11 CFR 110.8.
(b)(1) The national committee of a political party, and a State
committee of a political party, including any subordinate committee of a
State committee, may each make expenditures in connection with the
general election campaign of a candidate for Federal office in that
State who is affiliated with the party.
(2) The expenditures shall not exceed--
(i) In the case of a candidate for election to the office of
Senator, or of Representative from a State which is entitled to only one
Representative, the greater of--
(A) Two cents multiplied by the voting age population of the State;
or
(B) Twenty thousand dollars; and
(ii) In the case of a candidate for election to the office of
Representative, Delegate, or Resident Commissioner in any other State,
$10,000.
(3) Any expenditure under paragraph (b) shall be in addition to any
contribution by a committee to the candidate permissible under
Sec. 110.1 or Sec. 110.2.
(c) For limitation purposes, State committee includes subordinate
State
[[Page 133]]
committees. State committees and subordinate State committees combined
shall not exceed the limits in paragraph (b)(2) of this section. To
ensure compliance with the limitations, the State committee shall
administer the limitation in one of the following ways:
(1) The State central committee shall be responsible for insuring
that the expenditures of the entire party organization are within the
limitations, including receiving reports from any subordinate committee
making expenditures under paragraph (b) of this section, and filing
consolidated reports showing all expenditures in the State with the
Commission; or
(2) Any other method, submitted in advance and approved by the
Commission which permits control over expenditures.
(d) Timing. Party committees may make coordinated expenditures in
connection with the general election campaign before their candidates
have been nominated. All pre-nomination coordinated expenditures shall
be subject to the coordinated expenditure limitations of this section,
whether or not the candidate with whom they are coordinated receives the
party's nomination.
(2 U.S.C. 438(a)(8), 441a, 441d, 441e, 441f, 441g, 441h, 441i)
[41 FR 35948, Aug. 25, 1976, as amended at 45 FR 15119, Mar. 7, 1980; 45
FR 27435, Apr. 23, 1980; 45 FR 43387, June 27, 1980; 61 FR 40961, Aug.
7, 1996; 64 FR 42582, Aug. 5, 1999]
Sec. 110.8 Presidential candidate expenditure limitations.
(a) No candidate for the office of President of the United States
who is eligible under 26 U.S.C. 9003 (relating to conditions for
eligibility for payments) or under 26 U.S.C. 9033 (relating to
eligibility for payments) to receive payments from the Secretary of the
Treasury and has received payments, may make expenditures in excess of--
(1) $10,000,000 in the case of a campaign for nomination for
election to the office, except the aggregate of expenditures under this
paragraph in any one State shall not exceed the greater of 16 cents
multiplied by the voting age population of the State or $200,000; or
(2) $20,000,000 in the case of a campaign for election to the
office.
(b) The expenditure limitations shall not be considered violated if,
after the date of the primary or general election, convention or caucus,
receipt of refunds and rebates causes a candidate's expenditures to be
within the limitations.
(c) For the State limitations in paragraph (a)(1) of this section--
(1) Expenditures made in a State after the date of the primary
election, convention or caucus relating to the primary election,
convention or caucus count toward that State's expenditure limitation;
(2) The candidate may treat an amount that does not exceed 50% of
the candidate's total expenditures allocable to a particular State under
11 CFR 106.2 as exempt fundraising expenses, and may exclude this amount
from the candidate's total expenditures attributable to the expenditure
limitations for that State. The candidate may treat 100% of the cost of
mass mailings as exempt fundraising expenses, unless the mass mailings
were mailed within 28 days before the state's primary election,
convention or caucus. The total of all amounts excluded for exempt
fundraising expenses shall not exceed 20% of the overall expenditure
limitation under 11 CFR 9035.1.
(d)(1) If an individual is a candidate for more than one Federal
office, or for a Federal office and a State office, he or she must
designate separate principal campaign committees and establish
completely separate campaign organizations.
(2) No funds, goods, or services, including loans and loan
guarantees, may be transferred between or used by the separate
campaigns, except as provided in 11 CFR 110.3(c)(5).
(3) Except for Presidential candidates receiving Presidential
Primary Matching Funds, see 26 U.S.C. 9032, or General Election Public
Financing, see 26 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.
