[Title 11 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2002 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

                    11

                         Revised as of January 1, 2002

Federal Elections





          Containing a codification of documents of general 
          applicability and future effect
          As of January 1, 2002
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2002



  For sale by the Superintendent of Documents, U.S. Government Printing 
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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 11:
          Chapter I--Federal Election Commission                     3
  Finding Aids:
    Indexes to Regulations:
          Administrative Regulations, Parts 1-8; 200-201           297
          General, Parts 100-116                                   303
          General Election Financing, Parts 9001-9007 and 9012     349
          Federal Financing of Presidential Nominating 
          Conventions, Part 9008                                   361
          Presidential Primary Matching Fund, Parts 9031-9039      369
      Table of CFR Titles and Chapters........................     387
      Alphabetical List of Agencies Appearing in the CFR......     405
      List of CFR Sections Affected...........................     415



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

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  11 CFR 1.1 refers 
                       to title 11, part 1, 
                       section 1.

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

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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
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, 2002), 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 
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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.

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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].

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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, Public Papers, Weekly Compilation of Presidential 
Documents and the Privacy Act Compilation are available in electronic 
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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 
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site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

January 1, 2002.



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                               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, 2002.

    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.

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

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                       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

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                 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.....................          25
7               Standards of conduct........................          31
8               National Voter Registration Act (42 U.S.C. 
                    1973gg-1 et seq.).......................          43
                          SUBCHAPTER A--GENERAL
100             Scope and definitions (2 U.S.C. 431)........          47
101             Candidate status and designations (2 U.S.C. 
                    432(e)).................................          69
102             Registration, organization, and 
                    recordkeeping by political committees (2 
                    U.S.C. 433).............................          70
103             Campaign depositories (2 U.S.C. 432(h)).....          83
104             Reports by political committees (2 U.S.C. 
                    434)....................................          84
105             Document filing (2 U.S.C. 432(g))...........         104
106             Allocations of candidate and committee 
                    activities..............................         106
107             Presidential nominating convention, 
                    registration and reports................         117
108             Filing copies of reports and statements with 
                    State officers (2 U.S.C. 439)...........         118
109             Independent expenditures (2 U.S.C. 431(17), 
                    434(c)).................................         120
110             Contribution and expenditure limitations and 
                    prohibitions............................         122
111             Compliance procedure (2 U.S.C. 437g, 
                    437d(a))................................         145
112             Advisory opinions (2 U.S.C. 437f)...........         157
113             Excess campaign funds and funds donated to 
                    support Federal officeholder activities 
                    (2 U.S.C. 439a).........................         159
114             Corporate and labor organization activity...         163
115             Federal contractors.........................         187

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116             Debts owed by candidates and political 
                    committees..............................         189
                SUBCHAPTER B--ADMINISTRATIVE REGULATIONS
200             Petitions for rulemaking....................         197
201             Ex parte communications.....................         198
                       SUBCHAPTERS C-D [RESERVED]
  SUBCHAPTER E--PRESIDENTIAL ELECTION CAMPAIGN FUND: GENERAL ELECTION 
                                FINANCING
9001            Scope.......................................         201
9002            Definitions.................................         201
9003            Eligibility for payments....................         204
9004            Entitlement of eligible candidates to 
                    payments; use of payments...............         214
9005            Certification by Commission.................         222
9006            Reports and recordkeeping...................         224
9007            Examinations and audits; Repayments.........         224
9008            Federal Financing of Presidential nominating 
                    conventions.............................         233
9009-9011       [Reserved]

9012            Unauthorized expenditures and contributions.         248
SUBCHAPTER F--PRESIDENTIAL ELECTION CAMPAIGN FUND: PRESIDENTIAL PRIMARY 
                              MATCHING FUND
9031            Scope.......................................         251
9032            Definitions.................................         251
9033            Eligibility for payments....................         253
9034            Entitlements................................         261
9035            Expenditure limitations.....................         275
9036            Review of matching fund submissions and 
                    certification of payments by Commission.         277
9037            Payments and reporting......................         283
9038            Examination and audits......................         284
9039            Review and investigation authority..........         293

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PART 1--PRIVACY ACT--Table of Contents




Sec.
1.1  Purpose and scope.
1.2  Definitions.
1.3  Procedures for requests pertaining to individual records in a 
          record system.
1.4  Times, places, and requirements for identification of individuals 
          making requests.
1.5  Disclosure of requested information to individuals.
1.6  Special procedure: Medical records. [Reserved]
1.7  Request for correction or amendment to record.
1.8  Agency review of request for correction or amendment of record.
1.9  Appeal of initial adverse agency determination on amendment or 
          correction.
1.10  Disclosure of record to person other than the individual to whom 
          it pertains.
1.11  Fees.
1.12  Penalties.
1.13  General exemptions. [Reserved]
1.14  Specific exemptions.

    Authority: 5 U.S.C. 552a.

    Source: 41 FR 43064, Sept. 29, 1976, unless otherwise noted.



Sec. 1.1  Purpose and scope.

    (a) The purpose of this part is to set forth rules informing the 
public as to what information is maintained by the Federal Election 
Commission about identifiable individuals and to inform those 
individuals how they may gain access to and correct or amend information 
about themselves.
    (b) The regulations in this part carry out the requirements of the 
Privacy Act of 1974 (Pub. L. 93-579) and in particular 5 U.S.C. 552a as 
added by that Act.
    (c) The regulations in this part apply only to records disclosed or 
requested under the Privacy Act of 1974, and not to requests for 
information made pursuant to 5 U.S.C. 552, the Freedom of Information 
Act, or requests for reports and statements filed with the Federal 
Election Commission which are public records and available for 
inspection and copying pursuant to 2 U.S.C. 437g(a)(4) (C) and 
438(a)(4).

[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980]



Sec. 1.2  Definitions.

    As defined in the Privacy Act of 1974 and for the purposes of this 
part, unless otherwise required by the context, the following terms 
shall have these meanings:
    Individual means a citizen of the United States or an alien lawfully 
admitted for permanent residence.
    Maintain includes maintain, collect, use or disseminate.
    Record means any item, collection, or grouping of information about 
an individual that is maintained by an agency, including but not limited 
to his or her education, financial transactions, medical history, and 
criminal or employment history and that contains his or her name, or the 
identifying number, symbol or other identifying particular assigned to 
the individual, such as finger or voice print or a photograph.
    Systems of Records means a group of any records under the control of 
the Federal Election Commission from which information is retrieved by 
the name of the individual or by some identifying number, symbol, or 
other identifying particular assigned to the individual.
    Routine use means the use of such record for a purpose compatible 
with the purpose for which the information was collected.
    Commission means the Federal Election Commission, its Commissioners 
and employees.
    Commissioners means the six appointees confirmed by the Senate who 
are voting members of the Commission.
    Act means the Federal Election Campaign Act of 1971, as amended and 
chapters 95 and 96 of the Internal Revenue Code of 1954.



Sec. 1.3  Procedures for requests pertaining to individual records in a record system.

    (a) Any individual may request the Commission to inform him or her 
whether a particular record system named by the individual contains a 
record pertaining to him or her. The request may be made in person or in 
writing at the location and to the person specified in the notice 
describing that record system.
    (b) An individual who believes that the Commission maintains records 
pertaining to him or her but who cannot

[[Page 6]]

determine which record system contains those records, may request 
assistance by mail or in person from the Staff Director, Federal 
Election Commission, 999 E Street, NW., Washington, DC 20463 during the 
hours of 9 a.m. to 5:30 p.m.
    (c) Requests under paragraphs (a) or (b) of this section shall be 
acknowledged by the Commission within 15 days from the date of receipt 
of the request. If the Commission is unable to locate the information 
requested under paragraphs (a) or (b) of this section, it shall so 
notify the individual within 15 days after receipt of the request. Such 
acknowledgement may request additional information to assist the 
Commission in locating the record or it may advise the individual that 
no record or document exists about that individual.

[41 FR 43064, Sept. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985]



Sec. 1.4  Times, places, and requirements for identification of individuals making requests.

    (a) After being informed by the Commission that a record system 
contains a record pertaining to him or her, an individual may request 
the Commission to disclose that record in the manner described in this 
section. Each request for the disclosure of a record or a copy of it 
shall be made at the Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463 and to the system manager identified in the notice 
describing the systems of records, either in writing or in person. 
Requests may be made by specifically authorized agents or by parents or 
guardians of individuals.
    (b) Each individual requesting the disclosure of a record or copy of 
a record shall furnish the following information with his or her 
request:
    (1) The name of the record system containing the record;
    (2) Proof as described in paragraph (c) of this section that he or 
she is the individual to whom the requested record relates;
    (3) Any other information required by the notice describing the 
record system.
    (c) Proof of identity as required by paragraph (b)(2) of this 
section shall be provided as described in paragraphs (c) (1) and (2) of 
this section. Requests made by an agent, parent, or guardian, shall be 
in accordance with the procedures described in Sec. 1.10.
    (1) Requests made in writing shall include a statement, signed by 
the individual and either notarized or witnessed by two persons 
(including witnesses' addresses). If the individual appears before a 
notary, he or she shall submit adequate proof of identification in the 
form of a drivers license, birth certificate, passport or other 
identification acceptable to the notary. If the statement is witnessed, 
it shall include a sentence above the witnesses' signatures that they 
personally know the individual or that the individual has submitted 
proof of his or her identification to their satisfaction. In any case in 
which, because of the extreme sensitivity of the record sought to be 
seen or copied, the Commission determines that the identification is not 
adequate, it may request the individual to submit additional proof of 
identification.
    (2) If the request is made in person, the requestor shall submit 
proof of identification similar to that described in paragraph (c)(1) of 
this section, acceptable to the Commission. The individual may have a 
person of his or her own choosing accompany him or her when the record 
is disclosed.

[41 FR 43064, Sept. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985]



Sec. 1.5  Disclosure of requested information to individuals.

    (a) Upon submission of proof of identification as required by 
Sec. 1.4, the Commission shall allow the individual to see and/or obtain 
a copy of the requested record or shall send a copy of the record to the 
individual by registered mail. If the individual requests to see the 
record, the Commission may make the record available either at the 
location where the record is maintained or at a place more suitable to 
the requestor, if possible. The record shall be made available as soon 
as possible but in no event later than 15 days after proof of 
identification.
    (b) The Commission must furnish each record requested by an 
individual

[[Page 7]]

under this part in a form intelligible to that individual.
    (c) If the Commission denies access to a record to an individual, he 
or she shall be advised of the reason for the denial and advised of the 
right to judicial review.
    (d) Upon request, an individual will be provided access to the 
accounting of disclosures from his or her record under the same 
procedures as provided above and in Sec. 1.4.



Sec. 1.6  Special procedure: Medical records. [Reserved]



Sec. 1.7  Request for correction or amendment to record.

    (a) Any individual who has reviewed a record pertaining to him or 
her that was furnished under this part, may request the Commission to 
correct or amend all or any part of that record.
    (b) Each individual requesting a correction or amendment shall send 
the request to the Commission through the person who furnished the 
record.
    (c) Each request for a correction or amendment of a record shall 
contain the following information:
    (1) The name of the individual requesting the correction or 
amendment;
    (2) The name of the system of records in which the record sought to 
be amended is maintained;
    (3) The location of the system of records from which the individual 
record was obtained;
    (4) A copy of the record sought to be amended or corrected or a 
sufficiently detailed description of that record;
    (5) A statement of the material in the record that the individual 
desires to correct or amend;
    (6) A statement of the basis for the requested correction or 
amendment including any material that the individual can furnish to 
substantiate the reasons for the correction or amendment sought.



Sec. 1.8  Agency review of request for correction or amendment of record.

    (a) The Commission shall, not later than ten (10) days (excluding 
Saturdays, Sundays and legal holidays) after the receipt of the request 
for a correction or amendment of a record under Sec. 1.7, acknowledge 
receipt of the request and inform the individual whether information is 
required before the correction or amendment can be considered.
    (b) If no additional information is required, within ten (10) days 
from receipt of the request, the Commission shall either make the 
requested correction or amendment or notify the individual of its 
refusal to do so, including in the notification the reasons for the 
refusal, and the appeal procedures provided in Sec. 1.9.
    (c) The Commission shall make each requested correction or amendment 
to a record if that correction or amendment will tend to negate 
inaccurate, irrelevant, untimely, or incomplete matter in the record.
    (d) The Commission shall inform prior recipients of any amendment or 
correction or notation of dispute of such individual's record if an 
accounting of the disclosure was made. The individual may request a list 
of prior recipients if an accounting of the disclosure was made.



Sec. 1.9  Appeal of initial adverse agency determination on amendment or correction.

    (a) Any individual whose request for a correction or amendment has 
been denied in whole or in part, may appeal that decision to the 
Commissioners no later than one hundred eighty (180) days after the 
adverse decision is rendered.
    (b) The appeal shall be in writing and shall contain the following 
information:
    (1) The name of the individual making the appeal;
    (2) Identification of the record sought to be amended;
    (3) The record system in which that record is contained;
    (4) A short statement describing the amendment sought; and
    (5) The name and location of the agency official who initially 
denied the correction or amendment.
    (c) Not later than thirty (30) days (excluding Saturdays, Sundays 
and legal holidays) after the date on which the Commission receives the 
appeal, the Commissioners shall complete their review of the appeal and 
make a final decision thereon. However, for good cause shown, the 
Commissioners

[[Page 8]]

may extend that thirty (30) day period. If the Commissioners extend the 
period, the individual requesting the review shall be promptly notified 
of the extension and the anticipated date of a decision.
    (d) After review of an appeal, the Commission shall send a written 
notice to the requestor containing the following information:
    (1) The decision and, if the denial is upheld, the reasons for the 
decision;
    (2) The right of the requestor to institute a civil action in a 
Federal District Court for judicial review of the decision; and
    (3) The right of the requestor to file with the Commission a concise 
statement setting forth the reasons for his or her disagreement with the 
Commission denial of the correction or amendment. The Commission shall 
make this statement available to any person to whom the record is later 
disclosed, together with a brief statement, if appropriate, of the 
Commission's reasons for denying the requested correction or amendment. 
The Commission shall also send a copy of the statement to prior 
recipients of the individual's record if an accounting of the 
disclosures was made.



Sec. 1.10  Disclosure of record to person other than the individual to whom it pertains.

    (a) Any individual who desires to have a record covered by this part 
disclosed to or mailed to another person may designate such person and 
authorize such person to act as his or her agent for that specific 
purpose. The authorization shall be in writing, signed by the individual 
and notarized or witnessed as provided in Sec. 1.4(c).
    (b) The parent of any minor individual or the legal guardian of any 
individual who has been declared by a court of competent jurisdiction to 
be incompetent, due to physical or mental incapacity or age, may act on 
behalf of that individual in any matter covered by this part. A parent 
or guardian who desires to act on behalf of such an individual shall 
present suitable evidence of parentage or guardianship, by birth 
certificate, certified copy of a court order, or similar documents, and 
proof of the individual's identity in a form that complies with 
Sec. 1.4(c) of this part.
    (c) An individual to whom a record is to be disclosed in person, 
pursuant to this part may have a person of his or her own choosing 
accompany him or her when the record is disclosed.



Sec. 1.11  Fees.

    (a) The Commission shall not charge an individual for the costs of 
making a search for a record or the costs of reviewing the record. When 
the Commission makes a copy of a record as a necessary part of the 
process of disclosing the record to an individual, the Commission shall 
not charge the individual for the cost of making that copy.
    (b) If an individual requests the Commission to furnish a copy of 
the record, the Commission shall charge the individual for the costs of 
making the copy. The fee that the Commission has established for making 
a copy is ten cents ($.10) per page.



Sec. 1.12  Penalties.

    Any person who makes a false statement in connection with any 
request for a record, or an amendment or correction thereto, under this 
part, is subject to the penalties prescribed in 18 U.S.C. 494 and 495.



Sec. 1.13  General exemptions. [Reserved]



Sec. 1.14  Specific exemptions.

    (a) No individual, under the provisions of these regulations, shall 
be entitled to access to materials compiled in its systems of records 
identified as FEC audits and investigations (FEC 2) or FEC compliance 
actions (FEC 3). These exempted systems relate to the Commission's power 
to exercise exclusive civil jurisdiction over the enforcement of the Act 
under 2 U.S.C. 437d (a)(6) and (e); and to defend itself in actions 
filed against it under 2 U.S.C. 437d(a)(6). Further the Commission has a 
duty to investigate violations of the Act under 2 U.S.C. 437g(a)(2); to 
conduct audits and investigations pursuant to 2 U.S.C. 438(b); 26 U.S.C. 
9007 and 9038; and to refer apparent violations of the Act to the 
Attorney General or other law enforcement authorities under 2 U.S.C. 
437g(a)(5) and 437d(9). Information contained in FEC systems 2

[[Page 9]]

and 3 contain the working papers of the Commission staff and form the 
basis for either civil and/or criminal proceedings pursuant to the 
exercise of the powers and duties of the Commission. These materials 
must be protected until such time as they are subject to public access 
under the provision of 2 U.S.C. 437g(a)(4)(B) or 5 U.S.C. 552, or other 
relevant statutes.
    (b)(1) Pursuant to 5 U.S.C. 552a(j)(2), records contained in FEC 12, 
Office of Inspector General Investigative Files, are exempt from the 
provisions of 5 U.S.C. 552a, except subsections (b), (c) (1) and (2), 
(e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11) and (f) , and 
the corresponding provisions of 11 CFR part 1, to the extent this system 
of records relates in any way to the enforcement of criminal laws.
    (2) Pursuant to 5 U.S.C. 552a(k)(2), FEC 12, Office of Inspector 
General Investigative Files, is exempt from 552a (c)(3), (d), (e)(1), 
(e)(4)(G), (H), and (I), and (f), and the corresponding provisions of 11 
CFR part 1, to the extent the system of records consists of 
investigatory material compiled for law enforcement purposes, except for 
material that falls within the exemption included in paragraph (b)(1) of 
this section.
    (c) The provisions of paragraph (a) of this section shall not apply 
to the extent that application of the subsection would deny any 
individual any right, privilege or benefit to which he or she would 
otherwise be entitled to receive.

[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980; 
60 FR 4073, Jan. 20, 1995]



PART 2--SUNSHINE REGULATIONS; MEETINGS--Table of Contents




Sec.
2.1  Scope.
2.2  Definitions.
2.3  General rules.
2.4  Exempted meetings.
2.5  Procedures for closing meetings.
2.6  Transcripts and recordings.
2.7  Announcement of meetings and schedule changes.
2.8  Annual report.

    Authority: Sec. 3(a), Pub. L. 94-409, 5 U.S.C. 552b.

    Source: 50 FR 39972, Oct. 1, 1985, unless otherwise noted.



Sec. 2.1  Scope.

    These regulations are promulgated pursuant to the directive of 5 
U.S.C. 552b(g) which was added by section 3(a) of Public Law 94-409, the 
Government in the Sunshine Act, and specifically implement section 3 of 
that Act.



Sec. 2.2  Definitions.

    (a) Commission. Commission means the Federal Election Commission, 
999 E Street, NW., Washington, DC 20463.
    (b) Commissioner or Member. Commissioner or Member means an 
individual appointed to the Federal Election Commission pursuant to 2 
U.S.C. 437c(a), but does not include a proxy or other designated 
representative of a Commissioner.
    (c) Person. Person means an individual, including employees of the 
Commission, partnership, corporation, association, or public or private 
organization, other than an agency of the United States Government.
    (d) Meeting. (1) Meeting means the deliberation of at least four 
voting members of the Commission in collegia where such deliberations 
determine or result in the joint conduct or disposition of official 
Commission business. For the purpose of this section, joint conduct does 
not include, for example, situations where the requisite number of 
members is physically present in one place but not conducting agency 
business as a body (e.g., at a meeting at which one member is giving a 
speech while a number of other members are present in the audience). A 
deliberation conducted through telephone or similar communications 
equipment by means of which all persons participating can hear each 
other will be considered a meeting under this section.
    (2) The term meeting does not include the process of notation voting 
by circulated memorandum for the purpose of expediting consideration of 
routine matters. It also does not include deliberations to schedule a 
meeting, to take action to open or close a meeting, or to release or 
withhold information, or to

[[Page 10]]

change the subject matter of a meeting under 11 CFR 2.5, 2.6 and 2.7.

[50 FR 39972, Oct. 1, 1985, as amended at 50 FR 50778, Dec. 12, 1985; 65 
FR 9206, Feb. 24, 2000]



Sec. 2.3  General rules.

    (a) Commissioners shall not jointly conduct, determine or dispose of 
Commission business other than in accordance with this part.
    (b) Except as provided in 11 CFR 2.4, every portion of every 
Commission meeting shall be open to public observation.
    (c) No additional right to participate in Commission meetings is 
granted to any person by this part. A meeting is not part of the formal 
or informal record of decision of the matters discussed therein except 
as otherwise required by law. Statements of views or expressions of 
opinions made by Commissioners or FEC employees at meetings are not 
intended to represent final determinations or beliefs.
    (d) Members of the public attending open Commission meetings may use 
small electronic sound recorders to record the meeting, but the use of 
other electronic recording equipment and cameras requires advance notice 
to and coordination with the Commission's Press Officer.



Sec. 2.4  Exempted meetings.

    (a) Meetings required by statute to be closed. Meetings concerning 
matters specifically exempted from disclosure by statutes which require 
public withholding in such a manner as to leave no discretion for the 
Commission on the issue, or which establish particular types of matters 
to be withheld, shall be closed to public observation in accordance with 
the procedures of 11 CFR 2.5.
    (1) As required by 2 U.S.C. 437g(a)(12), all Commission meetings, or 
portions of meetings, pertaining to any notification or investigation 
that a violation of the Act has occurred, shall be closed to the public.
    (2) For the purpose of this section, any notification or 
investigation that a violation of the Act has occurred includes, but is 
not limited to, determinations pursuant to 2 U.S.C. 437g, the issuance 
of subpoenas, discussion of referrals to the Department of Justice, or 
consideration of any other matter related to the Commission's 
enforcement activity, as set forth in 11 CFR part 111.
    (b) Meetings closed by Commission determination. Except as provided 
in 11 CFR 2.4(c), the requirement of open meetings will not apply where 
the Commission finds, in accordance with 11 CFR 2.5, that an open 
meeting or the release of information is likely to result in the 
disclosure of:
    (1) Matters that relate solely to the Commission's internal 
personnel decisions, or internal rules and practices.
    (i) This provision includes, but is not limited to, matters relating 
to Commission policies on working conditions, or materials prepared 
predominantly for internal use, the disclosure of which would risk 
circumvention of Commission regulations; but
    (ii) This provision does not include discussions or materials 
regarding employees' dealings with the public, such as personnel manuals 
or Commission directives setting forth job functions or procedures;
    (2) Financial or commercial information obtained from any person 
which is privileged or confidential;
    (3) Matters which involve the consideration of a proceeding of a 
formal nature by the Commission against a specific person or the formal 
censure of any person;
    (4) Information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (5) Investigatory records compiled for law enforcement purposes, or 
information which if written would be contained in such records, but 
only to the extent that the production of such records or information 
would:
    (i) Interfere with enforcement proceedings,
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication,
    (iii) Constitute an unwarranted invasion of personal privacy,
    (iv) Disclose the identity of a confidential source,
    (v) Disclose investigative techniques and procedures, or
    (vi) Endanger the life or physical safety of law enforcement 
personnel;

[[Page 11]]

    (6) Information the premature disclosure of which would be likely to 
have a considerable adverse effect on the implementation of a proposed 
Commission action, as long as the Commission has not already disclosed 
the content or nature of its proposed action, or is not required by law 
to disclose it prior to final action; or
    (7) Matters that specifically concern the Commission's participation 
in a civil action or proceeding, or an arbitration, or involving a 
determination on the record after opportunity for a hearing.
    (c) Nothwithstanding the applicability of any exemptions set forth 
in 11 CFR 2.4(b), the Commission may determine that the public interest 
requires a meeting to be open.



Sec. 2.5  Procedures for closing meetings.

    (a) General. No meeting or portion of a meeting may be closed to the 
public observation under this section unless a majority of the 
Commissioners votes to take such action. The closing of one portion of a 
meeting shall not justify closing any other portion of a meeting.
    (b) Certification. Each time the Commission votes to close a 
meeting, the General Counsel shall publicly certify that, in his or her 
opinion, each item on the agenda may properly be closed to public 
observation. The certification shall state each relevant exemption 
provision. The original copy of the certification shall be attached to, 
and preserved with, the statement required by 11 CFR 2.5(d).
    (c) Voting procedures. (1) No meeting need be held to consider 
closing a meeting. The Commission may vote to close a meeting or any 
portion thereof by using its notation vote procedures.
    (i) A separate vote shall be taken with respect to each item on an 
agenda proposed to be closed in whole or in part pursuant to 11 CFR 2.4, 
or with respect to any information proposed to be withheld under 11 CFR 
2.4.
    (ii) A single vote may be taken with respect to a particular matter 
to be discussed in a series of closed meetings, or with respect to any 
information concerning such series of meetings, so long as each meeting 
in the series is scheduled to be held no more than 30 days after the 
initial meeting.
    (iii) This section shall not affect the Commission's practice of 
setting dates for closed meetings more than 30 days in advance of such 
meetings.
    (2) The Commission Secretary shall record the vote of each 
Commissioner participating in the vote. No proxies, written or 
otherwise, shall be counted.
    (3)(i) A Commissioner may object to a recommendation to close the 
discussion of a particular matter or may assert a claim of exemption for 
a matter scheduled to be discussed in an open meeting. Such objection or 
assertion will be discussed by the Commission at the next scheduled 
closed meeting, to determine whether the matter in question should be 
discussed in a closed meeting.
    (ii) An objection for the record only will not cause the objection 
to be placed on any agenda.
    (d) Public statement of vote. (1) If the Commission votes to close a 
meeting, or any portion thereof, under this section, it shall make 
publicly available within 24 hours a written statement of the vote. The 
written statement shall contain:
    (i) A citation to the provision(s) of 11 CFR 2.4 under which the 
meeting was closed to public observation and an explanation of why the 
specific discussion comes within the cited exemption(s);
    (ii) The vote of each Commissioner participating in the vote;
    (iii) A list of the names of all persons expected to attend the 
closed meeting and their affiliation. For purposes of this section, 
affiliation means title or position, and name of employer, and in the 
case of a representative, the name of the person represented. In the 
case of Commission employees, the statement will reflect, through the 
use of titles rather than individual names, that the Commissioners, 
specified division heads and their staff will attend; and
    (iv) The signature of the Commission Secretary.
    (2) The original copy of the statement shall be maintained by the 
Commission Secretary. A copy shall be posted on a public bulletin board 
located in the Commission's Public Records Office.
    (e) Public request to close a meeting. A person whose interests may 
be directly

[[Page 12]]

affected by a portion of a meeting may request that the Commission close 
that portion to the public for any of the reasons referred to in 11 CFR 
2.4. The following procedures shall apply to such requests:
    (1) The request must be made in writing and shall be directed to the 
Chairman of the Commission.
    (2) The request shall identify the provisions of 11 CFR 2.4 under 
which the requestor seeks to close all or a portion of the meeting.
    (3) A recorded vote to close the meeting or a portion thereof shall 
be taken.
    (4) Requests made under this section shall become part of the 
official record of the underlying matter and shall be disclosed in 
accordance with 11 CFR 2.6 on completion of the matter.
    (5) If the Commission decides to approve a request to close, the 
Commission will then follow the procedures for closing a meeting set 
forth in 11 CFR 2.5 (a) through (d).

[50 FR 39972, Oct. 1, 1985, as amended at 65 FR 9206, Feb. 24, 2000]



Sec. 2.6  Transcripts and recordings.