[[Page 134]]
(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]
Sec. 110.9 Miscellaneous provisions.
(a) Violation of limitations. No candidate or political committee
shall accept any contribution or make any expenditure in violation of
the provisions of part 110. No officer or employee of a political
committee shall 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.
(b) Fraudulent misrepresentation. No person who is a candidate for
Federal office or an employee or agent of such a candidate shall--
(1) Fraudulently misrepresent himself or any committee or
organization under his control as speaking or writing or otherwise
acting for or on behalf of any other candidate or political party or
employee or agent thereof on a matter which is damaging to such other
candidate or political party or employee or agent thereof; or
(2) Willfully and knowingly participate in or conspire to
participate in any plan or design to violate paragraph (b)(1) of this
section.
(c) Price index increase. (1) Each limitation established by
Secs. 110.7 and 110.8 shall be increased by the annual percent
difference of the price index, as certified to the Commission by the
Secretary of Labor. Each amount so increased shall be the amount in
effect for that calendar year.
(2) For purposes of paragraph (c)(1) of this section, the term price
index means the average over a calendar year of the
[[Page 135]]
Consumer Price Index (all items--United States city average) published
monthly by the Bureau of Labor Statistics.
(d) Voting age population. The Commission shall assure that there is
annually published 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.
[41 FR 35948, Aug. 25, 1976]
Sec. 110.10 Expenditures by candidates.
(a) 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.
(b) For purposes of this section, personal funds means--
(1) Any assets which, under applicable state law, at the time he or
she became a candidate, the candidate had legal right of access to or
control over, and with respect to which the candidate had either:
(i) Legal and rightful title, or
(ii) An equitable interest.
(2) Salary and other earned income from bona fide employment;
dividends and proceeds from the sale of the candidate's stocks or other
investments; bequests to the candidate; income from trusts established
before candidacy; income from trusts established by bequest after
candidacy of which the candidate is the beneficiary; gifts of a personal
nature which had been customarily received prior to candidacy; proceeds
from lotteries and similar legal games of chance.
(3) A candidate may use a portion of assets jointly owned with his
or her spouse as personal funds. The portion of the jointly owned assets
that shall be considered as personal funds of the candidate shall be
that portion which is the candidate's share under the instrument(s) of
conveyance or ownership. If no specific share is indicated by an
instrument of conveyance or ownership, the value of one-half of the
property used shall be considered as personal funds of the candidate.
[41 FR 35948, Aug. 25, 1976, as amended at 48 FR 19021, Apr. 27, 1983]
Sec. 110.11 Communications; advertising (2 U.S.C. 441d).
(a)(1) General rules. Except as provided at paragraph (a)(6) of this
section, whenever any person makes an expenditure for the purpose of
financing a communication that expressly advocates the election or
defeat of a clearly identified candidate, or that solicits any
contribution, through any broadcasting station, newspaper, magazine,
outdoor advertising facility, poster, yard sign, direct mailing or any
other form of general public political advertising, a disclaimer meeting
the requirements of paragraphs (a)(1) (i), (ii), (iii), (iv) or (a)(2)
of this section shall appear and be presented in a clear and conspicuous
manner to give the reader, observer or listener adequate notice of the
identity of persons who paid for and, where required, who authorized the
communication.
(i) Such communication, including any solicitation, if paid for and
authorized by a candidate, an authorized committee of a candidate, or
its agent, shall clearly state that the communication has been paid for
by the authorized political committee; or
(ii) Such communication, including any solicitation, if authorized
by a candidate, an authorized committee of a candidate or an agent
thereof, but paid for by any other person, shall clearly state that the
communication is paid for by such other person and is authorized by such
candidate, authorized committee or agent; or
(iii) Such communication, including any solicitation, if made on
behalf of or in opposition to a candidate, but paid for by any other
person and not authorized by a candidate, authorized committee of a
candidate or its agent, shall clearly state that the communication has
been paid for by such person and is not authorized by any candidate or
candidate's committee.
(iv) For solicitations directed to the general public on behalf of a
political committee which is not an authorized committee of a candidate,
such solicitation shall clearly state the full name
[[Page 136]]
of the person who paid for the communication.
(2) Coordinated Party Expenditures. (i) For a communication paid for
by a party committee pursuant to 2 U.S.C. 441a(d), the disclaimer
required by paragraph (a)(1) of this section shall identify the
committee that makes the expenditure as the person who paid for the
communication, regardless of whether the committee was acting in its own
capacity or as the designated agent of another committee.
(ii) A communication made by a party committee pursuant to 2 U.S.C.
441a(d) prior to the date the party's candidate is nominated shall
satisfy the requirements of this section if it clearly states who paid
for the communication.
(3) Definition of ``direct mailing.'' For purposes of paragraph
(a)(1) of this section only, direct mailing includes any number of
substantially similar pieces of mail but does not include a mailing of
one hundred pieces or less by any person.
(4) Exempt Activities. For purposes of paragraph (a)(1) of this
section only, the term expenditure includes a communication by a
candidate or party committee that qualifies as an exempt activity under
11 CFR 100.8(b)(10), (16), (17), or (18). Such communications, unless
excepted under paragraph (a)(6) of this section, shall clearly state who
paid for the communication but do not have to include an authorization
statement.
(5) Placement of Disclaimer. The disclaimers specified in paragraph
(a)(1) of this section shall be presented in a clear and conspicuous
manner, to give the reader, observer or listener adequate notice of the
identity of the person or committee that paid for, and, where required,
that authorized the communication. A disclaimer is not clear and
conspicuous if the printing is difficult to read or if the placement is
easily overlooked.
(i) The disclaimer need not appear on the front or cover page of the
communication as long as it appears within the communication, except on
communications, such as billboards, that contain only a front face.
(ii) Each communication that would require a disclaimer if
distributed separately, that is included in a package of materials, must
contain the required disclaimer.
(iii) Disclaimers in a televised communication shall be considered
clear and conspicuous if they appear in letters equal to or greater than
four (4) percent of the vertical picture height that air for not less
than four (4) seconds.
(6) Exceptions. The requirements of paragraph (a)(1) of this section
do not apply to:
(i) Bumper stickers, pins, buttons, pens and similar small items
upon which the disclaimer cannot be conveniently printed;
(ii) Skywriting, watertowers, wearing apparel or other means of
displaying an advertisement of such a nature that the inclusion of a
disclaimer would be impracticable; or
(iii) Checks, receipts and similar items of minimal value which do
not contain a political message and which are used for purely
administrative purposes.
(7) Activities by separate segregated fund or its connected
organization. For purposes of paragraph (a)(1) of this section, whenever
a separate segregated fund or 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 form of
general public political advertising and need not contain the disclaimer
set forth in paragraph (a)(1) of this section.
(b)(1) No person who sells space in a newspaper or magazine to a
candidate, an authorized committee of a candidate, or an agent of the
candidate, for use in connection with the candidate's campaign for
nomination or for election, shall charge an amount for the space which
exceeds the comparable rate for the space for non-campaign purposes.
(2) For purposes of this section, comparable rate means the rate
charged to a national or general rate advertiser, and shall include
discount privileges
[[Page 137]]
usually and normally available to a national or general rate advertiser.
(2 U.S.C. 438(a)(8), 441a, 441d, 441e, 441f, 441g, 441h, 441i)
[41 FR 35948, Aug. 25, 1976, as amended at 45 FR 15122, Mar. 7, 1980; 48
FR 8809, Mar. 2, 1983; 60 FR 52072, Oct. 5, 1995]
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 100.7 and 100.8.
(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.
(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]
[[Page 138]]
Sec. 110.14 Contributions to and expenditures by delegates and delegate committees.
(a) Scope. This section sets forth the prohibitions, limitations and
reporting requirements under the Act applicable to all levels of a
delegate selection process.
(b) Definitions--(1) Delegate. Delegate means an individual who
becomes or seeks to become a delegate, as defined by State law or party
rule, to a national nominating convention or to a State, district, or
local convention, caucus or primary that is held to select delegates to
a national nominating convention.