    (a) The Commission Secretary shall maintain a complete transcript or 
electronic recording adequate to record fully the proceedings of each 
meeting, or portion of a meeting, closed to public observation. An 
electronic recording of a meeting shall be coded, or other records shall 
be kept in a manner adequate to identify each speaker.
    (b)(1) In the case of any meeting closed pursuant to 11 CFR 2.4(b), 
as the last item of business, the Commission will determine which, if 
any, portions of the electronic recording or transcript and which if 
any, items of information withheld under 11 CFR 2.5 contain information 
which should be withheld pursuant to 11 CFR 2.4.
    (2) Portions of transcripts or recordings determined to be outside 
the scope of any exemptions under 11 CFR 2.6(b)(1) shall be promptly 
made available to the public through the Commission's Public Records 
Office at a cost sufficient to cover the Commission's actual cost of 
duplication or transcription. Requests for such copies shall be made and 
processed in accordance with the provisions of 11 CFR part 5.
    (3) Portions of transcripts or electronic recordings not made 
available immediately pursuant to 11 CFR 2.6(b)(1), and portions of 
transcripts or recordings withheld pursuant to 11 CFR 2.4(a), will be 
made available on request when the relevant exemptions no longer apply. 
Such materials shall be requested and processed under the provisions of 
11 CFR 2.6(b)(2).
    (c) A complete verbatim copy of the transcript or a complete 
electronic recording of each meeting, or portion of a meeting, closed to 
the public, shall be maintained by the Commission Secretary in 
confidential files of the Commission, for a minimum of two years 
subsequent to such meeting, or a minimum of one year after the 
conclusion of any agency proceeding with respect to which the meeting, 
or portion of the meeting was held, whichever occurs later.



Sec. 2.7  Announcement of meetings and schedule changes.

    (a)(1) In the case of each meeting, the Commission shall publicly 
announce and shall submit such announcement for publication in the 
Federal Register at least seven days prior to the day on which the 
meeting is to be called to order. The Commission Secretary shall also 
forward a copy of such announcement for posting in the Commission's 
Public Records Office.
    (2) Announcements made under this section shall contain the 
following information:
    (i) The date of the meeting;
    (ii) The place of the meeting;
    (iii) The subject matter of the meeting;
    (iv) Whether the meeting is to be open or closed to the public; and
    (v) The name and telephone number of the official designated by the 
agency to respond to requests for information about the meeting.
    (b) The public announcement and submission for publication shall be 
made when required by 11 CFR 2.7(a) in the case of every Commission 
meeting unless a majority of the Commissioners decide by recorded vote 
that Commission business requires that the meeting be called at an 
earlier date, in which case the Commission shall make at the

[[Page 13]]

earliest practicable time, the announcement required by this section and 
a concurrent submission for publication of that announcement in the 
Federal Register.
    (c) The time or place of a meeting may be changed following the 
public announcement required by 11 CFR 2.7 (a) or (b) only if the 
Commission announces the change at the earliest practicable time.
    (d) The subject matter of a meeting, or the determination of the 
Commission to open or close a meeting, or portions of a meeting, to the 
public may be changed following the public announcement required by 11 
CFR 2.7 (a) or (b) only if:
    (1) A majority of the entire membership of the Commission determines 
by recorded vote that Commission business so requires and that no 
earlier announcement of the change was possible; and
    (2) The Commission publicly announces the change and the vote of 
each member upon the change at the earliest practicable time. 
Immediately following this announcement, the Commission shall submit for 
publication in the Federal Register a notice containing the information 
required by 11 CFR 2.7(a)(2), including a description of any change from 
the earlier published notice.



Sec. 2.8  Annual report.

    The Commission shall report annually to Congress regarding its 
compliance with the requirements of the Government in the Sunshine Act 
and of this part, including:
    (a) A tabulation of the total number of Commission meetings open to 
the public;
    (b) The total number of such meetings closed to the public;
    (c) The reasons for closing such meetings; and
    (d) A description of any litigation brought against the Commission 
under the Sunshine Act, including any costs assessed against the 
Commission in such litigation (whether or not paid by the Commission).



PART 4--PUBLIC RECORDS AND THE FREEDOM OF INFORMATION ACT--Table of Contents




Sec.
4.1  Definitions.
4.2  Policy on disclosure of records.
4.3  Scope.
4.4  Availability of records.
4.5  Categories of exemptions.
4.6  Discretionary release of exempt records.
4.7  Requests for records.
4.8  Appeal of denial.
4.9  Fees.

    Authority: 5 U.S.C. 552, as amended.

    Source: 44 FR 33368, June 8, 1979, unless otherwise noted.



Sec. 4.1  Definitions.

    As used in this part:
    (a) Commission means the Federal Election Commission, established by 
the Federal Election Campaign Act of 1971, as amended.
    (b) Commissioner means an individual appointed to the Federal 
Election Commission pursuant to 2 U.S.C. 437c(a).
    (c) Request means to seek the release of records under 5 U.S.C. 552.
    (d) Requestor is any person who submits a request to the Commission.
    (e) Act means the Federal Election Campaign Act of 1971, as amended 
by the Federal Election Campaign Act Amendments of 1974, 1976, and 1979, 
and unless specifically excluded, includes chapters 95 and 96 of the 
Internal Revenue Code of 1954 relating to public financing of Federal 
elections.
    (f) Public Disclosure Division of the Commission is that division 
which is responsible for, among other things, the processing of requests 
for public access to records which are submitted to the Commission 
pursuant to 2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), and 438(a).
    (g) Direct costs means those expenditures which the Commission 
actually incurs in searching for and duplicating (and, in the case of 
commercial use requestors, reviewing) documents to respond to a FOIA 
request. Direct costs include the salary of the employee performing the 
work (the basic rate of pay for the employee plus 16 percent of that 
rate to cover benefits) and the cost of operating duplicating equipment. 
Direct costs do not include overhead expenses such as the cost of space 
and

[[Page 14]]

heating or lighting the facility in which the records are stored.
    (h) Search means all time spent reviewing, manually or by automated 
means, Commission records for the purpose of locating those records that 
are responsive to a FOIA request, including page-by-page or line-by-line 
identification of material within documents. Search time does not 
include review of material in order to determine whether the material is 
exempt from disclosure.
    (i) Review means the process of examining a document located in 
response to a commercial use request to determine whether any portion of 
the document located is exempt from disclosure. Review also refers to 
processing any document for disclosure, i.e., doing all that is 
necessary to excise exempt portions of the document and otherwise 
prepare the document for release. Review does not include time spent by 
the Commission resolving general legal or policy issues regarding the 
application of exemptions.
    (j) Duplication means the process of making a copy of a document 
necessary to respond to a FOIA request. Examples of the form such copies 
can take include, but are not limited to, paper copy, microform, audio-
visual materials, or machine readable documentation (e.g., magnetic tape 
or disk).
    (k) Commercial use means a purpose that furthers the commercial, 
trade, or profit interests of the requestor or the person on whose 
behalf the request is made. The Commission's determination as to whether 
documents are being requested for a commercial use will be based on the 
purpose for which the documents are being requested. Where the 
Commission has reasonable cause to doubt the use for which the requestor 
claims to have made the request or where that use is not clear from the 
request itself, the Commission will seek additional clarification before 
assigning the request to a specific category.
    (l) Educational institution means a preschool, a public or private 
elementary or secondary school, an institution of graduate higher 
education, an institution of undergraduate higher education, an 
institution of professional education, and an institution of vocational 
education, which operates a program or programs of scholarly research.
    (m) Non-commercial scientific institution means an organization that 
is not operated on a commercial basis, as that term is defined in 
paragraph (k) of this section, and which is operated solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry.
    (n) Representative of the news media means a person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public. The term news means information that is 
about current events or that would be of current interest to the public. 
Examples of news media entities include, but are not limited to, 
television or radio stations broadcasting to the public at large, and 
publishers of periodicals (but only in those instances when they can 
qualify as disseminators of news, as defined in this paragraph) who make 
their products available for purchase or subscription by the general 
public. A freelance journalist may be regarded as working for a news 
organization and therefore considered a representative of the news media 
if that person can demonstrate a solid basis for expecting publication 
by that news organization, even though that person is not actually 
employed by that organization. The best means by which a freelance 
journalist can demonstrate a solid basis for expecting publication by a 
news organization is by having a publication contract with that news 
organization. When no such contract is present, the Commission will look 
to the freelance journalist's past publication record in making this 
determination.
    (o) Record and any other term used in this part in reference to 
information includes any information that would be a Commission record 
subject to the requirements of this part when maintained by the 
Commission in any format, including an electronic format.

[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 52 
FR 39212, Oct. 21, 1987; 65 FR 9206, Feb. 24, 2000]

[[Page 15]]



Sec. 4.2  Policy on disclosure of records.

    (a) The Commission will make the fullest possible disclosure of 
records to the public, consistent with the rights of individuals to 
privacy, the rights of persons contracting with the Commission with 
respect to trade secret and commercial or financial information entitled 
to confidential treatment, and the need for the Commission to promote 
free internal policy deliberations and to pursue its official activities 
without undue disruption.
    (b) All Commission records shall be available to the public unless 
they are specifically exempt under this part.
    (c) To carry out this policy, the Commission shall designate a 
Freedom of Information Act Officer.



Sec. 4.3  Scope.

    The regulations in this part implement the provisions of the Freedom 
of Information Act, 5 U.S.C. 552, with respect to the availability of 
records for inspection and copying.

[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980]



Sec. 4.4  Availability of records.

    (a) In accordance with 5 U.S.C. 552(a)(2), the Commission shall make 
the following materials available for public inspection and copying:
    (1) Statements of policy and interpretation which have been adopted 
by the Commission;
    (2) Administrative staff manuals and instructions to staff that 
affect a member of the public;
    (3) Opinions of Commissioners rendered in enforcement cases, General 
Counsel's Reports and non-exempt 2 U.S.C. 437g investigatory materials 
shall be placed on the public record of the Agency no later than 30 days 
from the date on which all respondents are notified that the Commission 
has voted to close such an enforcement file;
    (4) Copies of all records, regardless of form or format, which have 
been released to any person under this paragraph (a) and which, because 
of the nature of their subject matter, the agency determines have become 
or are likely to become the subject of subsequent requests for 
substantially the same records; and
    (5) A general index of the records referred to in paragraph (a)(4) 
of this section.
    (b) In accordance with 5 U.S.C. 552(a)(3), the Commission shall make 
available, upon proper request, all non-exempt Agency records, or 
portions of records, not previously made public pursuant to 5 U.S.C. 
552(a)(1) and (a)(2).
    (c) The Commission shall maintain and make available current indexes 
and supplements providing identifying information regarding any matter 
issued, adopted or promulgated after April 15, 1975 as required by 5 
U.S.C. 552(a)(2)(C) and (E).These indexes and supplements shall be 
published and made available on at least a quarterly basis for public 
distribution unless the Commission determines by Notice in the Federal 
Register that publication would be unnecessary, impracticable, or not 
feasible due to budgetary considerations. Nevertheless, copies of any 
index or supplement shall be made available upon request at a cost not 
to exceed the direct cost of duplication.
    (d) The Freedom of Information Act and the provisions of this part 
apply only to existing records; they do not require the creation of new 
records.
    (e) If documents or files contain both disclosable and 
nondisclosable information, the nondisclosable information will be 
deleted and the disclosable information released unless the disclosable 
portions cannot be reasonably segregated from the other portions in a 
manner which will allow meaningful information to be disclosed.
    (f) All records created in the process of implementing provisions of 
5 U.S.C. 552 will be maintained by the Commission in accordance with the 
authority granted by General Records Schedule 14, approved by the 
National Archives and Records Service of the General Services 
Administration.
    (g) The Commission encourages the public to explore the information 
available on the Commission's World Wide Web site, located at http://
www.fec.gov. The site includes a Commission publication, Availability of 
FEC Information, which provides a detailed listing of the types of 
documents available from the FEC, including those

[[Page 16]]

available under FOIA, and directions on how to locate and obtain them.

[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 65 
FR 9206, Feb. 24, 2000]



Sec. 4.5  Categories of exemptions.

    (a) No requests under 5 U.S.C. 552 shall be denied release unless 
the record contains, or its disclosure would reveal, matters that are:
    (1) Specifically authorized under criteria established by an 
executive order to be kept secret in the interest of national defense or 
foreign policy and are in fact properly classified pursuant to such 
Executive order;
    (2) Related solely to the internal personnel rules and practices of 
the Commission;
    (3) Specifically exempted from disclosure by statute, provided that 
such statute (A) requires that the matters be withheld from the public 
in such a manner as to leave no discretion on the issue, or (B) 
establishes particular criteria for withhholding or refers to particular 
types of matters to be withheld;
    (4) Trade secrets and commercial or financial information obtained 
from a person which are privileged or confidential. Such information 
includes confidential business information which concerns or relates to 
the trade secrets, processes, operations, style of works, or apparatus, 
or to the production, sales, shipments, purchases, transfers, 
identification of customers, inventories, or amount of source of income, 
profits, losses, or expenditures of any person, firm, partnership, 
corporation, or other organization, if the disclosure is likely to have 
the effect of either impairing the Commission's ability to obtain such 
information as is necessary to perform its statutory functions, or 
causing substantial harm to the competitive position of the person, 
firm, partnership, corporation, or other organization from which the 
information was obtained, unless the Commission is required by law to 
disclose such information. These procedures shall be used for submitting 
business information in confidence:
    (i) A request for confidential treatment shall be addressed to the 
FOIA officer, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463, and shall indicate clearly on the envelope that it 
is a request for confidential treatment.
    (ii) With each submission of, or offer to submit, business 
information which a submitter desires to be treated as confidential 
under paragraph (a)(4) of this section, the submitter shall provide the 
following, which may be disclosed to the public: (A) A written 
description of the nature of the subject information, and a 
justification for the request for its confidential treatment, and (B) a 
certification in writing under oath that substantially identical 
information is not available to the public.
    (iii) Approval or denial of requests shall be made only by the FOIA 
officer or his or her designees. A denial shall be in writing, shall 
specify the reason therefore, and shall advise the submitter of the 
right to appeal to the Commission.
    (iv) For good cause shown, the Commission may grant an appeal from a 
denial by the FOIA Officer or his or her designee if the appeal is filed 
within fifteen (15) days after receipt of the denial. An appeal shall be 
addressed to the FOIA Officer, Federal Election Commission, 999 E 
Street, NW., Washington, DC 20463 and shall clearly indicate that it is 
a confidential submission appeal. An appeal will be decided within 
twenty (20) days after its receipt (excluding Saturdays, Sundays and 
legal holidays) unless an extension, stated in writing with the reasons 
therefore, has been provided the person making the appeal.
    (v) Any business information submitted in confidence and determined 
to be entitled to confidential treatment shall be maintained in 
confidence by the Commission and not disclosed except as required by 
law. In the event that any business information submitted to the 
Commission is not entitled to confidential treatment, the submitter will 
be permitted to withdraw the tender unless it is the subject of a 
request under the Freedom of Information Act or of judicial discovery 
proceedings.
    (vi) Since enforcement actions under 2 U.S.C. 437g are confidential 
by statute, the procedures outlined in Sec. 4.5(a)(4) (i) thru (v) are 
not applicable.

[[Page 17]]

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

The agency may, during only such time as that circumstance continues, 
treat the records as not subject to the requirements of the Freedom of 
Information Act.
    (c) Any reasonably segregable portion of a record shall be provided 
to any person requesting such record after deletion of the portions 
which are exempt. The amount of information deleted shall be indicated 
on the released portion of the record, unless including that indication 
would harm an interest protected by an exemption in paragraph (a) of 
this section under which the deletion is made. If technically feasible, 
the amount of the information deleted shall be indicated at the place in 
the record where such deletion is made.
    (d) If a requested record is one of another government agency or 
deals with subject matter to which a government agency other than the 
Commission has exclusive or primary responsibility, the request for such 
a record shall be promptly referred by the Commission to that agency for 
disposition or guidance as to disposition.
    (e) Nothing in this part authorizes withholding of information or 
limiting the availability of records to the public, except as 
specifically provided in this part; nor is this part authority to 
withhold information from Congress.

[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985; 52 
FR 23638, June 24, 1987; 52 FR 39212, Oct. 21, 1987; 65 FR 9206, Feb. 
24, 2000]



Sec. 4.6  Discretionary release of exempt records.

    The Commission may, in its discretion, release requested records 
despite the applicability of the exemptions in Sec. 4.5(a), if it 
determines that it is in the public interest and that the rights of 
third parties would not be prejudiced.



Sec. 4.7  Requests for records.

    (a) [Reserved]
    (b)(1) Requests for copies of records pursuant to the Freedom of 
Information Act shall be addressed to FOIA officer, Federal Election 
Commission, 999 E Street, NW., Washington, DC 20463. The request shall 
reasonably describe

[[Page 18]]

the records sought with sufficient specificity with respect to names, 
dates, and subject matter, to permit the records to be located. A 
requester will be promptly advised if the records cannot be located on 
the basis of the description given and that further identifying 
information must be provided before the request can be satisfied.
    (2) Requests for Commission records and copies thereof shall specify 
the preferred form or format (including electronic formats) of the 
response. The Commission shall accommodate requesters as to form or 
format if the record is readily available in that form or format. When 
requesters do not specify the form or format of the response, the 
Commission shall respond in the form or format in which the document is 
most accessible to the Commission.
    (c) The Commission shall determine within twenty working days after 
receipt of a request, or twenty working days after an appeal is granted, 
whether to comply with such request, unless in unusual circumstances the 
time is extended or subject to Sec. 4.9(f)(3), which governs advance 
payments. In the event the time is extended, the requestor shall be 
notified of the reasons for the extension and the date on which a 
determination is expected to be made, but in no case shall the extended 
time exceed ten working days. An extension may be made if it is--
    (1) Necessary to locate records or transfer them from physically 
separate facilities; or
    (2) Necessary to search for, collect, and appropriately examine a 
large quantity of separate and distinct records which are the subject of 
a single request; or
    (3) Necessary for consultation with another agency which has a 
substantial interest in the determination of the request, or with two or 
more components of the Commission which have a substantial subject 
matter interest therein.
    (d) If the Commission determines that an extension of time greater 
than ten working days is necessary to respond to a request satisfying 
the ``unusual circumstances'' specified in paragraph (c) of this 
section, the Commission shall so notify the requester and give the 
requester an opportunity to limit the scope of the request so that it 
may be processed within the time limit prescribed in paragraph (c) of 
this section, or arrange with the Commission an alternative time frame 
for processing the request or a modified request.
    (e) The Commission may aggregate and process as a single request 
requests by the same requester, or a group of requesters acting in 
concert, if the Commission reasonably believes that the requests 
actually constitute a single request that would otherwise satisfy the 
unusual circumstances specified in paragraph (c) of this section, and 
the requests involve clearly related matters.
    (f) The Commission uses a multitrack system to process requests 
under the Freedom of Information Act that is based on the amount of work 
and/or time involved in processing requests. Requests for records are 
processed in the order they are received within each track. Upon receipt 
of a request for records, the Commission shall determine which track is 
appropriate for the request. The Commission may contact requesters whose 
requests do not appear to qualify for the fastest tracks and provide 
such requesters the opportunity to limit their requests so as to qualify 
for a faster track. Requesters who believe that their requests qualify 
for the fastest tracks and who wish to be notified if the Commission 
disagrees may so indicate in the request and, where appropriate and 
feasible, shall also be given an opportunity to limit their requests.
    (g) The Commission shall consider requests for the expedited 
processing of requests in cases where the requester demonstrates a 
compelling need for such processing.
    (1) The term compelling need means:
    (i) That a failure to obtain requested records on an expedited basis 
could reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (ii) With respect to a request made by a person primarily engaged in 
disseminating information, urgency to inform the public concerning 
actual or alleged Federal government activity.

[[Page 19]]

    (2) Requesters for expedited processing must include in their 
requests a statement setting forth the basis for the claim that a 
``compelling need'' exists for the requested information, certified by 
the requester to be true and correct to the best of his or her knowledge 
and belief.
    (3) The Commission shall determine whether to grant a request for 
expedited processing and notify the requester of such determination 
within ten days of receipt of the request. Denials of requests for 
expedited processing may be appealed as set forth in Sec. 4.8. The 
Commission shall expeditiously determine any such appeal. As soon as 
practicable, the Commission shall process the documents responsive to a 
request for which expedited processing is granted.
    (h) Any person denied access to records by the Commission shall be 
notified immediately giving reasons therefore, and notified of the right 
of such person to appeal such adverse determination to the Commission.
    (i) The date of receipt of a request under this part shall be the 
date on which the FOIA Officer actually receives the request.

[44 FR 33368, June 8, 1979, as amended at 45 FR 31292, May 13, 1980; 50 
FR 50778, Dec. 12, 1985; 52 FR 39213, Oct. 21, 1987; 65 FR 9206, Feb. 
24, 2000]



Sec. 4.8  Appeal of denial.

    (a) Any person who has been notified pursuant to Sec. 4.6(d) of this 
part that his/her request for inspection of a record or for a copy has 
been denied, or who has received no response within ten working days (or 
within such extended period as is permitted under Sec. 4.7(c) of this 
part) after the request has been received by the Commission, may appeal 
the adverse determination or the failure to respond by requesting the 
Commission to direct that the record be made available.
    (b) The appeal request shall be in writing, shall clearly and 
prominently state on the envelope or other cover and at the top of the 
first page ``FOIA Appeal'', and shall identify the record in the form in 
which it was originally requested.
    (c) The appeal request should be delivered or addressed to the FOIA 
Officer, Federal Election Commission, 999 E Street, NW., Washington, DC 
20463.
    (d) The requestor may state facts and cite legal or other 
authorities as he/she deems appropriate in support of the appeal 
request.
    (e) For good cause shown, the Commission may disclose a record which 
is subject to one of the exemptions listed in Sec. 4.5 of this part.
    (f) The Commission will make a determination with respect to any 
appeal within twenty days (excluding Saturdays, Sundays and legal 
holidays) after receipt of the appeal (or within such extended period as 
is permitted under Sec. 4.7(c) of this part). If on appeal, the denial 
of the request for a record or a copy is in whole or in part upheld, the 
Commission shall advise the requestor of the denial and shall notify 
him/her of the provisions for judicial review of that determination as 
set forth in 5 U.S.C. 552(a)(4).
    (g) Because of the risk of misunderstanding inherent in oral 
communications, the Commission will not entertain any appeal from an 
alleged denial or failure to comply with an oral request. Any person who 
has orally requested a copy of a record that he/she believes to have 
been improperly denied should resubmit the request in writing as set 
forth in Sec. 4.7.

[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985]



Sec. 4.9  Fees.

    (a) Exceptions to fee charges--(1) General. Except for a commercial 
use requester, the Commission will not charge a fee to any requester for 
the first two hours of search time and the first 100 pages of 
duplication in response to any FOIA request.
    (2) Free computer search time. For purposes of this paragraph, the 
term search time is based on the concept of a manual search. To apply 
this to a search conducted by a computer, the Commission will provide 
the equivalent dollar value of two hours of professional staff time, 
calculated according to paragraph (c)(4) of this section, in computer 
search time. Computer search time is determined by adding the cost of 
the computer connect time actually used for the search, calculated at 
the rate of $25.00 per hour, to the

[[Page 20]]

cost of the operator's salary for the time spent conducting the computer 
search, calculated at the professional staff time rate set forth at 
paragraph (c)(4) of this section.
    (3) Definition of pages. For purposes of this paragraph, the word 
pages refers to paper copies of a standard agency size which will 
normally be 8\1/2\  x  11 or 
8\1/2\  x  14. Thus, while a 
requester would not be entitled to 100 free computer disks, for example, 
a requester would be entitled to 100 free pages of a computer printout.
    (4) Minimum charge. The Commission will not charge a fee to any 
requester when the allowable direct cost of that FOIA request is equal 
to or less than the Commission's cost of routinely collecting and 
processing a FOIA request fee.
    (b) Fee reduction or waiver--(1) The Commission will consider 
requests for the reduction or waiver of any fees assessed pursuant to 
paragraph (c)(1) of this section if it determines, either as a result of 
its own motion or in response to a written submission by the requester, 
that disclosure of the information is in the public interest because it 
is likely to contribute significantly to public understanding of the 
operations or activities of the government and that disclosure of the 
information is not primarily in the commercial interest of the 
requester.
    (2) A request for a reduction or waiver of fees shall be made in 
writing by the FOIA requestor; shall accompany the relevant FOIA request 
so as to be considered timely; and shall include a specific explanation 
as to why the fee for that FOIA request should be reduced or waived, 
applying the standard stated in paragraph (b)(1) of this section to the 
facts of that particular request. In addition, the explanation shall 
include: the requester's (and user's, if the requester and the user are 
different persons or entities) identity, qualifications and expertise in 
the subject area, and ability and intention to disseminate the 
information to the public; and a discussion of any commercial or 
personal benefit that the requestor (and user, if the requestor and user 
are different persons or entities) expects as a result of disclosure, 
including whether the information disclosed would be resold in any form 
at a fee above actual cost.
    (c) Fees to be charged. (1) The FOIA services provided by the 
Commission in response to a FOIA request for which the requestor will be 
charged will depend upon the category of the requestor. The categories 
of FOIA requestors are as follows:
    (i) Commercial use requestors. A requestor of documents for 
commercial use will be assessed reasonable standard charges for the full 
allowable direct costs of searching for, reviewing for release and 
duplicating the records sought, according to the Commission's schedule 
of fees for those services as set forth at paragraph (c)(4) of this 
section. A commercial use requestor is not entitled to two hours of free 
search time nor 100 free pages of duplication of documents.
    (ii) Educational and non-commercial scientific institution 
requestors. The Commission will provide documents to requestors in this 
category for the cost of duplication of the records provided by the 
Commission in response to the request, according to the Commission's 
schedule of fees as set forth at paragraph (c)(4) of this section, 
excluding charges for the first 100 pages of duplication. Requestors in 
this category will not be charged for search time. To be eligible for 
inclusion in this category, requestors must show that the request is 
being made as authorized by and under the auspices of a qualifying 
institution and that the records are not sought for a commercial use, 
but are sought in furtherance of scholarly (if the request is from an 
educational institution) or scientific (if the request is from a non-
commercial scientific institution) research.
    (iii) Requestors who are representatives of the news media. The 
Commission will provide documents to requestors in this category for the 
cost of duplication of the records provided by the Commission in 
response to the request, according to the Commission's schedule of fees 
as set forth at paragraph (c)(4) of this section, excluding charges for 
the first 100 pages of duplication. Requestors in this category will not 
be charged for search time. To be eligible for inclusion in this 
category, the requestor must meet the criteria listed

[[Page 21]]

at 11 CFR 4.1(n) and his or her request must not be made for a 
commercial use. A request for records supporting the news dissemination 
function of the requestor shall not be considered to be a request that 
is for a commercial use.
    (iv) All other requestors. The Commission will charge requestors who 
do not fit into any of the categories listed in paragraph (c)(1)(i), 
(ii) or (iii) of this section the full direct costs of searching for and 
duplicating records in response to the request, according to the 
Commission's schedule of fees as set forth at paragraph (c)(4) of this 
section, excluding charges for the first two hours of search time and 
the first 100 pages of duplication. Requests from record subjects for 
records about themselves will continue to be treated under the fee 
provisions of the Privacy Act of 1974 which permit fees only for 
duplication.
    (2) The Commission may assess fees for the full allowable direct 
costs of searching for documents in response to a request even if the 
Commission fails to locate any documents which are responsive to that 
request and, in the case of commercial use requestors, of reviewing 
documents located in response to a request which the Commission 
determines are exempt from disclosure.
    (3) If the Commission estimates that search or duplication charges 
are likely to exceed $25.00, it will notify the requestor of the 
estimated amount of the fee unless the requestor has indicated in 
advance a willingness to pay a fee as high as that estimated by the 
Commission. Through this notification, the Commission will offer the 
requestor the opportunity to confer with Commission staff to reformulate 
the original request in order to meet the requestor's needs at a lower 
cost.
    (4) The following is the schedule of the Commission's standard fees. 
The cost of staff time will be added to all of the following fees, 
generally at the Professional rate listed below, except for the cost of 
Photocopying from photocopying machines which has been calculated to 
include staff time.

                              Photocopying

Photocopying from photocopying machines--$.07 per page
Photocopying from microfilm reader-printer--$.15 per page
Paper copies from microfilm-paper print machine--$.05 per frame page

                           Reels of Microfilm

Daily film (partial or complete roll)--$2.85 per roll
Other film (partial or complete roll)--$5.00 per roll

            Publications: (new or not from available stocks)

Cost of photocopying document--$.07 per page
Cost of binding document--$.30 per inch

                     Publications: (available stock)

If available from stock on hand, cost is based on previously calculated 
cost as stated in the publication (based on actual cost per copy, 
including reproduction and binding). Commission publications for which 
fees will be charged include, but are not limited to, the following: 
Advisory Opinion Index, Report on Financial Activity, Financial Control 
and Compliance Manual, MUR Index, and Guideline for Presentation in Good 
Order.