(2) Delegate committee. A delegate committee is a group of persons
that receives contributions or makes expenditures for the sole purpose
of influencing the selection of one or more delegates to a national
nominating convention. The term delegate committee includes a group of
delegates, a group of individuals seeking selection as delegates and a
group of individuals supporting delegates. A delegate committee that
qualifies as a political committee under 11 CFR 100.5 must register with
the Commission pursuant to 11 CFR part 102 and report its receipts and
disbursements in accordance with 11 CFR part 104.
(c) Funds received and expended; Prohibited funds. (1) Funds
received or disbursements made for the purpose of furthering the
selection of a delegate to a national nominating convention are
contributions or expenditures for the purpose of influencing a federal
election, see 11 CFR 100.2 (c)(3) and (e), except that--
(i) Payments made by an individual to a State committee or
subordinate State committee as a condition for ballot access as a
delegate are not contributions or expenditures. Such payments are
neither required to be reported under 11 CFR part 104 nor subject to
limitation under 11 CFR 110.1; and
(ii) Payments made by a State committee or subordinate State party
committee for administrative expenses incurred in connection with
sponsoring conventions or caucuses during which delegates to a national
nominating convention are selected are not contributions or
expenditures. Such payments are neither required to be reported under 11
CFR part 104 nor subject to limitation under 11 CFR 110.1 and 110.2.
(2) All funds received or disbursements made for the purpose of
furthering the selection of a delegate to a national nominating
convention, including payments made under paragraphs (c)(1)(i) and
(c)(1)(ii) of this section, shall be made from funds permissible under
the Act. See 11 CFR parts 110, 114 and 115.
(d) Contributions to a delegate. (1) The limitations on
contributions to candidates and political committees under 11 CFR 110.1
and 110.2 do not apply to contributions made to a delegate for the
purpose of furthering his or her selection; however, such contributions
do count against the limitation on contributions made by an individual
in a calendar year under 11 CFR 110.5.
(2) Contributions to a delegate made by the authorized committee of
a presidential candidate count against the presidential candidate's
expenditure limitation under 11 CFR 110.8(a).
(3) A delegate is not required to report contributions received for
the purpose of furthering his or her selection.
(e) Expenditures by delegate to advocate only his or her selection.
(1) Expenditures by a delegate that advocate only his or her selection
are neither contributions to a candidate, subject to limitation under 11
CFR 110.1, nor chargeable to the expenditure limits of any Presidential
candidate under 11 CFR 110.8(a). Such expenditures may include, but are
not limited to: Payments for travel and subsistence during the delegate
selection process, including the national nominating convention, and
payments for any communications advocating only the delegate's
selection.
(2) A delegate is not required to report expenditures made to
advocate only his or her selection.
(f) Expenditures by a delegate referring to a candidate for public
office--(1) Volunteer activities that do not use public political
advertising. (i) Expenditures by a delegate to defray the costs of
certain campaign materials (such as pins, bumper stickers, handbills,
brochures, posters and yard signs) that advocate
[[Page 139]]
his or her selection and also include information on or reference to a
candidate for the office of President or any other public office are
neither contributions to the candidate referred to nor subject to
limitation under 11 CFR 110.1 provided that:
(A) The materials are used in connection with volunteer activities;
and
(B) The expenditures are not for costs incurred in the use of
broadcasting, newspapers, magazines, billboards, direct mail or similar
types of general public communication or political advertising.
(ii) Such expenditures are not chargeable to the expenditure
limitation of a presidential candidate under 11 CFR 110.8(a).
(iii) A delegate is not required to report expenditures made
pursuant to this paragraph.
(2) Use of public political advertising. A delegate may make
expenditures to defray costs incurred in the use of broadcasting,
newspapers, magazines, billboards, direct mail or similar types of
general public communication or political advertising to advocate his or
her selection and also include information on or reference to a
candidate for the office of President or any other public office.
(i) Such expenditures are in-kind contributions to a Federal
candidate if they are made in cooperation, consultation or concert with,
or at the request or suggestion of, the candidate, his or her authorized
political committee(s), or their agents. See 11 CFR 100.7(a)(iii)(A); 2
U.S.C. 441a(a)(7)(B).
(A) The portion of the expenditure allocable to a Federal candidate
is subject to the contribution limitations of 11 CFR 110.1.