                             Computer Tapes

Cost to process the request at the rate of $25.00 per hour connect time 
plus the cost of the computer tape ($25.00) and professional staff time 
(see Staff Time).

               Computer Indexes (including Name Searches)

Cost to process the request at the rate of $25.00 per hour connect time 
plus the cost of professional staff time (see Staff Time).

                               Staff Time

Clerical: $4.50 per each half hour (agency average of staff below a GS-
11) for each request.
Professional: $12.40 per each half hour (agency average of staff at GS-
11 and above) for each request.

                              Other Charges

Certification of a Document: $7.35 per quarter hour.
Transcripts of Commission meetings not previously transcribed: $7.50 per 
half hour (equivalent of a GS-11 executive secretary).
The Commission will not charge a fee for ordinary packaging and mailing 
of records requested. When a request for special mailing or delivery 
services is received the Commission will package the records requested. 
The requestor will make all arrangements for pick-up and delivery of the 
requested materials. The requestor shall

[[Page 22]]

pay all costs associated with special mailing or delivery services 
directly to the courier or mail service.

    (5) Upon receipt of any request for the production of computer tape 
or microfilm, the Commission will advise the requestor of the identity 
of the private contractor who will perform the duplication services. If 
fees are charged for the production of computer tape or microfilm, they 
shall be made payable to that private contractor and shall be forwarded 
to the Commission.
    (d) Interest charges. FOIA requestors should pay fees within 30 days 
following the day on which the invoice for that request was sent to the 
requestor. If the invoice is unpaid on the 31st day following the day on 
which the invoice was sent, the Commission will begin assessing interest 
charges, which will accrue from the date the invoice was mailed. 
Interest will be charged at a rate that is equal to the average 
investment rate for the Treasury tax and loan accounts for the 12-month 
period ending on September 30 of each year, rounded to the nearest whole 
percentage point, pursuant to 31 U.S.C. 3717. The accrual of interest 
will be stayed by the Commission's receipt of the fee, even if the fee 
has not yet been processed.
    (e) Aggregating requests. A requestor may not file multiple 
requests, each seeking portions of a document or documents, in order to 
avoid payment of fees. When the Commission reasonably believes that a 
FOIA requestor or group of requestors acting in concert is attempting to 
break a request down into a series of requests for the purpose of 
evading the assessment of fees, the Commission will aggregate any such 
requests and charge the appropriate fees. In making this determination, 
the Commission will consider the time period in which the requests have 
occurred, the relationship of the requestors, and the subject matter of 
the requests.
    (f) Advance payments. The Commission will require a requestor to 
make an advance payment, i.e., a payment before work is commenced or 
continued on a request, when:
    (1) The Commission estimates or determines that allowable charges 
that a requestor may be required to pay are likely to exceed $250. In 
such a case, the Commission will notify the requestor of the likely cost 
and, where the requestor has a history of prompt payment of FOIA fees, 
obtain satisfactory assurance of full payment, or in the case of a 
requestor with no FOIA fee payment history, the Commission will require 
an advance payment of an amount up to the full estimated charges; or
    (2) A requestor has previously failed to pay a fee in a timely 
fashion (i.e., within 30 days of the date of the billing). In such a 
case, the Commission may require that the requestor pay the full amount 
owed plus any applicable interest or demonstrate that the fee has been 
paid and make an advance payment of the full amount of the estimated fee 
before the Commission begins to process a new request or a pending 
request from that requestor.
    (3) If the provisions of paragraph (f) (1) or (2) of this section 
apply, the administrative time limits prescribed in 11 CFR 4.7(c) will 
begin only after the Commission has received the payments or the 
requestor has made acceptable arrangements to make the payments required 
by paragraph (f) (1) or (2) of this section.

[52 FR 39213, Oct. 21, 1987]



PART 5--ACCESS TO PUBLIC DISCLOSURE DIVISION DOCUMENTS--Table of Contents




Sec.
5.1  Definitions.
5.2  Policy on disclosure of records.
5.3  Scope.
5.4  Availability of records.
5.5  Request for records.
5.6  Fees.

    Authority: 2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), 438(a), and 31 
U.S.C. 9701.

    Source: 45 FR 31293, May 13, 1980, unless otherwise noted.



Sec. 5.1  Definitions.

    (a) Commission means the Federal Election Commission established by 
the Federal Election Campaign Act of 1971, as amended.
    (b) Commissioner means an individual appointed to the Federal 
Election Commission pursuant to 2 U.S.C. 437c(a).
    (c) Request means to seek access to Commission materials subject to 
the

[[Page 23]]

provisions of the Federal Election Campaign Act of 1971, as amended.
    (d) Requestor is any person who submits a request to the Commission.
    (e) Act means the Federal Election Campaign Act, as amended by the 
Federal Election Campaign Act Amendments of 1974, 1976, and 1979, and 
unless specifically excluded, includes chapters 95 and 96 of the 
Internal Revenue Code of 1954 relating to public financing of Federal 
elections.
    (f) Public Disclosure Division of the Commission is that division 
which is responsible for, among other things, the processing of requests 
for public access to records which are submitted to the Commission 
pursuant to 2 U.S.C. 437g(a)(4)(B)(ii), and 438(a).

[45 FR 31293, May 13, 1980, as amended at 65 FR 9207, Feb. 24, 2000]



Sec. 5.2  Policy on disclosure of records.

    (a) The Commission will make the fullest possible disclosure of 
records to the public, consistent with the rights of individuals to 
privacy, the rights of persons contracting with the Commission with 
respect to trade secrets and commercial or financial information 
entitled to confidential treatment, and the need for the Commission to 
promote free internal policy deliberations and to pursue its official 
activities without undue disruption.
    (b) Nothing herein shall be deemed to restrict the public 
availability of Commission records falling outside provisions of the 
Act, or to restrict such public access to Commission records as is 
available pursuant to the Freedom of Information Act and the rules set 
forth as part 4 of this chapter.



Sec. 5.3  Scope.

    (a) The regulations in this part implement the provisions of 2 
U.S.C. 437f(d), 437g(a)(4)(B)(ii), and 438(a).
    (b) Public access to such Commission records as are subject to the 
collateral provisions of the Freedom of Information Act and are not 
included in the material subject to disclosure under this part 
(described in 11 CFR 5.4(a)) shall be governed by the rules set forth as 
part 4 of this chapter.



Sec. 5.4  Availability of records.

    (a) In accordance with 2 U.S.C. 438(a), the Commission shall make 
the following material available for public inspection and copying 
through the Commission's Public Disclosure Division:
    (1) Reports of receipts and expenditures, designations of campaign 
depositories, statements of organization, candidate designations of 
campaign committees and the indices compiled from the filings therein.
    (2) Requests for advisory opinions, written comments submitted in 
connection therewith, and responses issued by the Commission.
    (3) With respect to enforcement matters, any conciliation agreement 
entered into between the Commission and any respondent.
    (4) Opinions of Commissioners rendered in enforcement cases and 
General Counsel's Reports and non-exempt 2 U.S.C. 437g investigatory 
materials shall be placed on the public record of the Agency no later 
than 30 days from the date on which all respondents are notified that 
the Commission has voted to close such an enforcement file.
    (5) Letter requests for guidance and responses thereto.
    (6) The minutes of Commission meetings.
    (7) Material routinely prepared for public distribution, e.g. 
campaign guidelines, FEC Record, press releases, speeches, notices to 
candidates and committees.
    (8) Audit reports (if discussed in open session).
    (9) Agendas for Commission meetings.
    (b) The provisions of this part apply only to existing records; 
nothing herein shall be construed as requiring the creation of new 
records.
    (c) In order to ensure the integrity of the Commission records 
subject to the Act and the maximum availability of such records to the 
public, nothing herein shall be construed as permitting the physical 
removal of any Commission records from the public facilities maintained 
by the Public Disclosure Division other than copies of such records 
obtained in accordance with the provisions of this part.

[[Page 24]]

    (d) Release of records under this section is subject to the 
provisions of 5 U.S.C. 552a.

[45 FR 31293, May 13, 1980, as amended at 65 FR 9207, Feb. 24, 2000]



Sec. 5.5  Request for records.

    (a) A request to inspect or copy those public records described in 
11 CFR 5.4(a) may be made in person or by mail. The Public Disclosure 
Division is open Monday through Friday between the hours of 9 a.m. and 5 
p.m. and is located on the first floor, 999 E Street, NW., Washington, 
DC 20463.
    (b) Each request shall describe the records sought with sufficient 
specificity with respect to names, dates and subject matter to permit 
the records to be located with a reasonable amount of effort. A 
requester will be promptly advised if the requested records cannot be 
located on the basis of the description given and that further 
identifying information must be provided before the request can be 
satisfied.
    (c) Requests for copies of records not available through the Public 
Disclosure Division shall be addressed to the FOIA Officer, Federal 
Election Commission, 999 E Street, NW., Washington, DC 20463. Requests 
for Commission records not described in 11 CFR 5.4(a) shall be treated 
as requests made pursuant to the Freedom of Information Act (5 U.S.C. 
552) and shall be governed by 11 CFR part 4. In the event that the 
Public Disclosure Division receives a written request for access to 
materials not described in 11 CFR 5.4(a), it shall promptly forward such 
request to the Commission FOIA Officer for processing in accordance with 
the provisions of part 4 of this chapter.

[45 FR 31293, May 13, 1980, as amended at 50 FR 50778, Dec. 12, 1985]



Sec. 5.6  Fees.

    (a)(1) Fees will be charged for copies of records which are 
furnished to a requester under this part and for the staff time spent in 
locating and reproducing such records. The fees to be levied for 
services rendered under this part shall not exceed the Commission's 
direct cost of processing requests for those records computed on the 
basis of the actual number of copies produced and the staff time 
expended in fulfilling the particular request, in accordance with the 
following schedule of standard fees:

Photocopying from microfilm reader-printer--$.15 per page
Photocopying from photocopying machines--$.05 per page
Paper copies from microfilm--Paper Print Machine--$.05 per frame/page

                           Reels of Microfilm

Daily film (partial or complete roll)--$2.85 per roll
Other film (partial or complete roll)--$5.00 per roll

            Publications: (new or not from stocks available)

Cost of photocopying (reproducing) document--$.05 per page
Cost of binding document--$.30 per inch
Plus cost of staff research time after first \1/2\ hour (see Research 
Time)

                     Publications: (available stock)

If available from stock on hand, cost is based on previously calculated 
cost as stated in the publication (based on actual cost per copy, 
including reproduction and binding).

                             Computer Tapes:

Cost ($.0006 per Computer Resource Unit Utilized--CRU) to process the 
request plus the cost of the computer tape ($25) and professional staff 
time (see Research Time). The cost varies based upon request.

                            Computer Indexes:

No charge for 20 or fewer requests for computer indexes, except for a 
name search as described below.
C Index--Committee Index of Disclosure Documents--No charge for requests 
of 20 or fewer committee ID numbers. Requests for more than 20 ID 
numbers will cost $.05 for each ID number requested.
E Index (Parts 1-4)--Candidate Index of Supporting Documents--No charge 
for requests of 20 or fewer candidate ID numbers. Requests for more than 
20 ID numbers will cost $.10 for each ID number requested.
D Index--Committee Index or Candidates Supported/Opposed--No charge for 
requests of 20 or fewer committee ID numbers. Requests for more than 20 
ID numbers will cost $.30 for each committee ID number requested.
E Index (Complete)--Candidate Index of Supporting Documents--No charge 
for requests of 20 or fewer committee ID numbers. Requests for more than 
20 ID numbers will cost $2.00 for each candidate ID number requested.

[[Page 25]]

G Index--Selected List of Receipts and Expenditures--No charge for 
requests of 20 or fewer committee ID numbers. Requests for more than 20 
ID numbers will cost $2.00 for each ID number requested.
Other computer index requests for more than 20 ID numbers will cost 
$.0006 per CRU (Computer Resource Unit) utilized.
Name Search--A computer search of an entire individual contributor file 
for contributions made by a particular individual or individuals will 
cost $.0006 per CRU (Computer Resource Unit) utilized.

                     Research Time/Photocopying Time

Clerical: First \1/2\ hour is free; remaining time costs $4.50 per each 
half hour (agency average of staff below a GS-11) for each request.
Professional: First \1/2\ hour is free; remaining time costs $12.40 per 
each half hour (agency average of staff at GS-11 and above) for each 
request.

                              Other Charges

Certification of a Document: $7.35 per quarter hour.
Transcripts of Commission meetings not previously transcribed: $7.50 per 
half hour (equivalent of a GS-11 executive secretary).

    (2) Upon receipt of any request for the production of computer tape 
or microfilm, the Commission will advise the requester of the identity 
of the private contractor who will perform the duplication services. The 
fee for the production of computer tape or microfilm shall be made 
payable to that private contractor and shall be fowarded to the 
Commission.
    (b) Commission publications for which fees will be charged under 11 
CFR 5.6(a) include, but are not limited to, the following:

Advisory Opinion Index
Report on Financial Activity
Financial Control and Compliance Manual
MUR Index
Guideline for Presentation in Good Order
Office Account Index

    (c) In the event the anticipated fees for all pending requests from 
the same requester exceed $25.00, records will not be searched, nor 
copies furnished, until the requester pays, or makes acceptable 
arrangements to pay, the total amount due.
    Similarly, if the records requested require the production of 
microfilm or of computer tapes, the Commission will not instruct its 
contractor to duplicate the records until the requester has submitted 
payment as directed or has made acceptable arrangements to pay the total 
amount due. If any fee is not precisely ascertainable, an estimate will 
be made by the Commission and the requester will be required to forward 
the fee so estimated. In the event any advance payment differs from the 
actual fee, an appropriate adjustment will be made at the time the 
copies are made available by the Commission.
    (d) The Commission may reduce or waive payments of fees hereunder if 
it determines that such waiver or reduction is in the public interest 
because the furnishing of the requested information to the particular 
requester involved can be considered as primarily benefiting the general 
public as opposed to primarily benefiting the person or organization 
requesting the information.

[49 FR 30460, July 31, 1984, as amended at 52 FR 39214, Oct. 21, 1987]



PART 6--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE FEDERAL ELECTION COMMISSION--Table of Contents




Sec.
6.101  Purpose.
6.102  Application.
6.103  Definitions.
6.104-6.109  [Reserved]
6.110  Evaluation.
6.111  Notice.
6.112-6.129  [Reserved]
6.130  General prohibitions against discrimination.
6.131-6.139  [Reserved]
6.140  Employment.
6.141-6.148  [Reserved]
6.149  Program accessibility: Discrimination prohibited.
6.150  Program accessibility: Existing facilities.
6.151  Program accessibility: New construction and alterations.
6.152-6.159  [Reserved]
6.160  Communications.
6.161-6.169  [Reserved]
6.170  Compliance procedures.
6.171-6.999  [Reserved]

    Authority: 29 U.S.C. 794.

[[Page 26]]


    Source: 49 FR 33211, Aug. 22, 1984, unless otherwise noted.



Sec. 6.101  Purpose.

    The purpose of this part is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of handicap in programs 
or activities conducted by Executive agencies or the United States 
Postal Service.



Sec. 6.102  Application.

    This part applies to all programs or activities conducted by the 
Commission.



Sec. 6.103  Definitions.

    For purposes of this part, the term--
    (a) Auxiliary aids means services, including attendant services, or 
devices that enable handicapped persons, including those with impaired 
sensory, manual, or speaking skills to have an equal opportunity to 
participate in, and enjoy the benefits of, programs or activities 
conducted by the Commission. For example, auxiliary aids useful for 
persons with impaired vision include readers, Brailled materials, audio 
recordings, and other similar services and devices. Auxiliary aids 
useful for persons with impaired hearing include telephone handset 
amplifiers, telephones compatible with hearing aids, telecommunication 
devices for deaf persons (TDD's), interpreters, notetakers, written 
materials, and other similar services and devices. Although auxiliary 
aids are explicitly required only by 11 CFR 6.160(a)(1), they may also 
be used to meet other requirements of this part.
    (b) Commission means the Federal Election Commission, 999 E Street, 
NW., Washington, DC 20463.
    (c) Complete complaint means a written statement that contains the 
complainant's name and address and describes the Commission's actions in 
sufficient detail to inform the Commission of the nature and date of the 
alleged violation of section 504. It shall be signed by the complainant 
or by someone authorized to do so on his or her behalf. Complaints filed 
on behalf of classes or third parties shall describe or identify (by 
name, if possible) the alleged victims of discrimination.
    (d) Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property whether owned, leased or 
used on some other basis by the Commission.
    (e) Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment. As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, drug addiction, and 
alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the Commission as 
constituting such a limitation;

[[Page 27]]

    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in 11 CFR 6.103(e)(1) but 
is treated by the agency as having such an impairment.
    (f) Qualified handicapped person means--
    (1) With respect to any Commission program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who, with reasonable accommodation, 
meets the essential eligibility requirements and who can achieve the 
purpose of the program or activity; and
    (2) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity.
    (g) Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Act of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used in 
this part, section 504 applies only to programs or activities conducted 
by the Commission and not to any federally assisted programs or 
activities that it administers.

[49 FR 33211, Aug. 22, 1984, as amended at 50 FR 50778, Dec. 12, 1985]



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.



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

[[Page 28]]

that is not as effective in affording equal opportunity to obtain the 
same result, to gain the same benefit, or to reach the same level of 
achievement as that provided to others;
    (iv) Provide different or separate aids, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aids, benefits, or services that are as 
effective as those provided to others;
    (v) Aid or perpetuate discrimination against a qualified handicapped 
person by providing significant assistance to an agency, organization, 
or person that discriminates on the basis of handicap in providing any 
aid, benefit, or service to beneficiaries of the recipient's program, 
except that this paragraph does not apply to candidates or conventions 
receiving public financing under title 26, United States Code;
    (vi) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vii) Otherwise limit a qualified handicapped person in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) The Commission may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The Commission may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap;
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons; or
    (iii) Perpetuate the discrimination of another agency.
    (4) The Commission may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the Commission; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The Commission, in the selection of procurement contractors, may 
not use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The Commission may not administer a certification program in a 
manner that subjects qualified handicapped persons to discrimination on 
the basis of handicap, nor may the Commission establish requirements for 
the programs or activities of certified entities that subject qualified 
handicapped persons to discrimination on the basis of handicap. However, 
the programs or activities of entities that are certified by the 
Commission are not, themselves, covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive Order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The Commission will administer programs and activities in the 
most integrated setting appropriate to the needs of qualified 
handicapped persons.



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.

[[Page 29]]



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 undertaken to achieve program accessibility, the 
Commission will develop, within six months of the effective date of this 
part, a transition plan setting forth the steps necessary to complete 
such changes. The plan will be developed with the assistance of 
interested persons, including handicapped persons and organizations 
representing handicapped persons. A copy of the transition plan will be 
made available for public inspection. The plan will, at a minimum--
    (1) Identify physical obstacles in the Commission's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer

[[Page 30]]

than one year, identify steps that will be taken during each year of the 
transition period;
    (4) Indicate the official responsible for implementation of the 
plan; and
    (5) Identify the persons or groups with whose assistance the plan 
was prepared.



Sec. 6.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constucted or altered 
by, on behalf of, or for the use of the Commission shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act, 42 U.S.C. 4151-4157, as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



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 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

[[Page 31]]

be vested in the Rehabilitation Act Officer.
    (d)(1)(i) Any person who believes that he or she or any specific 
class of persons of which he or she is a member has been subjected to 
discrimination prohibited by this part may file a complaint with the 
Rehabilitation Act Officer.
    (ii) Any person who believes that a denial of his or her services 
will result or has resulted in discrimination prohibited by this part 
may file a complaint with the Rehabilitatin Act Officer.
    (2) All complete complaints must be filed within 180 days of the 
alleged act of discrimination. The Commission may extend this time 
period for good cause.
    (3) Complaints filed under this part shall be addressed to the 
Rehabilitation Act Officer, 999 E Street, NW., Washington, DC 20463.
    (e) The Commission will notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), are not readily 
accessible and usable to handicapped persons.
    (f)(1) The Commission will accept and investigate a complete 
complaint that is filed in accordance with paragraph (d) of this section 
and over which it has jurisdiction. The Rehabilitation Act Officer will 
notify the complainant and the respondent of receipt and acceptance of 
the complaint.
    (2) If the Rehabilitation Act Officer receives a complaint that is 
not complete (See 11 CFR 6.101(c)), he or she will notify the 
complainant within 30 days of receipt of the incomplete complaint, that 
additional information is needed. If the complainant fails to complete 
the complaint within 30 days of receipt of this notice, the 
Rehabilitation Act Officer will dismiss the complaint without prejudice.
    (3) If the Rehabilitation Act Officer receives a complaint over 
which the Commission does not have jurisdiction, the Commission will 
promptly notify the complainant and will make reasonable efforts to 
refer the complaint to the appropriate governmental entity.
    (g) Within 180 days of receipt of a complete complaint for which it 
has jurisdiction, the Commission will notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description or a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the Commission of the letter required by Sec. 6.170(g). The Commission 
may extend this time for good cause.
    (i) Timely appeals to the Commission shall be addressed to the 
Rehabilitation Act Officer, Federal Election Commission, 999 E Street, 
NW., Washington, DC 20463.
    (j) The Commission will notify the complainant of the results of the 
appeal within 60 days of the receipt of the request. If the Commission 
determines that it needs additional information from the complainant, it 
shall have 60 days from the date it receives the additional information 
to make its determination on the appeal.
    (k) The Commission may extend the time limits in paragraphs (g) and 
(j) of this section for good cause.
    (l) The Commission may delegate its authority for conducting 
complaint investigations to other Federal agencies, except that the 
authority for making the final determination may not be delegated.

[49 FR 33211, Aug. 22, 1984, as amended at 50 FR 50778, Dec. 12, 1985]



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.

[[Page 32]]

  Subpart B--Conduct and Responsibilities of Employees or Commissioners

7.7  Prohibited conduct--General.
7.8  Gifts, entertainment, and favors.
7.9  Outside employment or activities.
7.10  Financial interests.
7.11  Political and organization activity.
7.12  Membership in associations.
7.13  Use of Government property.
7.14  Prohibition against making complaints and investigations public.
7.15  Ex parte communications.
7.16  Miscellaneous statutory provisions.

 Subpart C--Conduct and Responsibilities of Special Commission Employees

7.17  Use of Commission employment.
7.18  Use of inside information.
7.19  Coercion.
7.20  Gifts, entertainment, and favors.
7.21  Miscellaneous statutory provisions.

    Subpart D--Post Employment Conflict of Interest: Procedures for 
                 Administrative Enforcement Proceedings

7.22  Scope.
7.23  Initiation of investigation.
7.24  Conduct of preliminary investigation.
7.25  Initiation of administrative disciplinary proceeding.
7.26  Notice to former employee.
7.27  Hearing examiner designation and qualifications.
7.28  Hearing date.
7.29  Hearing rights of former employee.
7.30  Hearing procedures.
7.31  Examiner's decision.
7.32  Appeal.
7.33  Administrative sanctions.

    Authority: 5 U.S.C. 7321 et seq.; 18 U.S.C. 207.

    Source: 51 FR 34446, Sept. 29, 1986, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 7.1  Purpose and applicability.

    (a) The Federal Election Commission is committed to honest, 
independent and impartial monitoring and enforcement of federal election 
law. To ensure public trust in the fairness and integrity of the federal 
elections process, all employees must observe the highest standards of 
conduct. This part prescribes standards of ethical conduct for 
Commissioners, employees and special Government employees of the Federal 
Election Commission relating to conflicts of interest arising out of 
outside employment, private business and professional activities, 
political activities, and financial interests. The avoidance of 
misconduct and conflicts of interest on the part of Commission employees 
through informed judgment is indispensable to the maintenance of these 
prescribed ethical standards. Attainment of these goals necessitates 
strict and absolute fairness and impartiality in the administration of 
the law.
    (b) This part applies to all persons included within the terms 
employee and special Commission employees of the Commission as defined 
in 11 CFR 7.2, except to the extent otherwise indicated herein, and is 
consistent with Executive Order 11222 and part 735 of title 5, Code of 
Federal Regulations, relating to employee responsibilities and conduct.
    (c) These Standards of Conduct shall be construed in accordance with 
any applicable laws, regulations and agreements between the Federal 
Election Commission and a labor organization.



Sec. 7.2  Definitions.

    As used in this part:
    (a) Commission means the Federal Election Commission, 999 E Street, 
NW., Washington, DC 20463.
    (b) Commissioner means a voting member of the Federal Election 
Commission, in accordance with 2 U.S.C. 437c.
    (c) Conflict of interest means a situation in which an employee's 
private interest is inconsistent with the efficient and impartial 
conduct of his or her official duties and responsibilities.
    (d) Designated Agency Ethics Officer or Ethics Officer means the 
employee designated by the Commission to administer the provisions of 
the Ethics in Government Act of 1978 (Pub. L. 95-521), as amended, and 
includes a designee of the Ethics Officer.
    (e) Employee means an employee of the Federal Election Commission, 
but does not include a special Commission employee.
    (f) Former employee means one who was, and is no longer, an employee 
of the Commission.
    (g) Official responsibility means the direct administrative or 
operating authority, whether intermediate or final,

[[Page 33]]

to approve, disapprove, or otherwise direct Commission action. Official 
responsibility may be exercised alone or with others and either 
personally or through subordinates.
    (h) Outside employment or other outside activity means any work, 
service or other activity performed by an employee, but not a 
Commissioner, other than in the performance of the employee's official 
duties. It includes such activities as writing and editing, publishing, 
teaching, lecturing, consulting, self-employment, and other services or 
work performed, with or without compensation.
    (i) Person means an individual, corporation, company, association, 
firm, partnership, society, joint stock company, political committee, or 
other group, organization, or institution.
    (j) Special Commission employee means an individual who is retained, 
designated, appointed or employed by the Federal Election Commission to 
perform, with or without compensation, temporary duties either on a 
full-time or intermittent basis, for not to exceed 130 days during any 
period of 365 consecutive days, as defined at 18 U.S.C. 202.



Sec. 7.3  Notification to employees and special Commission employees.

    (a) The provisions of this part shall be brought to the attention 
of, and made available to, each employee and special Commission employee 
by furnishing a copy at the time of final publication. The provisions of 
this part shall further be brought to the attention of such employees at 
least annually thereafter.
    (b) The provisions of this part shall be brought to the attention of 
each new employee and new special Commission employee by furnishing a 
copy at the time of entrance of duty, and by such other methods of 
information and education as the Ethics Officer may prescribe.



Sec. 7.4  Interpretation and advisory service.

    A Commissioner or employee seeking advice and guidance on questions 
of conflict of interest and on other matters covered by this part should 
consult with the Commission's General Counsel, who serves as Ethics 
Officer. The Ethics Officer should be consulted prior to the undertaking 
of any action which might violate this part governing the conduct of 
Commissioners or employees.



Sec. 7.5  Reporting suspected violations.

    (a) Personnel who have information which causes them to believe that 
there has been a violation of a statute or policy set forth in this part 
should promptly report such incident to the Ethics Officer. If a report 
is made orally, the Ethics Officer shall require a written report from 
the complainant before proceeding further.
    (b) When information available to the Commission indicates a 
conflict between the interests of an employee or special Commission 
employee and the performance of his or her Commission duties, the 
employee or special Commission employee shall be provided an opportunity 
to explain the conflict or appearance of conflict in writing.



Sec. 7.6  Disciplinary and other remedial action.

    (a) A violation of this part by an employee or special Commission 
employee may be cause for appropriate disciplinary action which may be 
in addition to any penalty prescribed by law.
    (b) When the Ethics Officer determines that an employee may have or 
appears to have a conflict of interest, the Ethics Officer, the 
employee's supervisor, the employee's division head, and the Staff 
Director or General Counsel may question the employee in the matter and 
gather other information. The Ethics Officer, the employee's supervisor, 
the employee's division head, and the Staff Director or General Counsel 
shall discuss with the employee possible ways of eliminating the 
conflict or appearance of conflict. If the Ethics Officer, after 
consultation with the employee's supervisor, the employee's division 
head, and the Staff Director or General Counsel, concludes that remedial 
action should be taken, he or she shall refer a statement to the 
Commission containing his or her recommendation for such action. The 
Commission, after consideration of the employee's explanation and the 
results

[[Page 34]]

of any investigation, may direct appropriate remedial action as it deems 
necessary.
    (c) Remedial action pursuant to paragraph (b) of this section may 
include, but is not limited to:
    (1) Changes in assigned duties;
    (2) Divestment by the employee of his or her conflicting interest;
    (3) Disqualification for a particular action; or
    (4) Disciplinary action.