(B) A Federal candidate's authorized committee must report the
portion of the expenditure allocable to the candidate as a contribution
pursuant to 11 CFR part 104.
(C) The portion of the expenditure allocable to a presidential
candidate is chargeable to the presidential candidate's expenditure
limitation under 11 CFR 110.8(a).
(ii) Such expenditures are independent expenditures under 11 CFR
part 109 if they are made for a communication expressly advocating the
election or defeat of a clearly identified Federal candidate that is not
made with the cooperation or with the prior consent of, or in
consultation with, or at the request or suggestion of, the candidate or
any agent or authorized committee of such candidate.
(A) Such independent expenditures must be made in accordance with
the requirements of 11 CFR part 109.
(B) The delegate shall report the portion of the expenditure
allocable to the Federal candidate as an independent expenditure in
accordance with 11 CFR 109.2.
(3) Republication of candidate materials. Expenditures made to
finance the dissemination, distribution or republication, in whole or in
part, of any broadcast or materials prepared by a Federal candidate are
in-kind contributions to the candidate.
(i) Such expenditures are subject to the contribution limits of 11
CFR 110.1.
(ii) The Federal candidate must report the expenditure as a
contribution pursuant to 11 CFR part 104.
(iii) Such expenditures are not chargeable to the presidential
candidate's expenditure limitation under 11 CFR 110.8 unless they were
made with the cooperation, or with the prior consent of, or in
consultation with, or at the request or suggestion of, the candidate or
any agent or authorized committee of such candidate.
(4) For purposes of this paragraph, direct mail means any mailing(s)
by commercial vendors or any mailing(s) made from lists that were not
developed by the delegate.
(g) Contributions made to and by a delegate committee. (1) The
limitations on contributions to political committees under 11 CFR 110.1
and 110.2 apply to contributions made to and by a delegate committee.
(2) Contributions to a delegate committee count against the
limitation on contributions made by an individual in a calendar year
under 11 CFR 110.5.
(3) A delegate committee shall report contributions it makes and
receives pursuant to 11 CFR part 104.
(h) Expenditures by a delegate committee to advocate only the
selection of one or more delegates. (1) Expenditures by a delegate
committee that advocate
[[Page 140]]
only the selection of one or more delegates are neither contributions to
a candidate, subject to limitation under 11 CFR 110.1 nor chargeable to
the expenditure limits of any Presidential candidate under 11 CFR
110.8(a). Such expenditures may include but are not limited to: Payments
for travel and subsistence during the delegate selection process,
including the national nominating convention, and payments for any
communications advocating only the selection of one or more delegates.
(2) A delegate committee shall report expenditures made pursuant to
this paragraph.
(i) Expenditures by a delegate committee referring to a candidate
for public office--(1) Volunteer activities that do not use public
political advertising. (i) Expenditures by a delegate committee to
defray the costs of certain campaign materials (such as pins, bumper
stickers, handbills, brochures, posters and yard signs) that advocate
the selection of a delegate and also include information on or reference
to a candidate for the office of President or any other public office
are neither contributions to the candidate referred to, nor subject to
limitation under 11 CFR 110.1 provided that:
(A) The materials are used in connection with volunteer activities;
and
(B) The expenditures are not for costs incurred in the use of
broadcasting, newspapers, magazines, billboards, direct mail or similar
types of general public communication or political advertising.
(ii) Such expenditures are not chargeable to the expenditure
limitation of a presidential candidate under 11 CFR 110.8(a).
(iii) A delegate committee shall report expenditures made pursuant
to this paragraph.
(2) Use of public political advertising. A delegate committee may
make expenditures to defray costs incurred in the use of broadcasting,
newspapers, magazines, billboards, direct mail or similar types of
general public communication or political advertising to advocate the
selection of one or more delegates and also include information on or
reference to a candidate for the office of President or any other public
office. If such expenditures are in-kind contributions or independent
expenditures under paragraphs (i) or (ii) below, the delegate committee
shall allocate the portion of the expenditures relating to the
delegate(s) and candidate(s) referred to in the communications between
them and report the portion allocable to each.