  Subpart B--Conduct and Responsibilities of Employees or Commissioners



Sec. 7.7  Prohibited conduct--General.

    A Commissioner or employee shall avoid any action whether or not 
specifically prohibited by this subpart which might result in, or create 
the appearance of:
    (a) Using public office for unlawful private gain;
    (b) Giving favorable or unfavorable treatment to any person or 
organization due to any partisan, political, or other consideration;
    (c) Impeding Government efficiency or economy;
    (d) Losing independence or impartiality;
    (e) Making a Government decision outside official channels; or
    (f) Affecting adversely the confidence of the public in the 
integrity of the Government.



Sec. 7.8  Gifts, entertainment, and favors.

    (a) A Commissioner or employee of the Federal Election Commission 
shall not solicit or accept, directly or indirectly, any gift, gratuity, 
favor, entertainment, loan, or any other thing of monetary value, from a 
person who:
    (1) Has, or is seeking to obtain, contractual or other business or 
financial relations with the Commission;
    (2) Conducts operations or activities that are regulated or examined 
by the Commission; or
    (3) Has interests that may be substantially affected by the 
performance or nonperformance of the Commissioner or employee's official 
duty.
    (b) Paragraph (a) of this section shall not apply:
    (1) Where obvious family or personal relationships govern when the 
circumstances make it clear that it is those relationships rather than 
the business of the persons concerned which are the motivating factors;
    (2) To the acceptance of food, refreshments, and accompanying 
entertainment of nominal value in the ordinary course of a social 
occasion or a luncheon or dinner meeting or other function where a 
Commissioner or an employee is properly in attendance;
    (3) To the acceptance of unsolicited advertising or promotional 
material or other items of nominal intrinsic value such as pens, 
pencils, note pads, calendars; and
    (4) To the acceptance of loans from banks or other financial 
institutions on customary terms to finance proper and usual activities, 
such as home mortgage loans.
    (c) A Commissioner or an employee shall not solicit a contribution 
from another employee for a gift to an official superior, make a 
donation as a gift to an official superior, or accept a gift from an 
employee receiving less pay than himself or herself. However, this 
paragraph does not prohibit a voluntary gift of nominal value or 
donation in a nominal amount made on a special occasion such as 
birthday, holiday, marriage, illness, or retirement.
    (d) A Commissioner or employee shall not accept a gift, present, 
decoration, or other thing from a foreign government unless authorized 
by Congress as provided by the Constitution and in section 7342 of title 
5, United States Code.
    (e) Neither this section nor 11 CFR 7.7 precludes a Commissioner or 
employee from receipt of a bona fide reimbursement, unless prohibited by 
law, for expenses of travel and such other necessary subsistence as is 
compatible with this part for which no Government payment or 
reimbursement is made. However, this section does not allow an employee 
or Commissioner to be reimbursed, or payment to be made on his or her 
behalf, for excessive personal living expenses, gifts, entertainment, or 
other personal benefits, nor does it allow an employee to be reimbursed 
by a person for travel on official

[[Page 35]]

business under agency orders when reimbursement is proscribed by 
Decision B-128527 of the Comptroller General dated March 7, 1967 (46 
Comp. Gen. 689).



Sec. 7.9  Outside employment or activities.

    (a) A member of the Commission shall not devote a substantial 
portion of his or her time to any other business, vocation, or 
employment. Any individual who is engaging substantially in any other 
business, vocation, or employment at the time such individual begins to 
serve as a member of the Commission shall appropriately limit such 
activity no later than 90 days after beginning to serve as such a 
member.
    (b) An employee shall not engage in outside employment that is not 
compatible with the full discharge of his or her Government employment 
and not in compliance with any labor-management agreement between the 
Federal Election Commission and a labor organization. Incompatible 
outside employment or other activities include but are not limited to:
    (1) Outside employment or other activities which would involve the 
violation of a Federal or State statute, local ordinance, Executive 
Order, or regulation to which the employee is subject;
    (2) Outside employment or other activities which would give rise to 
a real or apparent conflict of interest situation even though no 
violation of a specific statutory provision was involved;
    (3) Acceptance of a fee, compensation, gift, payment of expense, or 
any other thing of monetary value in circumstances where acceptance may 
result in, or create the appearance of, a conflict of interest;
    (4) Outside employment or other activities that might bring 
discredit upon the Government or Commission;
    (5) Outside employment or other activities that establish 
relationships or property interests that may result in a conflict 
between the employee's private interests and official duties;
    (6) Outside employment or other activities which would involve any 
contractor or subcontractor connected with any work performed for the 
Commission or would involve any person or organization in a position to 
gain advantage in its dealings with the Government through the 
employee's exercise of his or her official duties;
    (7) Outside employment of other activities that may be construed by 
the public to be the official acts of the Federal Election Commission. 
In any permissible outside employment, care shall be taken to ensure 
that names and titles of employees are not used to give the impression 
that the activity is officially endorsed or approved by the Commission 
or is part of the Commission's activities;
    (8) Outside employment or other activities which would involve use 
by an employee of his or her official duty time; use of official 
facilities, including office space, machines, or supplies, at any time; 
or use of the services of other employees during their official duty 
hours;
    (9) Outside employment or other activities which tend to impair the 
employee's mental or physical capacities to perform Commission duties 
and responsibilities in an acceptable manner; or
    (10) Use of information obtained as a result of Government 
employment which is not freely available to the general public or would 
not be made available upon request. However, written authorization for 
the use of any such information may be given when the Commission 
determines that such use would be in the public interest.
    (c) An employee shall not receive any salary or anything of monetary 
value from a private source as compensation for his or her services to 
the Government in violation of 18 U.S.C. 209.
    (d) Employees are encouraged to engage in teaching, lecturing, and 
writing that is not prohibited by law, Executive Order 11222, or this 
part. However, an employee shall not, either for or without 
compensation, engage in teaching or writing that is dependent on 
information obtained as a result of his or her Commission employment, 
except when that information has been made available to the general 
public or will be made available on request, or when the Commission 
gives written authorization for the use of nonpublic information on the 
basis that the use is in the public interest.

[[Page 36]]

    (e) This section does not preclude an individual from participation 
in the affairs of or acceptance of an award for meritorious public 
contribution or achievement given by a charitable, religious, 
professional, social, fraternal, nonprofit educational, recreational, 
public service or civic organization.
    (f) An employee of the Office of General Counsel who intends to 
engage in outside employment shall obtain the approval of the General 
Counsel/Ethics Officer. All other employees who intend to engage in 
outside employment shall obtain the approval of the Staff Director prior 
to review and approval by the Ethics Officer. The request shall include 
the name of the person, group, or organization for whom the work is to 
be performed, the nature of the services to be rendered, the proposed 
hours of work, or approximate dates of employment, and the employee's 
certification as to whether the outside employment (including teaching, 
writing or lecturing) will depend in any way on information obtained as 
a result of the employee's official Government position. The employee 
will receive notice of approval or disapproval of any written request in 
accordance with any labor-management agreement between the Commission 
and a labor organization. A record of the approval shall be placed in 
each employee's official personnel folder.



Sec. 7.10  Financial interests.

    (a)(1) A Commissioner or employee shall not engage in, directly or 
indirectly, a financial transaction as a result of, or primarily relying 
on, information obtained through his or her Commission employment.
    (2) A Commissioner or employee shall not have a direct or indirect 
financial interest that conflicts substantially, or appears to conflict 
substantially, with his or her Commission duties and responsibilities, 
except in cases where the Commissioner or employee makes full 
disclosure, and the Commissioner or employee disqualifies himself or 
herself from participating in any decisions, approval, disapproval, 
recommendation, the rendering of advice, investigation, or otherwise in 
any proceeding of the Commission in which the financial interest is or 
appears to be affected. The filing of public financial disclosure 
reports will constitute full disclosure for all individuals who are 
required to file such reports pursuant to the Ethics in Government Act. 
Until such time as the extent, shape and form of confidential financial 
disclosure reports required of employees by the Ethics in Government Act 
has been determined, full disclosure by an employee will require that 
that employee submit a written statement to the Ethics Officer 
disclosing the particular financial interest which conflicts 
substantially, or appears to conflict substantially, with the employee's 
duties and responsibilities.
    (3) A Commissioner or employee should disqualify himself or herself 
from a proceeding in which his or her impartiality might reasonably be 
questioned where the Commissioner or employee knows that he or she, or 
his or her spouse, has an interest in the subject matter in controversy 
or is a party to the proceeding, or any other interest that could be 
substantially affected by the outcome of the proceeding.
    (b) This section does not preclude a Commissioner or employee from 
having a financial interest or engaging in financial transactions to the 
same extent as a private citizen not employed by the Government provided 
that the activity is not prohibited by law, Executive Order 11222, or 
Commission regulations.



Sec. 7.11  Political and organization activity.

    (a) Due to the Federal Election Commission's role in the political 
process, the following restrictions on political activities are required 
in addition to those imposed by the Hatch Act (5 U.S.C. 7324 et seq.):
    (1) No Commissioner or employee should publicly support a candidate, 
political party, or political committee subject to the jurisdiction of 
the Commission. No Commissioner or employee should work for a candidate, 
political party or political committee subject to the jurisdiction of 
the Commission. Commissioners and employees should be aware that 
contributing to candidates, political parties, or political committees 
subject to the jurisdiction

[[Page 37]]

of the Commission is likely to result in a conflict of interest.
    (2) No Commissioner or employee shall display partisan buttons, 
badges or other insignia on Commission premises.
    (b) Special Government employees are subject to the restrictions 
contained in this section for the entire 24 hours of any day on which 
the employee is on active duty status.
    (c) Employees on leave, leave without pay, or on furlough or 
terminal leave, even though the employees' resignations have been 
accepted, are subject to the restrictions of this section. A separated 
employee who has received a lump-sum payment for annual leave, however, 
is not subject to the restrictions during the period covered by the 
lump-sum payment or thereafter, provided he or she does not return to 
Federal employment during that period. An employee is not permitted to 
take a leave of absence to work with a political candidate, committee, 
or organization or become a candidate for office despite any 
understanding that he or she will resign his or her position if 
nominated or elected.
    (d) An employee is accountable for political activity by another 
person acting as his or her agent or under the employee's direction or 
control if the employee is thus accomplishing what he or she may not 
lawfully do directly and openly.



Sec. 7.12  Membership in associations.

    Commissioners or employees who are members of nongovernmental 
associations or organizations shall avoid activities on behalf of those 
associations or organizations that are incompatible with their official 
governmental positions.



Sec. 7.13  Use of Government property.

    A Commission or employee shall not directly or indirectly use, or 
allow the use of, Government property of any kind, including property 
leased to the Government, for other than officially approved activities. 
Commissioners and employees have a positive duty to protect and conserve 
Government property including equipment, supplies, and other property 
entrusted or issued to him or her.



Sec. 7.14  Prohibition against making complaints and investigations public.

    (a) Commission employees are warned that they are subject to 
criminal penalties if they discuss or otherwise make public any matters 
pertaining to a complaint or investigation under 2 U.S.C. 437g, without 
the written permission of the person complained against or being 
investigated. Such communications are prohibited by 2 U.S.C. 
437g(a)(12)(A).
    (b) 2 U.S.C. 437g(a)(12)(B) provides as follows: ``Any member or 
employee of the Commission or any other person, who violates the 
provisions of subparagraph (A) shall be fined not more than $2,000. Any 
such member, employee, or other person who knowingly and willfully 
violates this subsection shall be fined not more than $5,000.''



Sec. 7.15  Ex parte communications.

    In order to avoid the possibility of prejudice, real or apparent, to 
the public interest in enforcement actions pending before the Commission 
pursuant to 2 U.S.C. 437g(A) (1) or (2):
    (a) Except to the extent required for the disposition of ex parte 
matters as required by law (as, for example, during the normal course of 
an investigation or a conciliation effort), no Commissioner or employee 
involved in the decisional process shall make or entertain any ex parte 
communications.
    (b) The prohibition of this section shall apply from the time a 
complaint is filed with the Commission pursuant to 2 U.S.C. 437(a)(1) or 
from the time that the Commission determines on the basis of information 
ascertained in the normal course of its supervisory responsibilities 
that it has reason to believe that a violation has occurred or may occur 
pursuant to 2 U.S.C. 437g(a)(2), and shall remain in force until the 
Commission has concluded all action with respect to the enforcement 
matter in question.
    (c) Any written communication prohibited by paragraph (a) of this 
section shall be delivered to the Ethics Officer of the Commission who 
shall place the communication in the file of the case.
    (d) A Commissioner or employee, other than the employee assigned to 
the case, involved in handling enforcement actions who receives an oral 
offer

[[Page 38]]

or any communication concerning any enforcement action pending before 
the Commission as described in paragraph (a) of this section shall 
decline to listen to such communication. If unsuccessful in preventing 
the communication, the Commissioner or employee shall advise the person 
making the communication that he or she will not consider the 
communication and shall prepare a statement setting forth the substance 
and circumstances of the communication within 48 hours of receipt of the 
communication and shall deliver the statement to the Ethics Officer for 
placing in the file in the manner set forth in paragraph (c) of this 
section.



Sec. 7.16  Miscellaneous statutory provisions.

    Each employee shall acquaint himself or herself with each statute 
that relates to his or her ethical and other conduct as an employee of 
the Commission and of the Government. In particular, the attention of 
employees is directed to the following statutory provisions:
    (a) Chapter 11 of title 18, United States Code, relating to bribery, 
graft, and conflicts of interest, as appropriate to the employees 
concerned.
    (b) The prohibition of 18 U.S.C. 1913 against lobbying with 
appropriated funds.
    (c) The prohibitions of 5 U.S.C. 7311 and 18 U.S.C. 1918 against 
disloyalty and striking.
    (d) The prohibition of 50 U.S.C. 784 against the employment of a 
member of a Communist organization.
    (e) The prohibitions against (1) the disclosure of classified 
information under 18 U.S.C. 798 and 50 U.S.C. 782 and (2) the disclosure 
of confidential business information under 18 U.S.C. 1905.
    (f) The provisions of 5 U.S.C. 7352 relating to the habitual use of 
intoxicants to excess.
    (g) The prohibition of 31 U.S.C. 638a(c) against the misuse of a 
Government vehicle.
    (h) The prohibition of 18 U.S.C. 1719 against the misuse of the 
franking privilege.
    (i) The prohibition of 18 U.S.C. 1917 against the use of deceit in 
an examination or personnel action in connection with Government 
employment.
    (j) The prohibition of 18 U.S.C. 1001 against fraud or false 
statements in a Government matter.
    (k) The prohibition of 18 U.S.C. 2071 against mutilating or 
destroying a public record.
    (l) The prohibition of 18 U.S.C. 508 against counterfeiting and 
forging transportion requests.
    (m) The prohibitions against
    (1) Embezzlement of Government money or property under 18 U.S.C. 
641;
    (2) Failing to account for public money under 18 U.S.C. 643; and
    (3) Embezzlement of the money or property of another person in the 
possession of an employee by reason of his or her employment under 18 
U.S.C 654.
    (n) The prohibition of 18 U.S.C. 285 against unauthorized use of 
documents relating to claims from or by the Government.
    (o) The prohibitions against political activities in subchapter III 
of chapter 73 of title 5, United States Code, and 18 U.S.C 602, 603, 
607, and 608.
    (p) The prohibition of 18 U.S.C. 219 against an employee acting as 
the agent of a foreign principal registered under the Foreign Agents 
Registration Act.
    (q) The prohibition of 18 U.S.C. 207 against certain activities of 
departing and former employees.
    (r) The prohibition of 18 U.S.C. 208 against certain acts affecting 
a personal financial interest.



 Subpart C--Conduct and Responsibilities of Special Commission Employees



Sec. 7.17  Use of Commission employment.

    A special Commission employee shall not use his or her Commission 
employment for a purpose that is, or gives the appearance of being, 
motivated by a desire for unlawful private gain for himself or herself, 
or for another person, particularly one with whom the employee has 
family, business or financial ties.

[[Page 39]]



Sec. 7.18  Use of inside information.

    (a) A special Commission employee shall not use inside information 
obtained as a result of his or her Commission employment for unlawful 
private gain for himself or herself, or for another person, either by 
direct action on the employee's part or by counsel, recommendation, or 
suggestion to another person, particularly one with whom the employee 
has family, business, or financial ties. For the purpose of this 
section, inside information means information obtained under Commission 
authority which has not become part of the body of public information.
    (b) A special Commission employee may teach, lecture, or write in a 
manner consistent with 11 CFR 7.9 (d) and (e).



Sec. 7.19  Coercion.

    A special Commission employee shall not use his or her Commission 
employment to coerce, or give the appearance of coercing, a person to 
provide unlawful financial benefit to himself or herself or to another 
person, particularly one with whom the employee has family, business, or 
financial ties.



Sec. 7.20  Gifts, entertainment, and favors.

    Except as provided at 11 CFR 7.8(b), a special Commission employee, 
while so employed or in connection with his or her employment, shall not 
receive or solicit from a person having business with the Commission 
anything of value such as a gift, gratuity, loan, entertainment, or 
favor for himself or herself, or for another person, particularly one 
with whom the employee has family, business, or financial ties.



Sec. 7.21  Miscellaneous statutory provisions.

    Each special Commission employee shall acquaint himself or herself 
with each statute that relates to his or her ethical or other conduct as 
a special Commission employee. Particular attention should be directed 
to the statutory provisions listed in 11 CFR 7.16.



    Subpart D--Post Employment Conflict of Interest: Procedures for 
                 Administrative Enforcement Proceedings



Sec. 7.22  Scope.

    The following are procedures to be followed by the Federal Election 
Commission in investigating and administratively correcting violations 
of the post employment conflict of interest provisions contained in 18 
U.S.C. 207 (a), (b), and (c), which restrict activities of former 
employees, including former special Commission employees, which might 
give the appearance of undue benefit based on prior Commission 
employment and affiliation. Where appropriate for purposes of this 
subpart, former special Commission employee shall be defined in 
accordance with 18 U.S.C. 207(c)(1).



Sec. 7.23  Initiation of investigation.

    (a) Filing of complaint. (1) Any person who believes a former 
employee has violated the post employment conflict of interest 
provisions of 18 U.S.C. 207 (a), (b), or (c), or 5 CFR part 737 may file 
a signed complaint with the Ethics Officer.
    (2) The Ethics Officer, within five days after receipt of the 
complaint, shall send a copy of the complaint by certified mail to the 
former employee named in the complaint. The former employee may, within 
ten days after receipt of the complaint, submit any written legal or 
factual materials he or she believes demonstrate that the complaint 
should be dismissed on its face.
    (b) Review of complaint. (1) The Ethics Officer will review the 
complaint and any materials submitted by the former employee, and will 
prepare a report to the Commission recommending whether the complaint 
should be investigated or should be dismissed on its face.
    (2) If the Commission, by an affirmative vote of four members, finds 
that the complaint appears to be substantiated, it may order an 
investigation of the allegations made in the complaint.

[[Page 40]]

    (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 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.

[[Page 41]]

    (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 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

[[Page 42]]

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 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

[[Page 43]]

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.



            Subpart B--National Mail Voter Registration Form



Sec. 8.3  General information.

    (a) The national mail voter registration form shall consist of three 
components: An application, which shall contain appropriate fields for 
the applicant to provide all of the information required or requested 
under 11 CFR 8.4; general instructions for completing the application; 
and accompanying state-specific instructions.
    (b) The state-specific instructions shall contain the following 
information for each state, arranged by state: the address where the 
application should be mailed and information regarding the state's 
specific voter eligibility and registration requirements.
    (c) States shall accept, use, and make available the form described 
in this section.

[[Page 44]]



Sec. 8.4  Contents.

    (a) Information about the applicant.
    The application shall provide appropriate fields for the 
applicant's:
    (1) Last, first, and middle name, any suffix, and (optional) any 
prefix;
    (2) Address where the applicant lives including: street number and 
street name, or rural route with a box number; apartment or unit number; 
city, town, or village name; state; and zip code; with instructions to 
draw a locational map if the applicant lives in a rural district or has 
a non-traditional residence, and directions not to use a post office box 
or rural route without a box number;
    (3) Mailing address if different from the address where the 
applicant lives, such as a post office box, rural route without a box 
number, or other street address; city, town, or village name; state; and 
zip code;
    (4) Month, day, and year of birth;
    (5) Telephone number (optional); and
    (6) Voter identification number as required or requested by the 
applicant's state of residence for election administration purposes.
    (i) The application shall direct the applicant to consult the 
accompanying state-specific instructions to determine what type of voter 
identification number, if any, is required or requested by the 
applicant's state.
    (ii) For each state that requires the applicant's full social 
security number as its voter identification number, the state's Privacy 
Act notice required at 11 CFR 8.6(c) shall be reprinted with the 
instructions for that state.
    (7) Political party preference, for an applicant in a closed primary 
state.
    (i) The application shall direct the applicant to consult the 
accompanying state-specific instructions to determine if the applicant's 
state is a closed primary state.
    (ii) The accompanying instructions shall state that if the applicant 
is registering in a state that requires the declaration of party 
affiliation, then failure to indicate a political party preference, 
indicating ``none'', or selecting a party that is not recognized under 
state law may prevent the applicant from voting in partisan races in 
primary elections and participating in political party caucuses or 
conventions, but will not bar an applicant from voting in other 
elections.
    (8) Race/ethnicity, if applicable for the applicant's state of 
residence. The application shall direct the applicant to consult the 
state-specific instructions to determine whether race/ethnicity is 
required or requested by the applicant's state.
    (b) Additional information required by the Act. (42 U.S.C. 1973gg-
7(b) (2) and (4)). The form shall also:
    (1) Specify each eligibility requirement (including citizenship). 
The application shall list U.S. Citizenship as a universal eligibility 
requirement and include a statement that incorporates by reference each 
state's specific additional eligibility requirements (including any 
special pledges) as set forth in the accompany state instructions;
    (2) Contain an attestation on the application that the applicant, to 
the best of his or her knowledge and belief, meets each of his or her 
state's specific eligibility requirements;
    (3) Provide a field on the application for the signature of the 
applicant, under penalty of perjury, and the date of the applicant's 
signature;
    (4) Inform an applicant on the application of the penalties provided 
by law for submitting a false voter registration application;
    (5) Provide a field on the application for the name, address, and 
(optional) telephone number of the person who assisted the applicant in 
completing the form if the applicant is unable to sign the application 
without assistance;
    (6) State that if an applicant declines to register to vote, the 
fact that the applicant has declined to register will remain 
confidential and will be used only for voter registration purposes; and
    (7) State that if an applicant does register to vote, the office at 
which the applicant submits a voter registration application will remain 
confidential and will be used only for voter registration purposes.
    (c) Other information. The form will, if appropriate, require an 
applicant's former address or former name or request a drawing of the 
area where the

[[Page 45]]

applicant lives in relation to local landmarks.

[59 FR 32323, June 23, 1994; 59 FR 40639, Aug. 9, 1994]



Sec. 8.5  Format.

    (a) The application shall conform to the technical specifications 
described in the Federal Election Commission's National Mail Voter 
Registration Form Technical Specifications.
    (b) Size. The application shall consist of a 5" by 8" application 
card of sufficient stock and weight to satisfy postal regulations. The 
application card shall be attached by a perforated fold to another 5" by 
8" card that contains space for the information set forth at 11 CFR 
8.4(c).
    (c) Layout. (1) The application shall be sealable.
    (2) The outside of the application shall contain an appropriate 
number of address lines to be completed by the applicant using the state 
information provided.
    (3) Both sides of the application card shall contain space 
designated ``For Official Use Only.''
    (d) Color. The application shall be of ink and paper colors of 
sufficient contrast to permit for optical scanning capabilities.
    (e) Signature field. The application shall contain a signature field 
in lieu of a signature line.
    (f) Type size. (1) All print on the form shall be of the largest 
practicable type size.
    (2) The requirements on the form specified in 11 CFR 8.4(b)(1), (6), 
and (7) shall be in print identical to that used in the attestation 
portion of the application required by 11 CFR 8.4(b)(2).



Sec. 8.6  Chief state election official.

    (a) Each chief state election official shall certify to the 
Commission within 30 days after July 25, 1994:
    (1) All voter registration eligibility requirements of that state 
and their corresponding state constitution or statutory citations, 
including but not limited to the specific state requirements, if any, 
relating to minimum age, length of residence, reasons to disenfranchise 
such as criminal conviction or mental incompetence, and whether the 
state is a closed primary state.
    (2) Any voter identification number that the state requires or 
requests; and
    (3) Whether the state requires or requests a declaration of race/
ethnicity;
    (4) The state's deadline for accepting voter registration 
applications; and
    (5) The state election office address where the application shall be 
mailed.
    (b) If a state, in accordance with 11 CFR 8.4(a)(2), requires the 
applicant's full social security number, the chief state election 
official shall provide the Commission with the text of the state's 
privacy statement required under the Privacy Act of 1974 (5 U.S.C. 552a 
note).
    (c) Each chief state election official shall notify the Commission, 
in writing, within 30 days of any change to the state's voter 
eligibility requirements or other information reported under this 
section.



                 Subpart C--Recordkeeping and Reporting



Sec. 8.7  Contents of reports from the states.

    (a) The chief state election official shall provide the information 
required under this section with the Commission by March 31 of each odd-
numbered year beginning March 31, 1995 on a form to be provided by the 
Commission. Reports shall be mailed to: National Clearinghouse on 
Election Administration, Federal Election Commission, 999 E Street, NW., 
Washington DC 20463. The data to be reported in accordance with this 
section shall consist of applications or responses received up to and 
including the date of the preceding federal general election.
    (b) Except as provided in paragraph (c) of this section, the report 
required under this section shall include:
    (1) The total number of registered voters statewide, including both 
``active'' and ``inactive'' voters if such a distinction is made by the 
state, in the federal general election two years prior to the most 
recent federal general election;
    (2) The total number of registered voters statewide, including both 
``active'' and ``inactive'' voters if such a distinction is made by the 
state, in the most recent federal election;

[[Page 46]]

    (3) The total number of new valid registrations accepted statewide 
between the past two federal general elections, including all 
registrations that are new to the local jurisdiction and re-
registrations across jurisdictional lines, but excluding all 
applications that are duplicates, rejected, or report only a change of 
name, address, or (where applicable) party preference within the local 
jurisdiction;
    (4) If the state distinguishes between ``active'' and ``inactive'' 
voters, the total number of registrants statewide that were considered 
``inactive'' at the close of the most recent federal general election;
    (5) The total number of registrations statewide that were, for 
whatever reason, deleted from the registration list, including both 
``active'' and ``inactive'' voters if such a distinction is made by the 
state, between the past two federal general elections;
    (6) The statewide number of registration applications received 
statewide (regardless of whether they were valid, rejected, duplicative, 
or address, name or party changes) that were received from or generated 
by each of the following categories:
    (i) All motor vehicle offices statewide;
    (ii) Mail;
    (iii) All public assistance agencies that are mandated as 
registration sites under the Act;
    (iv) All state-funded agencies primarily serving persons with 
disabilities;
    (v) All Armed Forces recruitment offices;
    (vi) All other agencies designated by the state;
    (vii) All other means, including but not limited to, in person, 
deputy registrars, and organized voter registration drives delivering 
forms directly to registrars;
    (7) The total number of duplicate registration applications 
statewide that, between the past two federal general elections were 
received in the appropriate election office and generated by each of the 
categories described in paragraphs (b)(6) (i) through (vii) of this 
section;
    (8) The statewide number of confirmation notices mailed out between 
the past two federal general elections and the statewide number of 
responses received to these notices during the same period;
    (9) Answers to a series of questions with categorical responses for 
the state to indicate which options or procedures the state has selected 
in implementing the NVRA or any significant changes to the state's voter 
registration program; and
    (10) Any additional information that would be helpful to the 
Commission for meeting the reporting requirement under 42 U.S.C. 1973gg-
7(a)(3).
    (c) For the State report due March 31, 1995, the chief state 
election official need only provide the information described in 
paragraph (b)(2) of this section and a brief narrative or general 
description of the state's implementation of the NVRA.

[59 FR 32323, June 23, 1994, as amended at 59 FR 64560, Dec. 15, 1994]

[[Page 47]]





                          SUBCHAPTER A--GENERAL



PART 100--SCOPE AND DEFINITIONS (2 U.S.C. 431)--Table of Contents




Sec.
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)).
100.23  Coordinated General Public Political Communications.

    Authority: 2 U.S.C. 431, 434(a)(11), 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

[[Page 48]]

date on which the primary election was held by the candidate's party in 
that State.
    (d) Runoff election. Runoff election means the election which meets 
either of the following conditions:
    (1) The election held after a primary election, and prescribed by 
applicable State law as the means for deciding 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 49]]

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 50]]

    (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 51]]

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 52]]

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 53]]

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 54]]

    (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 55]]

    (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 56]]

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 57]]

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 58]]

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 59]]

    (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 60]]

    (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 61]]

    (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 62]]

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 63]]

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 64]]

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 65]]

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 66]]

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 67]]

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 by a person 
for a communication expressly advocating the election or defeat of a 
clearly identified candidate that is not made with the cooperation of or 
in consultation with, or in concert with, or at the request or 
suggestion of, a candidate or any agent or authorized committee of such 
candidate. A communication is ``made with the cooperation of, or in 
consultation with, or in concert with, or at the request or suggestion 
of, a candidate or any agent or authorized committee of such candidate'' 
if it is a coordinated general public political communication under 11 
CFR 100.23. See 11 CFR 109.1.

[65 FR 76145, Dec. 6, 2000]



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.
    (c) For electronic filing purposes, a document is timely filed when 
it is received and validated by the Federal Election Commission at or 
before 11:59 p.m., Eastern Standard/Daylight Time, on the filing date.

[45 FR 15094, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 61 
FR 6095, Feb. 16, 1996; 65 FR 38422, June 21, 2000]



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.

[[Page 68]]



Sec. 100.21  Employer (2 U.S.C. 431(13)).

    Employer means the organization or person by whom an individual is 
employed, and not the name of his or her supervisor.



Sec. 100.22  Expressly advocating (2 U.S.C. 431(17)).

    Expressly advocating means any communication that--(a) Uses phrases 
such as ``vote for the President,'' ``re-elect your Congressman,'' 
``support the Democratic nominee,'' ``cast your ballot for the 
Republican challenger for U.S. Senate in Georgia,'' ``Smith for 
Congress,'' ``Bill McKay in '94,'' ``vote Pro-Life'' or ``vote Pro-
Choice'' accompanied by a listing of clearly identified candidates 
described as Pro-Life or Pro-Choice, ``vote against Old Hickory,'' 
``defeat'' accompanied by a picture of one or more candidate(s), 
``reject the incumbent,'' or communications of campaign slogan(s) or 
individual word(s), which in context can have no other reasonable 
meaning than to urge the election or defeat of one or more clearly 
identified candidate(s), such as posters, bumper stickers, 
advertisements, etc. which say ``Nixon's the One,'' ``Carter '76,'' 
``Reagan/Bush'' or ``Mondale!''; or
    (b) When taken as a whole and with limited reference to external 
events, such as the proximity to the election, could only be interpreted 
by a reasonable person as containing advocacy of the election or defeat 
of one or more clearly identified candidate(s) because--
    (1) The electoral portion of the communication is unmistakable, 
unambiguous, and suggestive of only one meaning; and
    (2) Reasonable minds could not differ as to whether it encourages 
actions to elect or defeat one or more clearly identified candidate(s) 
or encourages some other kind of action.

[60 FR 35304, July 6, 1995]



Sec. 100.23  Coordinated General Public Political Communications.

    (a) Scope. (1) This section applies to expenditures for general 
public political communications paid for by persons other than 
candidates, authorized committees, and party committees.
    (2) Coordinated party expenditures made on behalf of a candidate 
pursuant to 2 U.S.C. 441a(d) are governed by 11 CFR 110.7.
    (b) Treatment of expenditures for general public political 
communications as expenditures and contributions. Any expenditure for 
general public political communication that includes a clearly 
identified candidate and is coordinated with that candidate, an opposing 
candidate or a party committee supporting or opposing that candidate is 
both an expenditure under 11 CFR 100.8(a) and an in-kind contribution 
under 11 CFR 100.7(a)(1)(iii).
    (c) Coordination with candidates and party committees. An 
expenditure for a general public political communication is considered 
to be coordinated with a candidate or party committee if the 
communication--
    (1) Is paid for by any person other than the candidate, the 
candidate's authorized committee, or a party committee, and
    (2) Is created, produced or distributed--
    (i) At the request or suggestion of the candidate, the candidate's 
authorized committee, a party committee, or the agent of any of the 
foregoing;
    (ii) After the candidate or the candidate's agent, or a party 
committee or its agent, has exercised control or decision-making 
authority over the content, timing, location, mode, intended audience, 
volume of distribution, or frequency of placement of that communication; 
or
    (iii) After substantial discussion or negotiation between the 
creator, producer or distributor of the communication, or the person 
paying for the communication, and the candidate, the candidate's 
authorized committee, a party committee, or the agent of such candidate 
or committee, regarding the content, timing, location, mode, intended 
audience, volume of distribution or frequency of placement of that 
communication, the result of which is collaboration or agreement. 
Substantial discussion or negotiation may be evidenced by one or more 
meetings, conversations or conferences regarding the value or importance 
of the communication for a particular election.

[[Page 69]]

    (d) Exception. A candidate's or political party's response to an 
inquiry regarding the candidate's or party's position on legislative or 
public policy issues does not alone make the communication coordinated.
    (e) Definitions. For purposes of this section:
    (1) General public political communications include those made 
through a broadcasting station (including a cable television operator), 
newspaper, magazine, outdoor advertising facility, mailing or any 
electronic medium, including the Internet or on a web site, with an 
intended audience of over one hundred people.
    (2) Clearly identified has the same meaning as set forth in 11 CFR 
100.17.
    (3) Agent has the same meaning as set forth in 11 CFR 109.1(b)(5).

[65 FR 76146, Dec. 6, 2000]



PART 101--CANDIDATE STATUS AND DESIGNATIONS (2 U.S.C. 432(e))--Table of Contents




Sec.
101.1  Candidate designations (2 U.S.C. 432(e)(1)).
101.2  Candidate as agent of authorized committee (2 U.S.C. 432(e)(2)).
101.3  Funds received or expended prior to becoming a candidate (2 
          U.S.C. 432(e)(2)).

    Authority: 2 U.S.C. 432(e), 434(a)(11), 438(a)(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, if the candidate is not required to file 
electronically under 11 CFR 104.18, by filing a letter containing the 
same information (that is, the individual's name and address, party 
affiliation and office sought, the District and State in which Federal 
office is sought, and the name and address of his or her principal 
campaign committee) at the place of filing specified at 11 CFR part 105. 
Each principal campaign committee shall register, designate a depository 
and report in accordance with 11 CFR Parts 102, 103 and 104.
    (b) Authorized committees. A candidate may designate additional 
political committees in accordance with 11 CFR 102.13 to serve as 
committees which will be authorized to accept contributions or make 
expenditures on behalf of the candidate. For each such authorized 
committee, other than a principal campaign committee, the candidate 
shall file a written designation with his or her principal campaign 
committee. The principal campaign committee shall file such designations 
at the place of filing specified at 11 CFR part 105.

[45 FR 15103, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 65 
FR 38422, June 21, 2000]



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 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

[[Page 70]]

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, 434(a)(11), 438(a)(8), 441d.

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



Sec. 102.1  Registration of political committees (2 U.S.C. 433(a)).

    (a) Principal campaign committees. Each principal campaign committee 
shall file a Statement of Organization in accordance with 11 CFR 102.2 
no later than 10 days after designation pursuant to 11 CFR 101.1. In 
addition, each principal campaign committee shall file all designations, 
statements and reports which are filed with such committee at the place 
of filing specified at 11 CFR part 105.
    (b) Authorized committees. Each authorized committee(s) shall file 
only one Statement of Organization in accordance with 11 CFR 102.2 no 
later than 10 days after designation pursuant to 11 CFR 101.1. Such 
Statement(s) shall be filed with the principal campaign committee of the 
authorizing candidate.
    (c) Separate segregated funds. Each separate segregated fund 
established under 2 U.S.C. 441b(b)(2)(C) shall file a Statement of 
Organization with the Federal Election Commission no later than 10 days 
after establishment. This requirement shall not apply to a fund 
established solely for the purpose of financing political activity in 
connection with State or local elections. Examples of establishment 
events after which a fund would be required to register include, but are 
not limited to: A vote by the board of directors or comparable governing 
body of an organization to create a separate segregated fund to be used 
wholly or in part for federal elections; selection of initial officers 
to administer such a fund; or payment of the initial operating expenses 
of such a fund.
    (d) Other political committees. All other committees shall file a 
Statement of Organization no later than 10 days after becoming a 
political committee within the meaning of 11 CFR 100.5. Such 
statement(s) shall be filed at the place of filing specified at 11 CFR 
part 105.



Sec. 102.2  Statement of organization: Forms and committee identification number (2 U.S.C. 433 (b), (c)).

    (a) Forms. (1) The Statement of Organization shall be filed in 
accordance with 11 CFR part 105 on Federal Election Commission Form 1, 
which may be obtained from the Federal Election Commission, 999 E 
Street, NW., Washington, DC 20463. The Statement shall be signed by the 
treasurer and shall include the following information:

[[Page 71]]

    (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; and
    (vii) The Internet address of the committee's official web site, if 
such a web site exists. If the committee is required to file 
electronically under 11 CFR 104.18, its electronic mail address, if such 
an address exists.
    (2) Any change or correction in the information previously filed in 
the Statement of Organization shall be reported no later than 10 days 
following the date of the change or correction by filing an amended 
Statement of Organization or, if the political committee is not required 
to file electronically under 11 CFR 104.18, by filing a letter noting 
the change(s). The amendment need list only the name of the political 
committee and the change or correction.
    (3) A committee shall certify to the Commission that it has 
satisfied the criteria for becoming a multicandidate committee set forth 
at 11 CFR 100.5(e)(3) by filing FEC Form 1M 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; 65 FR 38422, June 21, 2000]

[[Page 72]]



Sec. 102.3  Termination of registration (2 U.S.C. 433(d)(1)).

    (a)(1) A political committee (other than a principal campaign 
committee) may terminate only upon filing a termination report on the 
appropriate FEC Form or upon filing a written statement containing the 
same information at the place of filing specified at 11 CFR part 105. 
Except as provided in 11 CFR 102.4(c), only a committee which will no 
longer receive any contributions or make any disbursements that would 
otherwise qualify it as a political committee may terminate, provided 
that such committee has no outstanding debts and obligations. In 
addition to the Notice, the committee shall also provide a final report 
of receipts and disbursements, which report shall include a statement as 
to the purpose for which such residual funds will be used, including a 
statement as to whether such residual funds will be used to defray 
expenses incurred in connection with an individual's duties as a holder 
of federal office.
    (2) An authorized committee of a qualified Member, as defined at 11 
CFR 113.1(f), shall comply with the requirements of 11 CFR 113.2 before 
any excess funds are converted to such Member's personal use. All other 
authorized committees shall include in their termination reports a 
statement signed by the treasurer, stating that no noncash committee 
assets will be converted to personal use.
    (b) Except as provided at 11 CFR 102.4, a principal campaign 
committee may not terminate until it has met the requirements of 11 CFR 
102.3(a) and until all debts of any other authorized committee(s) of the 
candidate have been extinguished.

[45 FR 15104, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 56 
FR 34126, July 25, 1991]



Sec. 102.4  Administrative termination (2 U.S.C. 433(d)(2)).

    (a) The Commission, on its own initiative or upon the request of the 
political committee itself, may administratively terminate a political 
committee's reporting obligation on the basis of the following factors:
    (1) The committee's aggregate reported financial activity in one 
year is less than $5000;
    (2) The committee's reports disclose no receipt of contributions for 
the previous year;
    (3) The committee's last report disclosed minimal expenditures;
    (4) The committee's primary purpose for filing its reports has been 
to disclose outstanding debts and obligations;
    (5) The committee has failed to file reports for the previous year;
    (6) The committee's last report disclosed that the committee's 
outstanding debts and obligations do not appear to present a possible 
violation of the prohibitions and limitations of 11 CFR parts 110 and 
114;
    (7) The committee's last report disclosed that the Committee does 
not have substantial outstanding accounts receivable;
    (8) The committee's outstanding debts and obligations exceed the 
total of the committee's reported cash on hand balance.
    (b) The Commission shall send a notification to the committee 
treasurer of its intent to administratively terminate that committee and 
may request the treasurer to submit information with regard to the 
factors set forth at 11 CFR 102.4(a). The treasurer shall respond, in 
writing, within 30 days of receipt of the Commission's notice or request 
and if the committee objects to such termination, the committee's 
response shall so state.
    (c) The Commission shall administratively terminate a committee if 
such committee fails to object to the Commission's action under 11 CFR 
102.4(b) and the Commission determines that either:
    (1) The committee has complied with the debt settlement procedures 
set forth at 11 CFR part 116.
    (2) The Commission has approved the forgiveness of any loan(s) owed 
the committee which would have otherwise been considered a contribution 
under the Act in violation of 11 CFR part 110;

[[Page 73]]

    (3) It does not appear from evidence available that a contribution 
in violation of 11 CFR parts 110 and 114 will result.

[45 FR 15104, Mar. 7, 1980, as amended at 60 FR 64273, Dec. 14, 1995]



Sec. 102.5  Organizations financing political activity in connection with Federal and non-Federal elections, other than through transfers and joint fundraisers.

    (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

[[Page 74]]

make such contribution, expenditure or payment. Such organization shall 
keep records of amounts received or expended under this subsection and, 
upon request, shall make such records available for examination by the 
Commission.

[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

[[Page 75]]

ensuring that the recordkeeping, reporting and transmittal requirements 
of this section are met.
    (2) Solicitation for contributions. A collecting agent may include a 
solicitation for voluntary contributions to a separate segregated fund 
in a bill for membership dues or other payments such as conference 
registration fees or a solicitation for contributions to the collecting 
agent. The collecting agent may only solicit contributions from those 
persons permitted to be solicited under 11 CFR part 114. The 
solicitation for contributions must meet all of the requirements for 
proper solicitations under 11 CFR 114.5.
    (i) The collecting agent may pay any or all of the costs incurred in 
soliciting and transmitting contributions to the separate segregated 
fund.
    (ii) If the separate segregated fund pays any solicitation or other 
administrative expense from its own account, which expense could be paid 
for as an administrative expense by the collecting agent, the collecting 
agent may reimburse the separate segregated fund no later than 30 
calendar days after the expense was paid by the separate segregated 
fund.
    (3) Checks combining contributions with other payments. A 
contributor may write a check that represents both a contribution and 
payment of dues or other fees. The check must be drawn on the 
contributor's personal checking account or on a non-repayable corporate 
drawing account of the individual contributor. Under a payroll deduction 
plan, an employer may write a check on behalf of its employees to a 
union or its agent, which check represents a combined payment of 
voluntary contributions to the union's separate segregated fund and 
union dues or other employee deductions.
    (4) Transmittal of contributions. The full amount of each 
contribution collected by a collecting agent on behalf of a separate 
segregated fund shall be 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.

[[Page 76]]

    (7) Reporting of funds received through collecting agents. A 
separate segregated fund receiving contributions collected by a 
collecting agent shall report the full amount of each contribution 
received as a contribution from the original contributor to the extent 
required by 11 CFR 104.3(a).

[48 FR 26300, June 7, 1983]



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

[[Page 77]]

the identification of the political committee and the date of receipt 
and amount of such contribution.
    (b)(1) An account shall be kept of all disbursements made by or on 
behalf of the political committee. Such account shall consist of a 
record of:
    (i) the name and address of every person to whom any disbursement is 
made;
    (ii) the date, amount, and purpose of the disbursement; and
    (iii) if the disbursement is made for a candidate, the name and 
office (including State and congressional district, if any) sought by 
that candidate.
    (iv) For purposes of 11 CFR 102.9(b)(1), 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 78]]

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 79]]

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 80]]

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 81]]

    (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 82]]

    (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 83]]



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

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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 85]]

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. Each report filed under Sec. 104.1 shall 
disclose the total amount of receipts for the reporting period and for 
the calendar year (or for the election cycle, in the case of an 
authorized committee) and shall disclose the information set forth at 
paragraphs (a)(1) through (a)(4) of this section. The first report filed 
by a political committee shall also include all amounts received prior 
to becoming a political committee under Sec. 100.5 of this chapter, even 
if such amounts were not received during the current reporting period.
    (1) Cash on hand. The amount of cash on hand at the beginning of the 
reporting period, including: currency; balance on deposit in banks, 
savings and loan institutions, and other depository institutions; 
traveler's checks owned by the committee; certificates of deposit, 
treasury bills and any other committee investments valued at cost.
    (2) Categories of receipts for all political committees other than 
authorized committees. All committees other than authorized committees 
shall report the total amount of receipts received during the reporting 
period and, except for itemized and unitemized breakdowns, during the 
calendar year for each of the following categories:
    (i) Contributions from persons other than any committees;
    (A) Itemized contributions from persons, other than any committees, 
including contributions from individuals;
    (B) Unitemized contributions from persons, other than any 
committees, including contributions from individuals;
    (C) Total contributions from persons other than any committees, 
including contributions from individuals;
    (ii) Contributions from political party committees, including 
contributions from party committees which are not political committees 
under the Act;
    (iii) Contributions from political committees, including 
contributions from committees which are not political committees under 
the Act but excluding contributions from any party committees;
    (iv) Total contributions;
    (v) Transfers from affiliated committees or organizations and, where 
the reporting committee is a political party committee, transfers from 
other party committees of the same party, regardless of whether such 
committees are affiliated;
    (vi) All loans;

[[Page 86]]

    (vii) Offsets to operating expenditures;
    (A) Itemized offsets to operating expenditures (such as rebates and 
refunds);
    (B) Unitemized offsets to operating expenditures (such as rebates 
and refunds);
    (C) Total offsets to operating expenditures;
    (viii) Other receipts:
    (A) Itemized other receipts (such as dividends and interest);
    (B) Unitemized other receipts (such as dividends and interest);
    (C) The total sum of all other receipts.
    (ix) The total sum of all receipts.
    (3) Categories of receipts for authorized committees. An authorized 
committee of a candidate for Federal office shall report the total 
amount of receipts received during the reporting period and, except for 
itemized and unitemized breakdowns, during the election cycle in each of 
the following categories:
    (i) Contributions from persons other than any committees;
    (A) Itemized contributions from persons, other than any committees, 
including contributions from individuals, but excluding contributions 
from a candidate to his or her authorized committees;
    (B) Unitemized contributions from persons, other than any 
committees, including contributions from individuals, but excluding 
contributions from a candidate to his or her authorized committees;
    (C) Total contributions from persons other than any committees, 
including contributions from individuals, but excluding contributions 
from a candidate to his or her authorized committees;
    (ii) Contributions from the candidate, excluding loans which are 
reported under 11 CFR 104.3(a)(3)(vii));
    (iii) Contributions from political party committees, including party 
committees which are not political committees under the Act, except that 
expenditures made under 11 CFR 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 political committees including 
authorized and unauthorized committees. The identification (as defined 
at Sec. 100.12 of this chapter) of each contributor and the aggregate 
year-to-date (or aggregate election-cycle-to-date, in the case of an 
authorized committee) total for such contributor in each of the 
following categories shall be reported.
    (i) Each person, other than any political committee, who makes a 
contribution to the reporting political committee during the reporting 
period, whose contribution or contributions aggregate in excess of $200 
per calendar year (or per election cycle in the case of an authorized 
committee), together with the date of receipt and amount of any such 
contributions, except that the reporting political committee may

[[Page 87]]

elect to report such information for contributors of lesser amount(s) on 
a separate schedule;
    (ii) All committees (including political committees and committees 
which do not qualify as political committees under the Act) which make 
contributions to the reporting committee during the reporting period, 
together with the date of receipt and amount of any such contribution;
    (iii) Transfers;
    (A) For authorized committees of a candidate for Federal office, 
each authorized committee which makes a transfer to the reporting 
committee, together with the date and amount of such transfer;
    (B) For committees which are not authorized by a candidate for 
Federal office, each affiliated committee or organization which makes a 
transfer to the reporting committee during the reporting period and, 
where the reporting committee is a political party committee, each 
transfer of funds to the reporting committee from another party 
committee regardless of whether such committees are affiliated, together 
with the date and amount of such transfer;
    (iv) Each person who makes a loan to the reporting committee or to 
the candidate acting as an agent of the committee, during the reporting 
period, together with the identification of any endorser or guarantor of 
such loan, the date such loan was made and the amount or value of such 
loan;
    (v) Each person who provides a rebate, refund or other offset to 
operating expenditures to the reporting political committee in an 
aggregate amount or value in excess of $200 within the calendar year (or 
within the election cycle, in the case of an authorized committee), 
together with the date and amount of any such receipt; and
    (vi) Each person who provides any dividend, interest, or other 
receipt to the reporting political committee in an aggregate value or 
amount in excess of $200 within the calendar year (or within the 
election cycle, in the case of an authorized committee), together with 
the date and amount of any such receipt.
    (b) Reporting of disbursements. Each report filed under Sec. 104.1 
shall disclose the total amount of all disbursements for the reporting 
period and for the calendar year (or for the election cycle, in the case 
of an authorized committees) and shall disclose the information set 
forth at paragraphs (b)(1) through (b)(4) of this section. The first 
report filed by a political committee shall also include all amounts 
disbursed prior to becoming a political committee under Sec. 100.5 of 
this chapter, even if such amounts were not disbursed during the current 
reporting period.
    (1) Categories of disbursements for political committees other than 
authorized committees. All political committees other than authorized 
committees shall report the total amount of disbursements made during 
the reporting period and, except for itemized and unitemized breakdowns, 
during the calendar year in each of the following categories:
    (i) Operating expenditures;
    (A) Itemized operating expenditures;
    (B) Unitemized operating expenditures;
    (C) Total operating expenditures;
    (ii) Transfers to affiliated committees or organizations and, where 
the reporting committee is a political party committee, transfers to 
other political party committees regardless of whether they are 
affiliated;
    (iii) Repayment of all loans;
    (iv) Offsets;
    (A) Itemized offsets to contributions (including contribution 
refunds);
    (B) Unitemized offsets to contributions (including contribution 
refunds);
    (C) Total offsets to contributions;
    (v) Contributions made to other political committees;
    (vi) Loans made by the reporting committee;
    (vii) Independent expenditures made by the reporting committee;
    (viii) Expenditures made under 11 CFR 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.

[[Page 88]]

    (2) Categories of disbursements for authorized committees. An 
authorized committee of a candidate for Federal office shall report the 
total amount of disbursements made during the reporting period and, 
except for itemized and unitemized breakdowns, during the election cycle 
in each of the following categories:
    (i) Operating expenditures;
    (A) Itemized operating expenditures;
    (B) Unitemized operating expenditures;
    (C) Total operating expenditures;
    (ii) Transfers to other committees authorized by the same candidate;
    (iii) Repayment of loans;
    (A) Repayment of loans made 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,

[[Page 89]]

amount, and purpose of any such independent expenditure(s);
    (B) For each independent expenditure reported, the committee must 
also provide a statement which indicates whether such independent 
expenditure is in support of, or in opposition to a particular 
candidate, as well as the name of the candidate and office sought by 
such candidate (including State and Congressional district, when 
applicable), and a certification, under penalty of perjury, as to 
whether such independent expenditure is made in cooperation, 
consultation or concert with, or at the request or suggestion of, any 
candidate or any authorized committee or agent of such committee;
    (C) The information required by 11 CFR 104.3(b)(3)(vii) (A) and (B) 
shall be reported on Schedule E as part of a report covering the 
reporting period in which the aggregate disbursements for any 
independent expenditure to any person exceed $200 per calendar year. 
Schedule E shall also include the total of all such expenditures of $200 
or less made during the reporting period.
    (viii) Each person who receives any expenditure from the reporting 
committee during the reporting period in connection with an expenditure 
under 11 CFR 110.7 (2 USC 441a(d)), together with the date, amount, and 
purpose of any such expenditure as well as the name of, and office 
sought by (including State and Congressional district, when applicable), 
the candidate on whose behalf the expenditure is made; and
    (ix) Each person who has received any disbursement within the 
reporting period not otherwise disclosed in accordance with 11 CFR 
104.3(b)(3) to whom the aggregate amount or value of disbursements made 
by the reporting committee exceeds $200 within the calendar year, 
together with the date, amount and purpose of any such disbursement.
    (4) Itemization of disbursements by authorized committees. Each 
authorized committee shall report the full name and address of each 
person in each of the following categories, as well as the information 
required by each category.
    (i) Each person to whom an expenditure in an aggregate amount or 
value in excess of $200 within the election cycle is made by the 
reporting authorized committee to meet the authorized committee's 
operating expenses, together with the date, amount and purpose of each 
expenditure.
    (A) As used in this paragraph, purpose means a brief statement or 
description of why the disbursement was made. Examples of statements or 
descriptions which meet the requirements of this paragraph include the 
following: dinner expenses, media, salary, polling, travel, party fees, 
phone banks, travel expenses, travel expense reimbursement, and catering 
costs. However, statements or descriptions such as advance, election day 
expenses, other expenses, expenses, expense reimbursement, 
miscellaneous, outside services, get-out-the-vote and voter registration 
would not meet the requirements of this paragraph for reporting the 
purpose of an expenditure.
    (B) In addition to reporting the purpose described in paragraph 
(b)(4)(i)(A) of this section, whenever an authorized committee itemizes 
a disbursement that is partially or entirely a personal use for which 
reimbursement is required under 11 CFR 113.1(g)(1)(ii)(C) or (D), it 
shall provide a brief explanation of the activity for which 
reimbursement is required.
    (ii) Each authorized committee of the same candidate to which a 
transfer is made by the reporting committee during the reporting period, 
together with the date and amount of such transfer;
    (iii) Each person who receives a loan repayment 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 paragraph (b)(4) of this section to whom the aggregate 
amount or value of such disbursements exceeds

[[Page 90]]

$200 within the election cycle, together with the date, amount, and 
purpose of any such disbursement.
    (c) Summary of contributions and operating expenditures. Each report 
filed pursuant to Sec. 104.1 shall disclose for both the reporting 
period and the calendar year (or the election cycle, in the case of the 
authorized committee):
    (1)(i) The total contributions to the reporting committee;
    (ii) The total offsets to contributions;
    (iii) The net contributions (subtract total offsets from total 
contributions);
    (2)(i) The reporting committee's total operating expenditures;
    (ii) The total offsets to operating expenditures;
    (iii) The net operating expenditures (subtract total offsets from 
total operating expenditures).
    (d) Reporting debts and obligations. Each report filed under 11 CFR 
104.1 shall, on Schedule C or D, as appropriate, disclose the amount and 
nature of outstanding debts and obligations owed by or to the reporting 
committee. Loans 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 91]]

page, Unitemized contributions from individual persons other than 
political committees. Thus, the committee will, for this purpose only, 
be overstating the amount of itemized contributions received and 
understating the amount of unitemized contributions received.
    (4) No authorized committee of a candidate shall attribute more than 
$1,000 in contributions to the same pseudonym for each election and no 
other political committee shall attribute more than $5,000 in 
contributions to the same pseudonym in any calendar year.
    (5) A committee using pseudonyms shall send a list of such 
pseudonyms under separate cover directly to the Reports Analysis 
Division, Federal Election Commission, 999 E Street, NW., Washington, DC 
20463, on or before the date on which any report containing such 
pseudonyms is filed with the Secretary of the Senate or the Commission. 
The Commission shall maintain the list, but shall exclude it from the 
public record. A committee shall not send any list of pseudonyms to the 
Secretary of the Senate or to any Secretary of State or equivalent state 
officer.
    (6) A political committee shall not use pseudonyms for the purpose 
of circumventing the reporting requirements or the limitations and 
prohibitions of the Act.
    (f) Consolidated reports. Each principal campaign committee shall 
consolidate in each report those reports required to be filed with it. 
Such consolidated reports shall include: (1) Reports submitted to it by 
any authorized committees and (2) the principal campaign committee's own 
report. Such consolidation shall be made on FEC Form 3-Z and shall be 
submitted with the reports of the principal campaign committee and with 
the reports, or applicable portions thereof, of the committees shown on 
the consolidation.
    (g) Building funds. 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 
Sec. 104.5 shall be cumulative for the calendar year (or for the 
election cycle, in the case of an authorized committee) to which they 
relate, but if there has been no change in a category reported in a 
previous report during that year (or during that election cycle, in the 
case of an authorized committee), only the amount thereof need be 
carried forward.
    (j) Earmarked contributions. Earmarked contributions shall be 
reported in accordance with 11 CFR 110.6. See also 11 CFR 102.8(c).
    (k) Reporting Election Cycle Activity Occurring Prior to January 1, 
2001. The aggregate of each category of receipt listed in paragraph 
(a)(3) of this section, except those in paragraphs (a)(3)(i)(A) and (B) 
of this section, and for each category of disbursement listed in 
paragraph (b)(2) of this section shall include amounts received or 
disbursed on or after the day after the last general election for the 
seat or office for which the candidate is running through December 31, 
2000.