(i) Such expenditures are in-kind contributions to a Federal
candidate if they are made in cooperation, consultation or concert with
or at the request or suggestion of the candidate, his or her authorized
political committee(s), or their agents.
(A) The portion of the expenditure allocable to a Federal candidate
is subject to the contribution limitations of 11 CFR 110.1. The delegate
committee shall report the portion allocable to the Federal candidate as
a contribution in-kind.
(B) The Federal candidate's authorized committee shall report the
portion of the expenditure allocable to the candidate as a contribution
pursuant to 11 CFR part 104.
(C) The portion of the expenditure allocable to a presidential
candidate is chargeable to the presidential candidate's expenditure
limitation under 11 CFR 110.8(a).
(ii) Such expenditures are independent expenditures under 11 CFR
part 109 if they are made for a communication expressly advocating the
election or defeat of a clearly identified Federal candidate that is not
made with the cooperation or with the prior consent of, or in
consultation with, or at the request or suggestion of, the candidate or
any agent or authorized committee of such candidate.
(A) Such independent expenditures must be made in accordance with
the requirements of 11 CFR part 109.
(B) The delegate committee shall report the portion of the
expenditure allocable to the Federal candidate as an independent
expenditure in accordance with 11 CFR 109.2.
(3) Republication of candidate materials. Expenditures made to
finance the dissemination, distribution or republication, in whole or in
part, of any broadcast or materials prepared by a Federal candidate are
in-kind contributions to the candidate.
[[Page 141]]
(i) Such expenditures are subject to the contribution limitations of
11 CFR 110.1. The delegate committee shall report the expenditure as a
contribution in-kind.
(ii) The Federal candidate's authorized committee shall report the
expenditure as a contribution pursuant to 11 CFR part 104.
(iii) Such expenditures are not chargeable to the presidential
candidate's expenditure limitation under 11 CFR 110.8 unless they were
made with the cooperation or with the prior consent of, or in
consultation with, or at the request or suggestion of, the candidate or
any agent or authorized committee of such candidate.
(4) For purposes of this paragraph, direct mail means any mailing(s)
by commercial vendors or any mailing(s) made from lists that were not
developed by the delegate committee or any participating delegate.
(j) Affiliation of delegate committees with a Presidential
candidate's authorized committee. (1) For purposes of the contribution
limits of 11 CFR 110.1 and 110.2, a delegate committee shall be
considered to be affiliated with a Presidential candidate's authorized
committee if both such committees are established, financed, maintained
or controlled by the same person, such as the Presidential candidate, or
the same group of persons.
(2) Factors the Commission may consider in determining whether a
delegate committee is affiliated under paragraph (j)(1) of this section
with a Presidential candidate's authorized committee may include, but
are not limited to:
(i) Whether the Presidential candidate or any other person
associated with the Presidential authorized committee played a
significant role in the formation of the delegate committee;
(ii) Whether any delegate associated with a delegate committee is or
has been a staff member of the Presidential authorized committee;
(iii) Whether the committees have common or overlapping officers or
employees;
(iv) Whether the Presidential authorized committee provides funds or
goods in a significant amount or on an ongoing basis to the delegate
committee, such as through direct or indirect payments for
administrative, fundraising, or other costs, but not including the
transfer to a committee of its allocated share of proceeds jointly
raised pursuant to 11 CFR 102.17 or 9034.8;
(v) Whether the Presidential candidate or any other person
associated with the Presidential authorized committee suggested,
recommended or arranged for contributions to be made to the delegate
committee;
(vi) Similar patterns of contributions received by the committees;
(vii) Whether one committee provides a mailing list to the other
committee;
(viii) Whether the Presidential authorized committee or any person
associated with that committee provides ongoing administrative support
to the other committee;
(ix) Whether the Presidential authorized committee or any person
associated with that committee directs or organizes the specific
campaign activities of the delegate committee; and
(x) Whether the Presidential authorized committee or any person
associated with that committee files statements or reports on behalf of
the delegate committee.
(k) Affiliation between delegate committees. Delegate committees
will be considered to be affiliated with each other if they meet the
criteria for affiliation set forth at 11 CFR 100.5(g).
[52 FR 35534, Sept. 22, 1987]