[45 FR 15108, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 50 
FR 50778, Dec. 12, 1985; 55 FR 26386, June 27, 1990; 56 FR 67124, Dec. 
27, 1991; 60 FR 7874, Feb. 9, 1995; 61 FR 3549, Feb. 1, 1996; 65 FR 
42623, July 11, 2000; 66 FR 59680, Nov. 30, 2001]



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

[[Page 92]]

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.
    (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

[[Page 93]]

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 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

[[Page 94]]

the office of Vice President (other than a nominee of a political party) 
shall file reports on the same basis that the principal campaign 
committee of a Presidential candidate must file reports under 11 CFR 
104.5(b).
    (e) Date of filing. A designation, report or statement 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. Designations, reports or statements 
electronically filed must be received and validated at or before 11:59 
p.m., Eastern Standard/Daylight Time on the prescribed filing date to be 
timely filed.
    (f) 48 hour notification of contributions. If any contribution of 
$1,000 or more is received by any authorized committee of a candidate 
after the 20th day, but more than 48 hours, before 12:01 a.m. of the day 
of the election, the principal campaign committee of that candidate 
shall notify the Commission, the Secretary of the Senate and the 
Secretary of State, as appropriate, within 48 hours of receipt of the 
contribution. The notification shall be in writing and shall include the 
name of the candidate and office sought by the candidate, the 
identification of the contributor, and the date of receipt and amount of 
the contribution. The notification shall be 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.
    (i) Committees should retain proof of mailing or other means of 
transmittal of the reports to the Commission.

[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996; 65 
FR 31794, May 19, 2000; 65 FR 38423, June 21, 2000]



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

[[Page 95]]

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 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 political committees aggregate in excess of $200 in a 
calendar year (or in an election cycle in the case of an authorized 
committee) (pursuant to 11 CFR 104.3(a)(4)), the treasurer and the 
political committee will only be deemed to have exercised best efforts 
to obtain, maintain and report the required information if:
    (1)(i) All written solicitations for contributions include a clear 
request for the contributor's full name, mailing address, occupation and 
name of employer, and include an accurate statement of Federal law 
regarding the collection and reporting of individual contributor 
identifications.
    (A) The following are examples of acceptable statements for 
unauthorized committees, but are not the only allowable statements: 
``Federal law requires us to use our best efforts to collect and report 
the name, mailing address, occupation and name of employer of 
individuals whose contributions exceed $200 in a calendar year;'' and 
``To comply with Federal law, we must use best efforts to obtain, 
maintain, and submit the name, mailing address, occupation and name of 
employer of individuals whose contributions exceed $200 per calendar 
year.''
    (B) The following are examples of acceptable statements for 
authorized committees, but are not the only allowable statements: 
``Federal law requires us to use our best efforts to collect and report 
the name, mailing address, occupation and name of employer of 
individuals whose contributions exceed $200 in an election cycle;'' and 
``To comply with Federal law, we must use best efforts to obtain, 
maintain, and submit the name, mailing address, occupation and name of 
employer of individuals whose contributions exceed $200 per election 
cycle.''
    (ii) The request and statement shall appear in a clear and 
conspicuous manner on any response material included in a solicitation. 
The request and statement are not clear and conspicuous if they are in 
small type in comparison to the solicitation and response materials, or 
if the printing is difficult to read or if the placement is easily 
overlooked.
    (2) For each contribution received aggregating in excess of $200 per 
calendar year (or per election cycle, in the case

[[Page 96]]

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

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



Sec. 104.8  Uniform reporting of receipts.

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

[[Page 97]]

contributor during the reporting period. In lieu of separate 
itemization, such committee may report: the aggregate amount of 
contributions received from the contributor through the payroll 
deduction plan during the reporting period; the identification of the 
individual; and a statement of the amount deducted per pay period.
    (c) Absent evidence to the contrary, any contribution made by check, 
money order, or other written instrument shall be reported as a 
contribution by the last person signing the instrument prior to delivery 
to the candidate or committee.
    (d)(1) If an itemized contribution is made by more than one person 
in a single written instrument, the treasurer shall report the amount to 
be attributed to each contributor.
    (2)(i) If a contribution is redesignated by a contributor, in 
accordance with 11 CFR 110.1(b) or 110.2(b), the treasurer of the 
authorized political committee receiving the contribution shall report 
the redesignation in a memo entry on Schedule A of the report covering 
the reporting period in which the redesignation is received. The memo 
entry for each redesignated contribution shall be reported in the 
following manner--
    (A) The first part of the memo entry shall disclose all of the 
information for the contribution as it was originally reported on 
Schedule A;
    (B) The second part of the memo entry shall disclose all of the 
information for the contribution as it was redesignated by the 
contributor, including the election for which the contribution was 
redesignated and the date on which the redesignation was received.
    (ii) If a contribution from a political committee is redesignated by 
the contributing political committee in accordance with 11 CFR 110.1(b) 
or 110.2(b), the treasurer of such political committee shall report the 
redesignation in a memo entry on Schedule B of the report covering the 
reporting period in which the redesignation is made. The memo entry for 
each redesignated contribution shall be reported in the following 
manner--
    (A) The first part of the memo entry shall disclose all of the 
information for the contribution as it was originally reported on 
Schedule B;
    (B) The second part of the memo entry shall disclose all of the 
information for the contribution as it was redesignated by the 
contributing political committee, including the election for which the 
contribution was redesignated and the date on which the redesignation 
was made.
    (3) If an itemized contribution is reattributed by the 
contributor(s) in accordance with 11 CFR 110.1(k), the treasurer shall 
report the reattribution in a memo entry on Schedule A of the report 
covering the reporting period in which the reattribution is received. 
The memo entry for each reattributed contribution shall be reported in 
the following manner--
    (i) The first part of the memo entry shall disclose all of the 
information for the contribution as it was originally reported on 
Schedule A;
    (ii) The second part of the memo entry shall disclose all of the 
information for the contribution as it was reattributed by the 
contributors, including the date on which the reattribution was 
received.
    (4) If a contribution is refunded to the contributor, the treasurer 
of the political committee making the refund shall report the refund on 
Schedule B of the report covering the reporting period in which the 
refund is made, in accordance with 11 CFR 103.3(b)(5) and 104.3(b). If a 
contribution is refunded to a political committee, the treasurer of the 
political committee receiving the refund shall report the refund on 
Schedule A of the report covering the reporting period in which the 
refund is received, in accordance with 11 CFR 104.3(a).
    (e) 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

[[Page 98]]

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; 65 FR 42624, July 11, 2000]



Sec. 104.9  Uniform reporting of disbursements.

    (a) Political committees shall report the full name and mailing 
address of each person to whom an expenditure in an aggregate amount or 
value in excess of $200 within the calendar year (or within the election 
cycle, in the case of an authorized committee) is made from the 
reporting political committee's federal account(s), together with the 
date, amount and purpose of such expenditure, in accordance with 
paragraph (b) of this section. As used in this section, purpose means a 
brief statement or description as to the reasons for the expenditure. 
See 11 CFR 104.3(b)(3)(i)(A).
    (b) In each case when an expenditure made to a recipient in a 
reporting period is added to previously unitemized expenditures to the 
same recipient and the total exceeds $200 for the calendar year (or for 
the election cycle, in the case of an authorized committee), the 
reporting political committee shall disclose the recipient's full name 
and mailing address on the prescribed reporting forms, together with the 
date, amount and purpose of such expenditure. As used in this section, 
purpose means a brief statement or description as to the reason for the 
disbursement as defined at 11 CFR 104.3(b)(3)(i)(A).
    (c) 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; 65 
FR 42624, July 11, 2000]



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

[[Page 99]]

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 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

[[Page 100]]

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 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]

[[Page 101]]



Sec. 104.11  Continuous reporting of debts and obligations.

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

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



Sec. 104.12  Beginning cash on hand for political committees.

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



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

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

[[Page 102]]

    (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, 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

[[Page 103]]

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

[[Page 104]]

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 and the 
Electronic Filing Specification Requirement are available on request and 
at no charge.
    (2) A report that does not pass the validation program will not be 
accepted by the Commission and will not be considered filed. If a 
political committee or other person submits a report that does not pass 
the validation program, the Commission will notify the political 
committee or other person that the report has not been accepted.
    (f) Amended reports. If a political committee or other person files 
an amendment to a report that was filed electronically, the political 
committee or other person shall also submit the amendment in an 
electronic format. The political committee or other person shall submit 
a complete version of the report as amended, rather than just those 
portions of the report that are being amended. In addition, amendments 
must be filed in accordance with the Electronic Filing Specification 
Requirements.
    (g) Signature requirements. The political committee's treasurer, or 
any other person having the responsibility to file a designation, report 
or statement under this subchapter, shall verify the report in one of 
the following ways: by submitting a signed certification on paper that 
is submitted with the computerized media; or by submitting a digitized 
copy of the signed certification as a separate file in the electronic 
submission. Each verification submitted under this section shall certify 
that the treasurer or other signatory has examined the report or 
statement and, to the best of the signatory's knowledge and belief, it 
is true, correct and complete. Any verification under this section shall 
be treated for all purposes (including penalties for perjury) in the 
same manner as a verification by signature on a report submitted in a 
paper format.
    (h) Schedules and forms with special requirements. 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 political committee's or other 
person'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 
political committee or other person shall submit any paper materials 
together with the electronic media containing the report.
    (i) Preservation of reports. For any report filed in electronic 
format under this section, the treasurer or other person required to 
file any report under the Act shall retain a machine-readable copy of 
the report as the copy preserved under 11 CFR 104.14(b)(2). In addition, 
the treasurer or other person required to file any report under the Act 
shall retain the original signed version of any documents submitted in a 
digitized format under paragraphs (g) and (h) of this section.

[65 FR 38423, June 21, 2000]



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

[[Page 105]]

          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 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]

[[Page 106]]



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 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

[[Page 107]]

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 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.

[[Page 108]]

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

[[Page 109]]

travel costs, and rental of office space, including a pro rata portion 
of national, regional or State office space used for such purposes, 
shall be allocated to that State based on the percentage of telephone 
calls made to that State. Special telephone programs include voter 
registration, get out the vote efforts, fundraising, and telemarketing 
efforts conducted on behalf of the candidate. A special telephone 
program is targeted at a particular State if 10% or more of the total 
telephone calls made each month are made to that State. Records 
supporting the committee's allocation of each special telephone program 
under this section shall include either the telephone bills showing the 
total number of calls made in that program and the number made to each 
State; or, a copy of the list used to make the calls, from which these 
numbers can be determined.
    (v) Public opinion poll expenditures. Expenditures incurred for the 
taking of a public opinion poll covering only one State shall be 
allocated to that State. Except for expenditures incurred in conducting 
a public opinion poll on a nationwide basis, expenditures incurred for 
the taking of a public opinion poll covering two or more States shall be 
allocated to those States based on the number of people interviewed in 
each State. Expenditures incurred for the taking of a public opinion 
poll include consultant's fees, travel costs and other expenses 
associated with designing and conducting the poll. Records supporting 
the committee's allocation under this section shall include 
documentation showing the total number of people contacted for each poll 
and the number contacted in each State.
    (3) National consulting fees. Expenditures for consultants' fees 
need not be allocated to any State if the fees are charged for 
consulting on national campaign strategy. Expenditures for consultants' 
fees charged for conducting special telephone programs and public 
opinion polls shall be allocated in accordance with paragraphs (b)(2) 
(iv) and (v) of this section.
    (c) Reporting. All expenditures allocated under this section shall 
be reported on FEC Form 3P, page 3.
    (d) Recordkeeping. All assumptions and supporting calculations for 
allocations made under this section shall be documented and retained for 
Commission inspection. In addition to the records specified in paragraph 
(b) of this section, the treasurer shall retain records supporting the 
committee's allocations of expenditures to particular States and claims 
of exemption from allocation under this section. If the records 
supporting the allocation or claim of exemption are not retained, the 
expenditure shall be considered allocable and shall be allocated to the 
State holding the next primary election, caucus or convention after the 
expenditure is incurred.

[56 FR 35909, July 29, 1991, as amended at 60 FR 31872, June 16, 1995]



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

[[Page 110]]

travel expenditures made are reportable. Campaign-related activity shall 
not include any incidental contacts.
    (c)(1) Where an individual, other than a candidate, conducts 
campaign-related activities on a trip, the portion of the trip 
attributed to each candidate shall be allocated on a reasonable basis.
    (2) Travel expenses of a candidate's spouse and family are 
reportable as expenditures only if the spouse or family members conduct 
campaign-related activities.
    (d) Costs incurred by a candidate for the United States Senate or 
House of Representatives for travel between Washington, DC, and the 
State or district in which he or she is a candidate need not be reported 
herein unless the costs are paid by a candidate's authorized 
committee(s), or by any other political committee(s).
    (e) Notwithstanding paragraphs (b) and (c) of this section, the 
reportable expenditure for a candidate who uses government conveyance or 
accommodations for travel which is campaign-related is the rate for 
comparable commercial conveyance or accommodation. In the case of a 
candidate authorized by law or required by national security to be 
accompanied by staff and equipment, the allocable expenditures are the 
costs of facilities sufficient to accommodate the party, less authorized 
or required personnel and equipment. If such a trip includes both 
campaign and noncampaign stops, equivalent costs are calculated in 
accordance with paragraphs (b) and (c) of this section.


(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

[[Page 111]]

tabulations, and the extent of written analysis and verbal consultation, 
if applicable, may be used to determine the shares; or
    (2) An amount computed by dividing the overall cost of the poll 
equally among candidates (including State and local candidates) or 
political committees receiving the results; or
    (3) A proportion of the overall cost of the poll equal to the 
proportion that the number of question results received by the candidate 
or political committee bears to the total number of question results 
received by all candidates (including State and local candidates) and 
political committees; or
    (4) An amount computed by any other method which reasonably reflects 
the benefit derived.
    (f) The first candidate(s) or committee(s) receiving poll results 
under paragraph (b) or (d) of this section and any candidate or 
political committee receiving poll results under paragraph (b) of this 
section within 15 days after receipt by the initial recipient(s) shall 
compute the amount of the contribution in-kind and the expenditure as 
provided in paragraph (e) of this section.
    (g) The amount of the contribution and expenditure reported by a 
candidate or a political committee receiving poll results under 
paragraph (b) of this section more than 15 days after receipt of such 
poll results by the initial recipient(s) shall be--
    (1) If the results are received during the period 16 to 60 days 
following receipt by the initial recipient(s), 50 percent of the amount 
allocated to an initial recipient of the same results;
    (2) If the results are received during the period 61 to 180 days 
after receipt by the initial recipient(s), 5 percent of the amount 
allocated to an initial recipient of the same results;
    (3) If the results are received more than 180 days after receipt by 
the initial recipient(s), no amount need be allocated.
    (h) A contributor of poll results under paragraph (b) of this 
section shall maintain records sufficient to support the valuation of 
the contribution(s) in-kind and shall inform the candidate-recipient(s) 
or political committee-recipient(s) of the value of the contribution(s).

[41 FR 35944, Aug. 25, 1976, as amended at 45 FR 21209, Apr. 1, 1980]



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

[[Page 112]]

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 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

[[Page 113]]

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 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

[[Page 114]]

(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 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

[[Page 115]]

or non-federal share of each allocable expense.
    (C) No funds contained in the allocation account may be transferred 
to any other account maintained by the committee.
    (2) Timing of transfers between accounts. (i) Under either payment 
option described in paragraphs (g)(1) (i) or (ii) of this section, the 
committee shall transfer funds from its non-federal account to its 
federal account or from its federal and non-federal accounts to its 
separate allocation account following determination of the final cost of 
each joint federal and non-federal activity, or in advance of such 
determination if advance payment is required by the vendor and if such 
payment is based on a reasonable estimate of the activity's final cost 
as determined by the committee and the vendor(s) involved.
    (ii) Funds transferred from a committee's non-federal account to its 
federal account or its allocation account are subject to the following 
requirements:
    (A) For each such transfer, the committee must itemize in its 
reports the allocable activities for which the transferred funds are 
intended to pay, as required by 11 CFR 104.10(b)(3); and
    (B) Except as provided in paragraph (f)(2) of this section, such 
funds may not be transferred more than 10 days before or more than 60 
days after the payments for which they are designated are made.
    (iii) Any portion of a transfer from a committee's non-federal 
account to its federal account or its allocation account that does not 
meet the requirements of paragraph (g)(2)(ii) of this section shall be 
presumed to be a loan or contribution from the non-federal account to a 
federal account, in violation of the Act.
    (3) Reporting transfers of funds and allocated disbursements. A 
political committee that transfers funds between accounts and pays 
allocable expenses according to this section shall report each such 
transfer and disbursement pursuant to 11 CFR 104.10(b).

[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.

[[Page 116]]

    (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 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

[[Page 117]]

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 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.

[[Page 118]]

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.



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

[45 FR 15117, Mar. 7, 1980, as amended at 65 FR 15223, Mar. 22, 2000]



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)).

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

[[Page 119]]

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.

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



Sec. 108.3  Filing copies of reports and statements in connection with the campaign of any congressional candidate (2 U.S.C. 439(a)(2)).

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

[65 FR 15224, Mar. 22, 2000]



Sec. 108.4  Filing copies of reports by committees other than principal campaign committees (2 U.S.C. 439(a)(2)).

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

[65 FR 15224, Mar. 22, 2000]



Sec. 108.5  Time and manner of filing copies (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)).

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

[[Page 120]]

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

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



Sec. 108.7  Effect on State law (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(a)(11) and (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 that is not made with the cooperation of, or in 
consultation with, or in concert 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 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) A communication is ``made with the cooperation of, or in 
consultation with, or in concert with, or at the request or suggestion 
of, a candidate or any agent or authorized committee of such candidate'' 
if it is a coordinated general public political communication under 11 
CFR 100.23.
    (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

[[Page 121]]

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 purposes 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 the dissemination, distribution, or 
republication of campaign materials is a coordinated general public 
political communication under 11 CFR 100.23
    (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; 65 FR 76146, Dec. 6, 2000]



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 report on FEC Form 5 or, if the person is not required 
to file electronically under 11 CFR 104.18, a signed statement with the 
Commission or Secretary of the Senate in accordance with 11 CFR 
104.4(c).
    (1) If a signed statement is submitted, the statement shall include:
    (i) The reporting person's name mailing address, occupation and the 
name of his or her employer, if any;
    (ii) The identification (name and mailing address) of the person to 
whom the expenditure was made;
    (iii) The amount, date and purpose of each expenditure;
    (iv) A statement which indicates whether such expenditure was in 
support of, or in opposition to a candidate, together with the 
candidate's name and office sought;
    (v) A notarized certification under penalty of perjury as to whether 
such expenditure was made in cooperation, consultation or concert with, 
or at the request or suggestion of any candidate or any authorized 
committee or agent thereof; and
    (vi) The identification of each person who made a contribution in 
excess of $200 to the person filing such report, which contribution was 
made for the purpose of furthering the reported independent expenditure.
    (2) Reports or statements filed under this section shall be filed at 
the end of the reporting period (quarterly pre-election post-election 
semi-annual annual) (See 11 CFR 104.5)) during which any independent 
expenditure which aggregrates in excess of $250 is made and in any 
reporting period thereafter in which additional independent expenditures 
are made.
    (b) Independent expenditures aggregating $1,000 or more made by any 
person after the twentieth day, but more than 24 hours before 12:01 a.m 
of the day of an election shall be reported within 24 hours after such 
independent expenditure is made. Such report or statement shall contain 
the information required by 11 CFR 109.2(a) indicating whether the 
independent expenditure is made in support of, or in opposition to, a 
particular candidate and shall be filed with the appropriate officers in 
accordance with 11 CFR 104.4(c).

[45 FR 15118, Mar. 7, 1980, as amended at 61 FR 3550, Feb. 1, 1996; 65 
FR 38424, June 21, 2000]



Sec. 109.3  Non-authorization notice (2 U.S.C. 441d).

    Whenever any person makes an independent expenditure for the purpose 
of

[[Page 122]]

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.
    (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

[[Page 123]]

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 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

[[Page 124]]

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--
    (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.

[[Page 125]]

    (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 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

[[Page 126]]

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 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.

[[Page 127]]

    (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 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

[[Page 128]]

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
    (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

[[Page 129]]

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.
    (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

[[Page 130]]

controlled by the same corporation, labor organization, person or group 
of persons, including any parent, subsidiary, branch, division, 
department or local unit thereof. For the purposes of this section, 
local unit may include, in appropriate cases, a franchisee, licensee, or 
State or regional association.
    (2) Affiliated committees sharing a single contribution limitation 
under paragraph (a)(1)(ii) of this section include all of the committees 
established, financed, maintained or controlled by--
    (i) A single corporation and/or its subsidiaries;
    (ii) A single national or international union and/or its local 
unions or other subordinate organizations;
    (iii) An organization of national or international unions and/or all 
its State and local central bodies;
    (iv) A membership organization, (other than political party 
committees, see paragraph (b) of this section) including trade or 
professional associations, see 11 CFR 114.8(a), and/or related State and 
local entities of that organization or group; or
    (v) The same person or group of persons.
    (3)(i) The Commission may examine the relationship between 
organizations that sponsor committees, between the committees 
themselves, or between one sponsoring organization and a committee 
established by another organization to determine whether committees are 
affiliated.
    (ii) In determining whether committees not described in paragraphs 
(a)(2) (i)-(iv) of this section are affiliated, the Commission will 
consider the circumstantial factors described in paragraphs (a)(3)(ii) 
(A) through (J) of this section. The Commission will examine these 
factors in the context of the overall relationship between committees or 
sponsoring organizations to determine whether the presence of any factor 
or factors is evidence of one committee or organization having been 
established, financed, maintained or controlled by another committee or 
sponsoring organization. Such factors include, but are not limited to:
    (A) Whether a sponsoring organization owns a controlling interest in 
the voting stock or securities of the sponsoring organization of another 
committee;
    (B) Whether a sponsoring organization or committee has the authority 
or ability to direct or participate in the governance of another 
sponsoring organization or committee through provisions of 
constitutions, bylaws, contracts, or other rules, or through formal or 
informal practices or procedures;
    (C) Whether a sponsoring organization or committee has the authority 
or ability to hire, appoint, demote or otherwise control the officers, 
or other decisionmaking employees or members of another sponsoring 
organization or committee;
    (D) Whether a sponsoring organization or committee has a common or 
overlapping membership with another sponsoring organization or committee 
which indicates a formal or ongoing relationship between the sponsoring 
organizations or committees;
    (E) Whether a sponsoring organization or committee has common or 
overlapping officers or employees with another sponsoring organization 
or committee which indicates a formal or ongoing relationship between 
the sponsoring organizations or committees;
    (F) Whether a sponsoring organization or committee has any members, 
officers or employees who were members, officers or employees of another 
sponsoring organization or committee which indicates a formal or ongoing 
relationship between the sponsoring organizations or committees, or 
which indicates the creation of a successor entity;
    (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

[[Page 131]]

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

[[Page 132]]

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

[[Page 133]]

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 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.

[[Page 134]]

    (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;
    (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.

[[Page 135]]

    (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.
    (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

[[Page 136]]

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 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]

[[Page 137]]



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.
    (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.

[[Page 138]]

    (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 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

[[Page 139]]

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 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.

[[Page 140]]

    (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 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

[[Page 141]]

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]



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

[[Page 142]]

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 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 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 
a coordinated general public political communication under 11 CFR 
100.23.
    (A) The portion of the expenditure allocable to a Federal candidate 
is subject to the contribution limitations of 11 CFR 110.1.

[[Page 143]]

    (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 
a coordinated general public political communication under 11 CFR 
100.23.
    (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 
coordinated general public political communications under 11 CFR 100.23.
    (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 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

[[Page 144]]

use of broadcasting, newspapers, magazines, billboards, direct mail or 
similar types of general public communication or political advertising 
to advocate the selection of one or more delegates and also include 
information on or reference to a candidate for the office of President 
or any other public office. If such expenditures are in-kind 
contributions or independent expenditures under paragraphs (i) or (ii) 
below, the delegate committee shall allocate the portion of the 
expenditures relating to the delegate(s) and candidate(s) referred to in 
the communications between them and report the portion allocable to 
each.
    (i) Such expenditures are in-kind contributions to a Federal 
candidate if they are coordinated general public political 
communications under 11 CFR 100.23.
    (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 
a coordinated general public political communication under 11 CFR 
100.23.
    (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.
    (i) Such expenditures are subject to the contribution limitations of 
11 CFR 110.1. The delegate committee shall report the expenditure as a 
contribution in-kind.
    (ii) The Federal candidate's authorized committee shall report the 
expenditure as a contribution pursuant to 11 CFR part 104.
    (iii) Such expenditures are not chargeable to the presidential 
candidate's expenditure limitation under 11 CFR 110.8 unless they were 
coordinated general public political communications under 11 CFR 100.23.
    (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,

[[Page 145]]

such as through direct or indirect payments for administrative, 
fundraising, or other costs, but not including the transfer to a 
committee of its allocated share of proceeds jointly raised pursuant to 
11 CFR 102.17 or 9034.8;
    (v) Whether the Presidential candidate or any other person 
associated with the Presidential authorized committee suggested, 
recommended or arranged for contributions to be made to the delegate 
committee;
    (vi) Similar patterns of contributions received by the committees;
    (vii) Whether one committee provides a mailing list to the other 
committee;
    (viii) Whether the Presidential authorized committee or any person 
associated with that committee provides ongoing administrative support 
to the other committee;
    (ix) Whether the Presidential authorized committee or any person 
associated with that committee directs or organizes the specific 
campaign activities of the delegate committee; and
    (x) Whether the Presidential authorized committee or any person 
associated with that committee files statements or reports on behalf of 
the delegate committee.
    (k) Affiliation between delegate committees. Delegate committees 
will be considered to be affiliated with each other if they meet the 
criteria for affiliation set forth at 11 CFR 100.5(g).

[52 FR 35534, Sept. 22, 1987, as amended at 65 FR 76146, Dec. 6, 2000]



PART 111--COMPLIANCE PROCEDURE (2 U.S.C. 437g, 437d(a))--Table of Contents




Sec.

                         Subpart A--Enforcement

111.1  Scope (2 U.S.C. 437g).
111.2  Computation of time.
111.3  Initiation of compliance matters (2 U.S.C. 437g(a)(1), (2)).
111.4  Complaints (2 U.S.C. 437g(a)(1)).
111.5  Initial complaint processing; notification (2 U.S.C. 437g(a)(1)).
111.6  Opportunity to demonstrate that no action should be taken on 
          complaint-generated matters (2 U.S.C. 437g(a)(1)).
111.7  General Counsel's recommendation on complaint-generated matters 
          (2 U.S.C. 437g(a)(1)).
111.8  Internally generated matters; referrals (2 U.S.C. 437g(a)(2)).
111.9  The reason to believe finding; notification (2 U.S.C. 
          437g(a)(2)).
111.10  Investigation (2 U.S.C. 437g(a)(2)).
111.11  Written questions under order (2 U.S.C. 437d(a)(1)).
111.12  Subpoenas and subpoenas duces tecum; depositions (2 U.S.C. 
          437d(a) (3), (4)).
111.13  Service of subpoenas, orders and notifications (2 U.S.C. 437d(a) 
          (3), (4)).
111.14  Witness fees and mileage (2 U.S.C. 437d(a)(5)).
111.15  Motions to quash or modify a subpoena (2 U.S.C. 437d(a) (3), 
          (4)).
111.16  The probable cause to believe recommendation; briefing 
          procedures (2 U.S.C. 437g(a)(3)).
111.17  The probable cause to believe finding; notification (2 U.S.C. 
          437g(a)(4)).
111.18  Conciliation (2 U.S.C. 437g(a)(4)).
111.19  Civil proceedings (2 U.S.C. 437g(a)(6)).
111.20  Public disclosure of Commission action (2 U.S.C. 437g(a)(4)).
111.21  Confidentiality (2 U.S.C. 437g(a)(12)).
111.22  Ex parte communications.
111.23  Representation by counsel; notification.
111.24  Civil Penalties (2 U.S.C. 437g(a) (5), (6), (12), 28 U.S.C. 2461 
          nt.).

                     Subpart B--Administrative Fines

111.30  When will subpart B apply?
111.31  Does this subpart replace subpart A of this part for violations 
          of the reporting requirements of 2 U.S.C. 434(a)?
111.32  How will the Commission notify respondents of a reason to 
          believe finding and a proposed civil money penalty?
111.33  What are the respondent's choices upon receiving the reason to 
          believe finding and the proposed civil money penalty?
111.34  If the respondent decides to pay the civil money penalty and not 
          to challenge the reason to believe finding, what should the 
          respondent do?
111.35  If the respondent decides to challenge the alleged violation or 
          proposed civil money penalty, what should the respondent do?
111.36  Who will review the respondent's written response?
111.37  What will the Commission do once it receives the respondent's 
          written response and the reviewing officer's recommendation?
111.38  Can the respondent appeal the Commission's final determination?
111.39  When must the respondent pay the civil money penalty?
111.40  What happens if the respondent does not pay the civil money 
          penalty pursuant to 11 CFR 111.34 and does not submit a 
          written response to the reason to believe finding pursuant to 
          11 CFR 111.35?

[[Page 146]]

111.41  To whom should the civil money penalty payment be made payable?
111.42  Will the enforcement file be made available to the public?
111.43  What are the schedules of penalties?
111.44  What is the schedule of penalties for 48-hour notices that are 
          not filed or are filed late?
111.45  What actions will be taken to collect unpaid civil money 
          penalties?

    Authority: 2 U.S.C. 437g, 437d(a), 438(a)(8); 28 U.S.C. 2461 nt..

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



                         Subpart A--Enforcement



Sec. 111.1  Scope (2 U.S.C. 437g).

    These regulations provide procedures for processing possible 
violations of the Federal Election Campaign Act of 1971, as amended (2 
U.S.C. 431, et seq.) and chapters 95 and 96 of the Internal Revenue Code 
of 1954 (26 U.S.C. 9001, et seq. and 9031 et seq.).



Sec. 111.2  Computation of time.

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



Sec. 111.3  Initiation of compliance matters (2 U.S.C. 437g(a)(1), (2)).

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



Sec. 111.4  Complaints (2 U.S.C. 437g(a)(1)).

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

[[Page 147]]

    (3) It should contain a clear and concise recitation of the facts 
which describe a violation of a statute or regulation over which the 
Commission has jurisdiction; and
    (4) It should be accompanied by any documentation supporting the 
facts alleged if such documentation is known of, or available to, the 
complainant.

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



Sec. 111.5  Initial complaint processing; notification (2 U.S.C. 437g(a)(1)).

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



Sec. 111.6  Opportunity to demonstrate that no action should be taken on complaint-generated matters (2 U.S.C. 437g(a)(1)).

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



Sec. 111.7  General Counsel's recommendation on complaint-generated matters (2 U.S.C. 437g(a)(1)).

    (a) Following either the expiration of the fifteen (15) day period 
specified by 11 CFR 111.6(a) or the receipt of a response as specified 
by 11 CFR 111.6(a), whichever occurs first, the General Counsel may 
recommend to the Commission whether or not it should find reason to 
believe that a respondent has committed or is about to commit a 
violation of statutes or regulations over which the Commission has 
jurisdiction.
    (b) The General Counsel may recommend that the Commission find that 
there is no reason to believe that a violation has been committed or is 
about to be committed, or that the Commission otherwise dismiss a 
complaint without regard to the provisions of 11 CFR 111.6(a).



Sec. 111.8  Internally generated matters; referrals (2 U.S.C. 437g(a)(2)).

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

[[Page 148]]

the person and the report or reports such person has failed to file.
    (d) Notwithstanding Secs. 111.9 through 111.19, for violations of 2 
U.S.C. 434(a), the Commission, when appropriate, may review internally 
generated matters under subpart B of this part.

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



Sec. 111.9  The reason to believe finding; notification (2 U.S.C. 437g(a)(2)).

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



Sec. 111.10  Investigation (2 U.S.C. 437g(a)(2)).

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



Sec. 111.11  Written questions under order (2 U.S.C. 437d(a)(1)).

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



Sec. 111.12  Subpoenas and subpoenas duces tecum; depositions (2 U.S.C. 437d(a) (3), (4)).

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



Sec. 111.13  Service of subpoenas, orders and notifications (2 U.S.C. 437d(a) (3), (4)).

    (a) Service of a subpoena, order or notification upon a person named 
therein shall be made by delivering a copy to that person in the manner 
described by 11 CFR 111.13 (b), (c), and (d). In the case of subpoenas, 
fees for one day's attendance and mileage shall be tendered as specified 
in 11 CFR 111.14.
    (b) Whenever service is to be made upon a person who has advised the 
Commission of representation by an attorney pursuant to 11 CFR 111.23, 
the service shall be made upon the attorney by any of the methods 
specified in 11 CFR 111.13(c).
    (c) Delivery of subpoenas, orders and notifications to a natural 
person may be made by handing a copy to the person, or leaving a copy at 
his or her office with the person in charge thereof, by leaving a copy 
at his or her dwelling place or usual place of abode with some person of 
suitable age and discretion residing therein, or by mailing a copy by 
registered or certified mail to his or her last known address, or by any 
other method whereby actual notice is given.

[[Page 149]]

    (d) When the person to be served is not a natural person delivery of 
subpoenas, orders and notifications may be made by mailing a copy by 
registered or certified mail to the person at its place of business or 
by handing a copy to a registered agent for service, or to any officer, 
director, or agent in charge of any office of such person, or by mailing 
a copy by registered or certified mail to such representative at his or 
her last known address, or by any other method whereby actual notice is 
given.



Sec. 111.14  Witness fees and mileage (2 U.S.C. 437d(a)(5)).

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



Sec. 111.15  Motions to quash or modify a subpoena (2 U.S.C. 437d(a) (3), (4)).

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

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



Sec. 111.16  The probable cause to believe recommendation; briefing procedures (2 U.S.C. 437g(a)(3)).

    (a) Upon completion of the investigation, the General Counsel shall 
prepare a brief setting forth his or her position on the factual and 
legal issues of the case and containing a recommendation on whether or 
not the Commission should find probable cause to believe that a 
violation has occurred or is about to occur.
    (b) The General Counsel shall notify each respondent of the 
recommendation and enclose a copy of his or her brief.
    (c) Within fifteen (15) days from receipt of the General Counsel's 
brief, respondent may file a brief with the Commission Secretary, 
Federal Election Commission, 999 E Street, NW., Washington, DC 20463, 
setting forth respondent's position on the factual and legal issues of 
the case. If possible, ten (10) copies of such brief should be filed 
with the Commission Secretary and three (3) copies should be submitted 
to the General Counsel, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463.
    (d) After reviewing the respondent's brief, the General Counsel 
shall advise the Commission in writing whether he or she intends to 
proceed with the recommendation or to withdraw the recommendation from 
Commission consideration.

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



Sec. 111.17  The probable cause to believe finding; notification (2 U.S.C. 437g(a)(4)).

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

[[Page 150]]



Sec. 111.18  Conciliation (2 U.S.C. 437g(a)(4)).

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



Sec. 111.19  Civil proceedings (2 U.S.C. 437g(a)(6)).

    (a) If no conciliation agreement is finalized within the applicable 
minimum period specified by 11 CFR 111.18(c) the General Counsel may 
recommend to the Commission that the Commission authorize a civil action 
for relief in an appropriate court of the United States.
    (b) Upon recommendation of the General Counsel, the Commission may, 
by an affirmative vote of four (4) of its members, authorize the General 
Counsel to commence a civil action for relief in an appropriate court of 
the United States.
    (c) The provisions of 11 CFR 111.18(c) shall not preclude the 
Commission upon request of a respondent, from entering into a 
conciliation agreement even after a recommendation to file a civil 
action has been made pursuant to this section. Any conciliation 
agreement reached under this subsection is subject to the provisions of 
11 CFR 111.18(b) and shall have the same force and effect as a 
conciliation agreement reached under 11 CFR 111.18(c).



Sec. 111.20  Public disclosure of Commission action (2 U.S.C. 437g(a)(4)).

    (a) If the Commission makes a finding of no reason to believe or no 
probable cause to believe or otherwise terminates its proceedings, it 
shall make public such action and the basis therefor no later than 
thirty (30) days from the date on which the required notifications are 
sent to complainant and respondent.
    (b) If a conciliation agreement is finalized, the Commission shall 
make public such conciliation agreement forthwith.
    (c) For any compliance matter in which a civil action is commenced, 
the Commission will make public the non-exempt 2 U.S.C. 437g 
investigatory materials in the enforcement and litigation files no later 
than thirty (30) days from the date on which the Commission sends the 
complainant and the respondent(s) the required notification of the final 
disposition of the civil action. The final disposition may consist of a 
judicial decision which is not reviewed by a higher court.

[45 FR 15120, Mar. 7, 1980, as amended at 65 FR 31794, May 19, 2000]



Sec. 111.21  Confidentiality (2 U.S.C. 437g(a)(12)).

    (a) Except as provided in 11 CFR 111.20, no complaint filed with the 
Commission, nor any notification sent

[[Page 151]]

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



Sec. 111.22  Ex parte communications.

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



Sec. 111.23  Representation by counsel; notification.

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



Sec. 111.24  Civil Penalties (2 U.S.C. 437g(a) (5), (6), (12), 28 U.S.C. 2461 nt.).

    (a) Except as provided in 11 CFR part 111, subpart B and in 
paragraph (b) of this section, a civil penalty negotiated by the 
Commission or imposed by a court for a violation of the Act or chapters 
95 or 96 of title 26 (26 U.S.C.) shall not exceed the greater of $5,500 
or an amount equal to any contribution or expenditure involved in the 
violation. In the case of a knowing and willful violation, the civil 
penalty shall not exceed the greater of $11,000 or an amount equal to 
200% of any contribution or expenditure involved in the violation.
    (b) Any Commission member or employee, or any other person, who in 
violation of 2 U.S.C. 437g(a)(12)(A) makes

[[Page 152]]

public any notification or investigation under 2 U.S.C. 437g without 
receiving the written consent of the person receiving such notification, 
or the person with respect to whom such investigation is made, shall be 
fined not more than $2,200. Any such member employee, or other person 
who knowingly and willfully violates this provision shall be fined not 
more than $5,500.

[62 FR 11317, Mar. 12, 1997; 62 FR 18167, Apr. 14, 1997; 65 FR 31794, 
May 19, 2000]



                     Subpart B--Administrative Fines

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



Sec. 111.30  When will subpart B apply?

    Subpart B applies to violations of the reporting requirements of 2 
U.S.C. 434(a) that relate to the reporting periods that begin on or 
after July 14, 2000, and end on or before December 31, 2003, committed 
by political committees and their treasurers.

[66 FR 59681, Nov. 30, 2001]



Sec. 111.31  Does this subpart replace subpart A of this part for violations of the reporting requirements of 2 U.S.C. 434(a)?

    (a) No; Secs. 111.1 through 111.8 and 111.20 through 111.24 shall 
apply to all compliance matters. This subpart will apply, rather than 
Secs. 111.9 through 111.19, when the Commission, on the basis of 
information ascertained by the Commission in the normal course of 
carrying out its supervisory responsibilities, and when appropriate, 
determines that the compliance matter should be subject to this subpart. 
If the Commission determines that the violation should not be subject to 
this subpart, then the violation will be subject to all sections of 
subpart A of this part.
    (b) Subpart B will apply to compliance matters resulting from a 
complaint filed pursuant to 11 CFR 111.4 through 111.7 if the complaint 
alleges a violation of 2 U.S.C. 434(a). If the complaint alleges 
violations of any other provision of any statute or regulation over 
which the Commission has jurisdiction, subpart A will apply to the 
alleged violations of these other provisions.



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

    If the Commission determines, by an affirmative vote of at least 
four (4) of its members, that it has reason to believe that a respondent 
has violated 2 U.S.C. 434(a), the Chairman or Vice-Chairman shall notify 
such respondent of the Commission's finding. The written notification 
shall set forth the following:
    (a) The alleged factual and legal basis supporting the finding 
including the type of report that was due, the filing deadline, the 
actual date filed (if filed), and the number of days the report was late 
(if filed);
    (b) The applicable schedule of penalties;
    (c) The number of times the respondent has been assessed a civil 
money penalty under this subpart during the current two-year election 
cycle and the prior two-year election cycle;
    (d) The amount of the proposed civil money penalty based on the 
schedules of penalties set forth in 11 CFR 111.43 or 111.44; and
    (e) An explanation of the respondent's right to challenge both the 
reason to believe finding and the proposed civil money penalty.



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

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



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

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

[[Page 153]]

of the civil money penalty and an acknowledgment of the respondent's 
payment.



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

    (a) Within forty (40) days of the Commission's reason to believe 
finding, the respondent shall submit to the Commission a written 
response.
    (b) The written response shall contain the following:
    (1) Reason(s) why the respondent is challenging the reason to 
believe finding and/or civil money penalty which may consist of:
    (i) The existence of factual errors; and/or
    (ii) The improper calculation of the civil money penalty; and/or
    (iii) The existence of extraordinary circumstances that were beyond 
the control of the respondent and that were for a duration of at least 
48 hours and that prevented the respondent from filing the report in a 
timely manner;
    (2) The factual basis supporting the reason(s); and
    (3) Supporting documentation.
    (4) Examples of circumstances that will not be considered 
extraordinary include, but are not limited to, the following:
    (i) Negligence;
    (ii) Problems with vendors or contractors;
    (iii) Illness of staff;
    (iv) Computer failures (except failures of the Commission's 
computers); and
    (v) Other similar circumstances.



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

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



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

    (a) If the Commission, after having found reason to believe and 
after reviewing the respondent's written response and the reviewing 
officer's recommendation, determines by an affirmative vote of at least 
four (4) of its members, that the respondent has violated 2 U.S.C. 
434(a) and the amount of the civil money penalty, the Commission shall 
authorize the reviewing officer to notify the respondent by letter of 
its final determination.
    (b) If the Commission, after reviewing the reason to believe 
finding, the respondent's written response, and the

[[Page 154]]

reviewing officer's written recommendation, determines by an affirmative 
vote of at least four (4) of its members, that no violation has 
occurred, or otherwise terminates its proceedings, the Commission shall 
authorize the reviewing officer to notify the respondent by letter of 
its final determination.
    (c) The Commission will modify the proposed civil money penalty only 
if the respondent is able to demonstrate that the amount of the proposed 
civil money penalty was calculated on an incorrect basis.
    (d) The Commission may determine, by an affirmative vote of at least 
four of its members, that a violation of 2 U.S.C. 434(a) has occurred 
but waive the penalty because the respondent has convincingly 
demonstrated the existence of extraordinary circumstances that were 
beyond the respondent's control and that were for a duration of at least 
48 hours. The Commission shall authorize the reviewing officer to notify 
the respondent by letter of its final determination.



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

    Yes; within thirty (30) days of receipt of the Commission's final 
determination under 11 CFR 111.37, the respondent may submit a written 
petition to the district court of the United States for the district in 
which the respondent resides, or transacts business, requesting that the 
final determination be modified or set aside. The respondent's failure 
to raise an argument in a timely fashion during the administrative 
process shall be deemed a waiver of the respondent's right to present 
such argument in a petition to the district court under 2 U.S.C. 437g.



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

    (a) If the respondent does not submit a written petition to the 
district court of the United States, the respondent must remit payment 
of the civil money penalty within thirty (30) days of receipt of the 
Commission's final determination under 11 CFR 111.37.
    (b) If the respondent submits a written petition to the district 
court of the United States and, upon the final disposition of the civil 
action, is required to pay a civil money penalty, the respondent shall 
remit payment of the civil money penalty to the Commission within thirty 
(30) days of the final disposition of the civil action. The final 
disposition may consist of a judicial decision which is not reviewed by 
a higher court.
    (c) Failure to pay the civil money penalty may result in the 
commencement of collection action under 31 U.S.C. 3701 et seq. (1996), 
or a civil suit pursuant to 2 U.S.C. 437g(a)(6)(A), or any other legal 
action deemed necessary by the Commission.



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

    (a) If the Commission, after the respondent has failed to pay the 
civil money penalty and has failed to submit a written response, 
determines by an affirmative vote of at least four (4) of its members 
that the respondent has violated 2 U.S.C. 434(a) and determines the 
amount of the civil money penalty, the respondent shall be notified by 
letter of its final determination.
    (b) The respondent shall transmit payment of the civil money penalty 
to the Commission within thirty (30) days of receipt of the Commission's 
final determination.
    (c) Failure to pay the civil money penalty may result in the 
commencement of collection action under 31 U.S.C. 3701 et seq. (1996), 
or a civil suit pursuant to 2 U.S.C. 437g(a)(6)(A), or any other legal 
action deemed necessary by the Commission.



Sec. 111.41  To whom should the civil money penalty payment be made payable?

    Payment of civil money penalties shall be made in the form of a 
check or money order made payable to the Federal Election Commission.



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

    (a) Yes; the Commission shall make the enforcement file available to 
the public.

[[Page 155]]

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



Sec. 111.43  What are the schedules of penalties?

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

------------------------------------------------------------------------
                                                          Or the report
  If the level of activity in     And the report was     was not filed,
        the report was:          filed late, the civil   the civil money
                                   money penalty is:       penalty is:
------------------------------------------------------------------------
$1-24,999.99 \a\..............  [$100 + ($25  x         $900  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$25,000-49,999.99.............  [$200 + ($50  x         $1800  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$50,000-74,999.99.............  [$300 + ($75  x         $2700  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$75,000-99,999.99.............  [$400 + ($100  x        $3500  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$100,000-149,999.99...........  [$600 + ($125  x        $4500  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$150,000-199,999.99...........  [$800 + ($150  x        $5500  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$200,000-249,999.99...........  [$1000 + ($175  x       $6500  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$250,000-349,999.99...........  [$1500 + ($200  x       $8000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$350,000-449,999.99...........  [$2000 + ($200  x       $9000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$450,000-549,999.99...........  [$2500 + ($200  x       $9500  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$550,000-649,999.99...........  [$3000 + ($200  x       $10,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$650,000-749,999.99...........  [$3500 + ($200  x       $10,500  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$750,000-849,999.99...........  [$4000 + ($200  x       $11,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$850,000-949,999.99...........  [$4500 + ($200  x       $11,500  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$950,000 or over..............  [$5000 + ($200  x       $12,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
\a\ The civil money penalty for a respondent who does not have any
  previous violations will not exceed the level of activity in the
  report.

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

------------------------------------------------------------------------
                                                          Or the report
  If the level of activity in     And the report was     was not filed,
        the report was:          filed late, the civil   the civil money
                                   money penalty is:       penalty is:
------------------------------------------------------------------------
$1-24,999.99 a................  [$150 + ($25  x         $1000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------

[[Page 156]]

 
$25,000-49,999.99.............  [$300 + ($50  x         $2000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$50,000-74,999.99.............  [$450 + ($75  x         $3000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$75,000-99,999.99.............  [$600 + ($100  x        $4000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$100,000-149,999.99...........  [$900 + ($125  x        $5000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$150,000-199,999.99...........  [$1200 + ($150  x       $6000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$200,000-249,999.99...........  [$1500 + ($175  x       $7500  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$250,000-349,999.99...........  [$2250 + ($200  x       $9000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$350,000-449,999.99...........  [$3000 + ($200  x       $10,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$450,000-549,999.99...........  [$3750 + ($200  x       $11,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$550,000-649,999.99...........  [$4500 + ($200  x       $12,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$650,000-749,999.99...........  [$5250 + ($200  x       $13,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$750,000-849,999.99...........  [$6000 + ($200  x       $14,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$850,000-949,999.99...........  [$6750 + ($200  x       $15,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
$950,000 or over..............  [$7500 + ($200  x       $16,000  x  [1 +
                                 Number of days late)]   (.25  x  Number
                                  x  [1 + (.25  x        of previous
                                 Number of previous      violations)].
                                 violations)].
------------------------------------------------------------------------
a The civil money penalty for a respondent who does not have any
  previous violations will not exceed the level of activity in the
  report.

    (c) If the respondent fails to file a required report and the 
Commission cannot calculate the level of activity under paragraph (d) of 
this section, then the civil money penalty shall be $5,500.
    (d) Definitions. For this section only, the following definitions 
will apply:
    Election Sensitive Reports means third quarter reports due on 
October 15th before the general election (for all committees required to 
file this report except committees of candidates who do not participate 
in that general election); monthly reports due October 20th before the 
general election (for all committees required to file this report except 
committees of candidates who do not participate in that general 
election); and pre-election reports for primary, general, and special 
elections under 11 CFR 104.5.
    Estimated level of activity means total receipts and disbursements 
reported in the current two-year election cycle divided by the number of 
reports filed to date covering the activity in the current two-year 
election cycle. If the respondent has not filed a report covering 
activity in the current two-year election cycle, estimated level of 
activity means total receipts and disbursements reported in the prior 
two-year election cycle divided by the number of reports filed covering 
the activity in the prior two-year election cycle.
    Level of activity means the total amount of receipts and 
disbursements for the period covered by the late report. If the report 
is not filed, the level

[[Page 157]]

of activity is the estimated level of activity.
    Number of previous violations mean all prior final civil money 
penalties assessed under this subpart during the current two-year 
election cycle and the prior two-year election cycle.
    (e) For purposes of the schedules of penalties in paragraphs (a) and 
(b) of this section,
    (1) Reports that are not election sensitive reports are considered 
to be filed late if they are filed after their due dates but within 
thirty (30) days of their due dates. These reports are considered to be 
not filed if they are filed after thirty (30) days of their due dates or 
not filed at all.
    (2) Election sensitive reports are considered to be filed late if 
they are filed after their due dates but prior to four (4) days before 
the primary election for pre-primary reports, prior to four (4) days 
before the special election for pre-special election reports, or prior 
to four (4) days before the general election for all other election 
sensitive reports. These reports are considered to be not filed if they 
are not filed prior to four (4) days before the primary election for 
pre-primary reports, prior to four (4) days before the special election 
for pre-special election reports or prior to four (4) days before the 
general election for all other election sensitive reports.



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

    (a) If the respondent fails to file timely a notice regarding 
contribution(s) received after the 20th day but more than 48 hours 
before the election as required under 2 U.S.C. 434(a)(6), the civil 
money penalty will be calculated as follows:
    (1) Civil money penalty = $100 + (.10  x  amount of the 
contribution(s) not timely reported).
    (2) The civil money penalty calculated in paragraph (a)(1) of this 
section shall be increased by twenty-five percent (25%) for each prior 
violation.
    (b) For purposes of this section, prior violation means a civil 
money penalty that has been assessed against the respondent under this 
subpart in the current two-year election cycle or the prior two-year 
election cycle.



Sec. 111.45  What actions will be taken to collect unpaid civil money penalties?

    The Commission may take any and all appropriate collection actions 
authorized and required by the Debt Collection Act of 1982, as amended 
by the Debt Collection Improvement Act of 1996 (31 U.S.C. 3701 et. 
seq.). The U.S. Department of the Treasury regulations at 31 CFR 285.2, 
285.4, and 285.7 and the Federal Claims Collection Standards issued 
jointly by the Department of Justice and the Government Accounting 
Office at 4 CFR parts 101 through 105 also apply.



PART 112--ADVISORY OPINIONS (2 U.S.C. 437f)--Table of Contents




Sec.
112.1  Requests for advisory opinions (2 U.S.C. 437f(a)(1)).
112.2  Public availability of requests (2 U.S.C. 437f(d)).
112.3  Written comments on requests (2 U.S.C. 437f(d)).
112.4  Issuance of advisory opinions (2 U.S.C. 437f (a) and (b)).
112.5  Reliance on advisory opinions (2 U.S.C. 437f(c)).
112.6  Reconsideration of advisory opinions.

    Authority: 2 U.S.C. 437f, 438(a)(8).

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



Sec. 112.1  Requests for advisory opinions (2 U.S.C. 437f(a)(1)).

    (a) Any person may request in writing an advisory opinion concerning 
the application of the Act, chapters 95 or 96 of the Internal Revenue 
Code of 1954, or any regulation prescribed by the Commission. An 
authorized agent of the requesting person may submit the advisory 
opinion request, but the agent shall disclose the identity of his or her 
principal.
    (b) The written advisory opinion request shall set forth a specific 
transaction or activity that the requesting person plans to undertake or 
is presently undertaking and intends to undertake in the future. 
Requests presenting a general question of interpretation, or posing a 
hypothetical situation, or regarding the activities of

[[Page 158]]

third parties, do not qualify as advisory opinion requests.
    (c) Advisory opinion requests shall include a complete description 
of all facts relevant to the specific transaction or activity with 
respect to which the request is made.
    (d) The Office of General Counsel shall review all requests for 
advisory opinions submitted under 11 CFR 112.1. If the Office of General 
Counsel determines that a request for an advisory opinion is incomplete 
or otherwise not qualified under 11 CFR 112.1, it shall, within 10 
calendar days of receipt of such request, notify the requesting person 
and specify the deficiencies in the request.
    (e) Advisory opinion requests should be sent to the Federal Election 
Commission, Office of General Counsel, 999 E Street, NW., Washington, DC 
20463.
    (f) Upon receipt by the Commission, each request which qualifies as 
an advisory opinion request (AOR) under 11 CFR 112.1 shall be assigned 
an AOR number for reference purposes.

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



Sec. 112.2  Public availability of requests (2 U.S.C. 437f(d)).

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



Sec. 112.3  Written comments on requests (2 U.S.C. 437f(d)).

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

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



Sec. 112.4  Issuance of advisory opinions (2 U.S.C. 437f (a) and (b)).

    (a) Within 60 calendar days after receiving an advisory opinion 
request that qualifies under 11 CFR 112.1, the Commission shall issue to 
the requesting person a written advisory opinion or shall issue a 
written response stating that the Commission was unable to approve an 
advisory opinion by the required affirmative vote of 4 members.
    (b) The 60 calendar day period of 11 CFR 112.4(a) is reduced to 20 
calendar days for an advisory opinion request qualified under 11 CFR 
112.1 provided the request:
    (1) Is submitted by any candidate, including any authorized 
committee of the candidate (or agent of either), within the 60 calendar 
days preceding the date of any election for Federal office in which the 
candidate is seeking nomination or election; and
    (2) Presents a specific transaction or activity related to the 
election that may invoke the 20 day period if the connection is 
explained in the request.
    (c) The 60 day and 20 day periods referred to in 11 CFR 112.4 (a) 
and (b) only apply when the Commission has received a qualified and 
complete advisory opinion request under 11 CFR 112.1, and when the 60th 
or 20th day occurs on a Saturday, Sunday or Federal holiday, the 
respective period ends at

[[Page 159]]

the close of the business day next following the weekend or holiday.
    (d) The Commission may issue advisory opinions pertaining only to 
the Federal Election Campaign Act of 1971, as amended, chapters 95 or 96 
of the Internal Revenue Code of 1954, or rules or regulations duly 
prescribed under those statutes.
    (e) Any rule of law which is not stated in the Act or in chapters 95 
or 96 of the Internal Revenue Code of 1954, or in a regulation duly 
prescribed by the Commission, may be initially proposed only as a rule 
or regulation pursuant to procedures established in 2 USC 438(d) or 26 
USC 9009(c) and 9039(c) as applicable.
    (f) No opinion of an advisory nature may be issued by the Commission 
or any of its employees except in accordance with 11 CFR part 112; 
however, this limitation does not preclude distribution by the 
Commission of information consistent with the Act and chapters 95 or 96 
of the Internal Revenue Code of 1954.
    (g) When issued by the Commission, each advisory opinion or other 
response under 11 CFR 112.4(a) shall be made public and sent by mail, or 
personally delivered to the person who requested the opinion.



Sec. 112.5  Reliance on advisory opinions (2 U.S.C. 437f(c)).

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



Sec. 112.6  Reconsideration of advisory opinions.

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



PART 113--EXCESS CAMPAIGN FUNDS AND FUNDS DONATED TO SUPPORT FEDERAL OFFICEHOLDER ACTIVITIES (2 U.S.C. 439a)--Table of Contents




Sec.
113.1  Definitions (2 U.S.C. 439a).
113.2  Use of funds (2 U.S.C. 439a).
113.3  Deposits of funds donated to a Federal or State officeholder (2 
          U.S.C. 432(h)).
113.4  Contribution and expenditure limitations (2 U.S.C. 441a).

    Authority: 2 U.S.C. 432(h), 438(a)(8), 439a, 441a.

[[Page 160]]


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



Sec. 113.1  Definitions (2 U.S.C. 439a).

    When used in this part--
    (a) Funds donated. Funds donated means all funds, including, but not 
limited to, gifts, loans, advances, credits or deposits of money which 
are donated for the purpose of supporting the activities of a Federal or 
State officeholder; but does not mean funds appropriated by Congress, a 
State legislature, or another similar public appropriating body, or 
personal funds of the officeholder donated to an account containing only 
those personal funds.
    (b) Office account. Office account means an account established for 
the purposes of supporting the activities of a Federal or State 
officeholder which contains excess campaign funds and funds donated, but 
does not include an account used exclusively for funds appropriated by 
Congress, a State legislature, or another similar public appropriating 
body, or an account of the officeholder which contains only the personal 
funds of the officeholder, or an account containing only appropriated 
funds and only personal funds of the officeholder.
    (c) Federal officeholder. Federal officeholder means an individual 
elected to or serving in the office of President or Vice President of 
the United States; or a Senator or a Representative in, or Delegate or 
Resident Commissioner to, the Congress of the United States.
    (d) State officeholder. State officeholder means an individual 
elected to or serving in any elected public office within a State of the 
United States, the District of Columbia, the Commonwealth of Puerto Rico 
or any subdivision thereof.
    (e) Excess campaign funds. Excess campaign funds means amounts 
received by a candidate as contributions which he or she determines are 
in excess of any amount necessary to defray his or her campaign 
expenditures.
    (f) Qualified Member. Qualified Member means an individual who was 
serving as a Senator or Representative in, or Delegate or Resident 
Commissioner to, Congress, on January 8, 1980.
    (g) Personal use. Personal use means any use of funds in a campaign 
account of a present or former candidate to fulfill a commitment, 
obligation or expense of any person that would exist irrespective of the 
candidate's campaign or duties as a Federal officeholder.
    (1)(i) Personal use includes but is not limited to the use of funds 
in a campaign account for:
    (A) Household food items or supplies;
    (B) Funeral, cremation or burial expenses;
    (C) Clothing, other than items of de minimis value that are used in 
the campaign, such as campaign ``T-shirts'' or caps with campaign 
slogans;
    (D) Tuition payments, other than those associated with training 
campaign staff;
    (E) Mortgage, rent or utility payments--
    (1) For any part of any personal residence of the candidate or a 
member of the candidate's family; or
    (2) For real or personal property that is owned by the candidate or 
a member of the candidate's family and used for campaign purposes, to 
the extent the payments exceed the fair market value of the property 
usage;
    (F) Admission to a sporting event, concert, theater or other form of 
entertainment, unless part of a specific campaign or officeholder 
activity;
    (G) Dues, fees or gratuities at a country club, health club, 
recreational facility or other nonpolitical organization, unless they 
are part of the costs of a specific fundraising event that takes place 
on the organization's premises; and
    (H) Salary payments to a member of the candidate's family, unless 
the family member is providing bona fide services to the campaign. If a 
family member provides bona fide services to the campaign, any salary 
payment in excess of the fair market value of the services provided is 
personal use.
    (ii) The Commission will determine, on a case by case basis, whether 
other uses of funds in a campaign account fulfill a commitment, 
obligation or expense that would exist irrespective of the candidate's 
campaign or duties as a Federal officeholder, and therefore are personal 
use. Examples of such other uses include:
    (A) Legal expenses;
    (B) Meal expenses;

[[Page 161]]

    (C) Travel expenses, including subsistence expenses incurred during 
travel. If a committee uses campaign funds to pay expenses associated 
with travel that involves both personal activities and campaign or 
officeholder related activities, the incremental expenses that result 
from the personal activities are personal use, unless the person(s) 
benefiting from this use reimburse(s) the campaign account within thirty 
days for the amount of the incremental expenses; and
    (D) Vehicle expenses, unless they are a de minimis amount. If a 
committee uses campaign funds to pay expenses associated with a vehicle 
that is used for both personal activities beyond a de minimus amount and 
campaign or officerholder related activities, the portion of the vehicle 
expenses associated with the personal activities is personal use, unless 
the person(s) using the vehicle for personal activities reimburse(s) the 
campaign account within thirty days for the expenses associated with the 
personal activities.
    (2) Charitable donations. Donations of campaign funds or assets to 
an organization described in section 170(c) of Title 26 of the United 
States Code are not personal use, unless the candidate receives 
compensation from the organization before the organization has expended 
the entire amount donated for purposes unrelated to his or her personal 
benefit.
    (3) Transfers of campaign assets. The transfer of a campaign 
committee asset is not personal use so long as the transfer is for fair 
market value. Any depreciation that takes place before the transfer must 
be allocated between the committee and the purchaser based on the useful 
life of the asset.
    (4) Gifts. Gifts of nominal value and donations of a nominal amount 
made on a special occasion such as a holiday, graduation, marriage, 
retirement, or death are not personal use, unless made to a member of 
the candidate's family.
    (5) Political or officially connected expenses. The use of campaign 
funds for an expense that would be a political expense under the rules 
of the United States House of Representatives or an officially connected 
expense under the rules of the United States Senate is not personal use 
to the extent that the expense is an expenditure under 11 CFR 100.8 or 
an ordinary and necessary expense incurred in connection with the duties 
of a holder of Federal office. Any use of funds that would be personal 
use under 11 CFR 113.1(g)(1) will not be considered an expenditure under 
11 CFR 100.8 or an ordinary and necessary expense incurred in connection 
with the duties of a holder of Federal office.
    (6) Third party payments. Notwithstanding that the use of funds for 
a particular expense would be a personal use under this section, payment 
of that expense by any person other than the candidate or the campaign 
committee shall be a contribution under 11 CFR 100.7 to the candidate 
unless the payment would have been made irrespective of the candidacy. 
Examples of payments considered to be irrespective of the candidacy 
include, but are not limited to, situations where--
    (i) The payment is a donation to a legal expense trust fund 
established in accordance with the rules of the United States Senate or 
the United State House of Representatives;
    (ii) The payment is made from funds that are the candidate's 
personal funds as defined in 11 CFR 110.10(b), including an account 
jointly held by the candidate and a member of the candidate's family;
    (iii) Payments for that expense were made by the person making the 
payment before the candidate became a candidate. Payments that are 
compensation shall be considered contributions unless--
    (A) The compensation results from bona fide employment that is 
genuinely independent of the candidacy;
    (B) The compensation is exclusively in consideration of services 
provided by the employee as part of this employment; and
    (C) The compensation does not exceed the amount of compensation 
which would be paid to any other similarly qualified person for the same 
work over the same period of time.
    (7) Members of the candidate's family. For the purposes of section 
113.1(g), the candidate's family includes:
    (i) The spouse of the candidate;
    (ii) Any child, step-child, parent, grandparent, sibling, half-
sibling or

[[Page 162]]

step-sibling of the candidate or the candidate's spouse;
    (iii) The spouse of any child, step-child, parent, grandparent, 
sibling, half-sibling or step-sibling of the candidate; and
    (iv) A person who has a committed relationship with the candidate, 
such as sharing a household and having mutual responsibility for each 
other's personal welfare or living expenses.

[45 FR 15124, Mar. 7, 1980, as amended at 56 FR 34126, July 25, 1991; 60 
FR 7874, Feb. 9, 1995]



Sec. 113.2  Use of funds (2 U.S.C. 439a).

    Excess campaign funds and funds donated:
    (a) May be used to defray any ordinary and necessary expenses 
incurred in connection with the recipient's duties as a holder of 
Federal office, if applicable, including:
    (1) The costs of travel by the recipient Federal officeholder and an 
accompanying spouse to participate in a function directly connected to 
bona fide official responsibilities, such as a fact-finding meeting or 
an event at which the officeholder's services are provided through a 
speech or appearance in an official capacity; and
    (2) The costs of winding down the office of a former Federal 
officeholder for a period of 6 months after he or she leaves office; or
    (b) May be contributed to any organization described in section 
170(c) of Title 26, of the United States Code; or
    (c) May be transferred without limitation to any national, State, or 
local committee of any political party; or
    (d) May be used for any other lawful purpose, except that, other 
than as set forth in paragraph (e) of this section, no such amounts may 
be converted by any person to any personal use, other than: To defray 
any ordinary and necessary expenses incurred in connection with his or 
her duties as a holder of Federal office, or to repay to a candidate any 
loan the proceeds of which were used in connection with his or her 
campaign.
    (e)(1) Except as limited by paragraph (e)(5) of this section, a 
qualified Member who serves in the 102d or an earlier Congress may 
convert to personal use no more than the unobligated balance of excess 
funds as of November 30, 1989. This unobligated balance shall be 
calculated under either paragraph (e)(1) (i) or (ii) of this section.
    (i) Cash assets. The Member may convert any excess campaign or 
donated funds in an amount up to the Member's authorized committee(s)' 
cash on hand, determined under 11 CFR 104.3(a)(1), as of November 30, 
1989, less the committee(s)' total outstanding debts as of that date.
    (ii) Cash Plus Nonliquid Assets. (A) The Member may convert 
unliquidated committee assets held by his or her authorized committee(s) 
on November 30, 1989; or the value of such assets may be added to the 
value of the committee(s)' cash assets under paragraph (e)(1)(i) of this 
section to determine the amount which is eligible for conversion. In 
either case, prior to conversion, the committee shall amend its 1989 
year end reports to indicate, as memo entries to Schedule A, the assets 
to be converted. These amendments shall list each asset, give its date 
of acquisition, its fair market value as of November 30, 1989, and a 
brief narrative description of how this value was ascertained. The 
committee shall also disclose the disposition made of each such asset, 
including its fair market value on the date of sale or other 
disposition, in its termination report, unless the asset was sold or 
otherwise disposed of during an earlier period and included in the 
report covering that period.
    (B) The Member may add the value of debts and loans reported as owed 
to the Member's authorized committee(s) as of November 30, 1989, and 
itemized on the committee(s)' year end reports for 1989, to the 
unobligated balance, provided that such receivables are actually 
collected by the committee(s) prior to their termination.
    (C) The Member may add to the unobligated balance the value of 
vendor credits and deposit refunds to which authorized campaign 
committee(s) are entitled, if these receivables are itemized on Schedule 
C or D of the committee(s)' 1989 year end reports or in amendment(s) 
thereto.
    (2) If the unobligated balance subsequently falls below its November 
30, 1989, level, a qualified Member may use contributions lawfully 
received or

[[Page 163]]

other lawful committee income received after that date to restore the 
account up to that level.
    (3) A qualified Member may convert committee assets which were not 
held on November 30, 1989, to personal use; however, the fair market 
value of such assets at the time of conversion shall be counted against 
the unobligated balance.
    (4) Under no circumstances may an amount greater than the 
unobligated balance on November 30, 1989, be converted to personal use. 
Should money from subsequent contributions, other committee income, and/
or the sale of campaign assets exceed the amount needed to restore the 
unobligated balance to its November 30, 1989, level, such additional 
funds shall not be converted to personal use but may be used for the 
purposes set forth in paragraphs (a), (b), and (c) of this section.
    (5) 103d Congress or later Congress: A qualified Member who serves 
in the 103d Congress or a later Congress may not convert to personal use 
any excess campaign or donated funds, as of the first day of such 
service.
    (f) Nothing in this section modifies or supersedes other Federal 
statutory restrictions or relevant State laws which may apply to the use 
of excess campaign or donated funds by candidates or Federal 
officeholders.

[45 FR 15124, Mar. 7, 1980, as amended at 56 FR 34126, July 25, 1991; 60 
FR 7875, Feb. 9, 1995]



Sec. 113.3  Deposits of funds donated to a Federal or State officeholder (2 U.S.C. 432(h)).

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



Sec. 113.4  Contribution and expenditure limitations (2 U.S.C. 441a).

    (a) Any contributions to, or expenditures from an office account 
which are made for the purpose of influencing a federal election shall 
be subject to 2 U.S.C. 441a and 11 CFR part 110 of these regulations.
    (b) If any treasury funds of a corporation or labor organization are 
donated to an office account, no funds from that office account may be 
transferred to a political committee account or otherwise used in 
connection with a federal election.



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




Sec.
114.1  Definitions.
114.2  Prohibitions on contributions and expenditures.
114.3  Disbursements for communications to the restricted class in 
          connection with a Federal election.
114.4  Disbursements for communications beyond the restricted class in 
          connection with a Federal election.
114.5  Separate segregated funds.
114.6  Twice yearly solicitations.
114.7  Membership organizations, cooperatives, or corporations without 
          capital stock.
114.8  Trade associations.
114.9  Use of corporate or labor organization facilities and means of 
          transportation.
114.10  Nonprofit corporations exempt from the prohibition on 
          independent expenditures.
114.11  Employee participation plans.
114.12  Incorporation of political committees; payment of fringe 
          benefits.
114.13  Use of meeting rooms.

    Authority: 2 U.S.C. 431(8)(B), 431(9)(B), 432, 434(a)(11), 
437d(a)(8), 438(a)(8) and 441b.



Sec. 114.1  Definitions.

    (a) For purposes of part 114 and section 12(h) of the Public Utility 
Holding Company Act (15 U.S.C. 79l(h))--
    (1) The terms contribution and expenditure shall include any direct 
or indirect payment, distribution, loan, advance, deposit, or gift of 
money, or any services, or anything of value (except a loan of money by 
a State bank, a federally chartered depository institution

[[Page 164]]

(including a national bank) or a depository institution whose deposits 
and accounts are insured by the Federal Deposit Insurance Corporation or 
the National Credit Union Administration, if such loan is made in 
accordance with 11 CFR 100.7(b)(11)) to any candidate, political party 
or committee, organization, or any other person in connection with any 
election to any of the offices referred to in 11 CFR 114.2 (a) or (b) as 
applicable.
    (2) The terms contribution and expenditure shall not include--
    (i) Communications by a corporation to its stockholders and 
executive or administrative personnel and their families or by a labor 
organization to its members and executive or administrative personnel, 
and their families, on any subject;
    (ii) Registration and get-out-the-vote campaigns by a corporation 
aimed at its stockholders and executive or administrative personnel, and 
their families, or by a labor organization aimed at its members and 
executive or administrative personnel, and their families, as described 
in 11 CFR 114.3;
    (iii) The establishment, administration, and solicitation of 
contributions to a separate segregated fund to be utilized for political 
purposes by a corporation, labor organization, membership organization, 
cooperative, or corporation without capital stock;
    (iv) [Reserved]
    (v) The sale of any food or beverage by a corporate vendor for use 
in a candidate's campaign or for use by a political committee of a 
political party at a charge less than the normal of comparable 
commercial rate, if the charge is at least equal to the costs of such 
food or beverage to the vendor, to the extent that: The aggregate value 
of such discount by the vendor on behalf of a single candidate does not 
exceed $1,000 with respect to any single election; and on behalf of all 
political committees of each political party does not exceed $2,000 in a 
calendar year.
    (vi) The payment for legal or accounting services rendered to or on 
behalf of any political committee of a political party other than 
services attributable to activities which directly further the election 
of a designated candidate or candidates for Federal office if the 
corporation or labor organization paying for the services is the regular 
employer of the individual rendering the services. This exclusion shall 
not be applicable if additional employees are hired for the purpose of 
rendering services or if additional employees are hired in order to make 
regular employees available;
    (vii) The payment for legal or accounting services rendered to or on 
behalf of an authorized committee of a candidate or any other political 
committee solely for the purpose of ensuring compliance with this Act or 
chapter 95 or 96 of the Internal Revenue Code of 1954 if the corporation 
or labor organization paying for the services is the regular employer of 
the individual rendering the services, but amounts paid or incurred for 
these services shall be reported in accordance with part 104. This 
exclusion shall not be applicable if additional employees are hired for 
the purpose of rendering services or if additional employees are hired 
in order to make regular employees available;
    (viii) Activity permitted under 11 CFR 9008.9, 9008.52 and 9008.53 
with respect to a presidential nominating convention;
    (ix) A gift, subscription, loan, advance, or deposit of money or 
anything of value to a national committee of a political party or a 
State committee of a political party which is specifically designated 
for the purpose of defraying any cost incurred with respect to the 
construction or purchase of any office facility which is not acquired 
for the purpose of influencing the election of any candidate in any 
particular election for Federal office, except that any gift, 
subscription, loan, advace, or deposit of money or anything of value, 
and any such cost, shall be reported in accordance with 11 CFR 104.3(g); 
or
    (x) Any activity which is specifically permitted by part 114.
    (b) Establishment, administration, and solicitation costs means the 
cost of office space, phones, salaries, utilities, supplies, legal and 
accounting fees, fund-raising and other expenses incurred in setting up 
and running a separate segregated fund established by a

[[Page 165]]

corporation, labor organization, membership organization, cooperative, 
or corporation without capital stock.
    (c) Executive or administrative personnel means individuals employed 
by a corporation or labor organization who are paid on a salary rather 
than hourly basis and who have policymaking, managerial, professional, 
or supervisory responsibilities.
    (1) This definition includes--
    (i) The individuals who run the corporation's business such as 
officers, other executives, and plant, division, and section managers; 
and
    (ii) Individuals following the recognized professions, such as 
lawyers and engineers.
    (2) This definition does not include--
    (i) Professionals who are represented by a labor organization;
    (ii) Salaried foremen and other salaried lower level supervisors 
having direct supervision over hourly employees;
    (iii) Former or retired personnel who are not stockholders; or
    (iv) Individuals who may be paid by the corporation or labor 
organization, such as consultants, but who are not employees, within the 
meaning of 26 CFR 31.3401(c)-1, of the corporation or labor organization 
for the purpose of income withholding tax on employee wages under 
Internal Revenue Code of 1954, section 3402.
    (3) Individuals on commission may be considered executive or 
administrative personnel if they have policymaking, managerial, 
professional, or supervisory responsibility and if the individuals are 
employees, within the meaning of 26 CFR 31.3401(c)-1 of the corporation 
for the purpose of income withholding tax on employee wages under the 
Internal Revenue Code of 1954, section 3402.
    (4) The Fair Labor Standards Act, 29 U.S.C. 201, et seq. and the 
regulations issued pursuant to that Act, 29 CFR part 541, may serve as a 
guideline in determining whether individuals have policymaking, 
managerial, professional, or supervisory responsibilities.
    (d) Labor organization means any organization of any kind, or any 
agency or employee representative committee or plan, in which employees 
participate and which exists for the purpose, in whole or in part, of 
dealing with employers concerning grievances, labor disputes, wages, 
rates of pay, hours of employment, or conditions of work.
    (e)(1) For purposes of this part membership organization means a 
trade association, cooperative, corporation without capital stock, or a 
local, national, or international labor organization that:
    (i) Is composed of members, some or all of whom are vested with the 
power and authority to operate or administer the organization, pursuant 
to the organization's articles, bylaws, constitution or other formal 
organizational documents;
    (ii) Expressly states the qualifications and requirements for 
membership in its articles, bylaws, constitution or other formal 
organizational documents;
    (iii) Makes its articles, bylaws, constitution, or other formal 
organizational documents available to its members upon request;
    (iv) Expressly solicits persons to become members;
    (v) Expressly acknowledges the acceptance of membership, such as by 
sending a membership card or including the member's name on a membership 
newsletter list; and
    (vi) Is not organized primarily for the purpose of influencing the 
nomination for election, or election, of any individual to Federal 
office.
    (2) For purposes of this part, the term members includes all persons 
who are currently satisfying the requirements for membership in a 
membership organization, affirmatively accept the membership 
organization's invitation to become a member, and either:
    (i) Have some significant financial attachment to the membership 
organization, such as a significant investment or ownership stake; or
    (ii) Pay membership dues at least annually, of a specific amount 
predetermined by the organization; or
    (iii) Have a significant organizational attachment to the membership 
organization which includes: affirmation of membership on at least an 
annual basis; and direct participatory rights in the governance of the 
organization. For example, such rights could include the right to vote 
directly or indirectly

[[Page 166]]

for at least one individual on the membership organization's highest 
governing board; the right to vote directly for organization officers; 
the right to vote on policy questions where the highest governing body 
of the membership organization is obligated to abide by the results; the 
right to approve the organization's annual budget; or the right to 
participate directly in similar aspects of the organization's 
governance.
    (3) Notwithstanding the requirements of paragraph (e)(2) of this 
section, the Commission may determine, on a case-by-case basis, that 
persons who do not precisely meet the requirements on the general rule, 
but have a relatively enduring and independently significant financial 
or organizational attachment to the organization, may be considered 
members for purposes of this section. For example, student members who 
pay a lower amount of dues while in school, long term dues paying 
members who qualify for lifetime membership status with little or no 
dues obligation, and retired members of the organization may be 
considered members for purposes of these rules.
    (4) Notwithstanding the requirements of paragraphs (e)(2)(i) through 
(iii) of this section, members of a local union are considered to be 
members of any national or international union of which the local union 
is a part and of any federation with which the local, national, or 
international union is affiliated.
    (5) In the case of a membership organization which has a national 
federation structure or has several levels, including, for example, 
national, state, regional and/or local affiliates, a person who 
qualifies as a member of any entity within the federation or of any 
affiliate by meeting the requirements of paragraphs (e)(2)(i), (ii), or 
(iii) of this section shall also qualify as a member of all affiliates 
for purposes of this part. The factors set forth at 11 CFR 100.5 (g)(2), 
(3) and (4) shall be used to determine whether entities are affiliated 
for purposes of this paragraph.
    (6) The status of a membership organization, and of members, for 
purposes of this part, shall be determined pursuant to paragraph (e)(1) 
of this section and not by provisions of state law governing trade 
associations, cooperatives, corporations without capital stock, or labor 
organizations.
    (f) Method of facilitating the making of contributions means the 
manner in which the contributions are received or collected such as, but 
not limited to, payroll deduction or checkoff systems, other periodic 
payment plans, or return envelopes enclosed in a solicitation request.
    (g) Method of soliciting voluntary contributions means the manner in 
which the solicitation is undertaken including, but not limited to, 
mailings, oral requests for contributions, and hand distribution of 
pamphlets.
    (h) Stockholder means a person who has a vested beneficial interest 
in stock, has the power to direct how that stock shall be voted, if it 
is voting stock, and has the right to receive dividends.
    (i) Voluntary contributions are contributions which have been 
obtained by the separate segregated fund of a corporation or labor 
organization in a manner which is in compliance with Sec. 114.5(a) and 
which is in accordance with other provisions of the Act.
    (j) Restricted class. A corporation's restricted class is its 
stockholders and executive or administrative personnel, and their 
families, and the executive and administrative personnel of its 
subsidiaries, branches, divisions, and departments and their families. A 
labor organization's restricted class is its members and executive or 
administrative personnel, and their families. For communications under 
11 CFR 114.3, the restricted class of an incorporated membership 
organization, incorporated trade association, incorporated cooperative 
or corporation without capital stock is its members and executive or 
administrative personnel, and their families. (The solicitable class of 
a membership organization, cooperative, corporation without capital 
stock or trade association, as described in 11 CFR 114.7 and 114.8, may 
include some persons who are not considered part of the organization's 
restricted class, and

[[Page 167]]

may exclude some persons who are in the restricted class.)

(2 U.S.C. 431(8)(B)(iii), 432(c)(3). 438(a)(8), 441b; 2 U.S.C. 441b, 
437d(a)(8)

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



Sec. 114.2  Prohibitions on contributions and expenditures.

    (a) National banks and corporations organized by authority of any 
law of Congress are prohibited from making a contribution, as defined in 
11 CFR 114.1(a), in connection with any election to any political 
office, including local, State and Federal offices, or in connection 
with any primary election or political convention or caucus held to 
select candidates for any political office, including any local, State 
or Federal office. National banks and corporations organized by 
authority of any law of Congress are prohibited form making expenditures 
as defined in 11 FR 114.1(a) for communications to those outside the 
restricted class expressly advocating the election or defeat of one or 
more clearly identified candidate(s) or the candidates of a clearly 
identified political party, with respect to an election to any political 
office, including any local, State or Federal office.
    (1) Such national banks and corporations may engage in the 
activities permitted by 11 CFR part 114, except to the extent that such 
activity is foreclosed by provisions of law other than the Act.
    (2) The provisions of 11 CFR part 114 apply to the activities of a 
national bank, or a corporation organized by any law of Congress, in 
connection with local, State and Federal elections.
    (b) Any corporation whatever or any labor organization is prohibited 
from making a contribution as defined in 11 CFR 114.1(a) in connection 
with any Federal election. Except as provided at 11 CFR 114.10, 
corporations and labor organizations are prohibited from making 
expenditures with respect to a Federal election (as defined in 11 CFR 
114.1(a)) for communications to those outside the restricted class 
expressly advocating the election or defeat of one or more clearly 
identified candidate(s) or the candidates of a clearly identified 
political party.
    (c) Disbursements by corporations and labor organizations for the 
election-related activities described in 11 CFR 114.3 and 114.4 will not 
cause those activities to be contributions or expenditures, even when 
coordinated with any candidate, candidate's agent, candidate's 
authorized committee(s) or any party committee to the extent permitted 
in those sections. Coordination beyond that described in 11 CFR 114.3 
and 114.4 shall not cause subsequent activities directed at the 
restricted class to be considered contributions or expenditures. 
However, such coordination may be considered evidence that could negate 
the independence of subsequent communications to those outside the 
restricted class by the corporation, labor organization or its separate 
segregated fund, and could result in an in-kind contribution. See 11 CFR 
109.1 regarding independent expenditures and coordination with 
candidates.
    (d) A candidate, political committee, or other person is prohibited 
from knowingly accepting or receiving any contribution prohibited by 
this section.
    (e) No officer or director of any corporation or any national bank, 
and no officer of any labor organization shall consent to any 
contribution or expenditure by the corporation, national bank, or labor 
organization prohibited by this section.
    (f) Facilitating the making of contributions. (1) Corporations and 
labor organizations (including officers, directors or other 
representatives acting as agents of corporations and labor 
organizations) are prohibited from facilitating the making of 
contributions to candidates or political committees, other than to the 
separate segregated funds of the corporations and labor organizations. 
Facilitation means using corporate or labor organization resources or 
facilities to engage in fundraising activities in connection with any 
federal election, such as activities which go beyond the limited 
exemptions set forth in 11 CFR 100.7, 100.8, 114.9(a) through (c) and 
114.13. A corporation

[[Page 168]]

does not facilitate the making of a contribution to a candidate or 
political committee if it provides goods or services in the ordinary 
course of its business as a commercial vendor in accordance with 11 CFR 
part 116 at the usual and normal charge.
    (2) Examples of facilitating the making of contributions include but 
are not limited to--
    (i) Fundraising activities by corporations (except commercial 
vendors) or labor organizations that involve--
    (A) Officials or employees of the corporation or labor organization 
ordering or directing subordinates or support staff (who therefore are 
not acting as volunteers) to plan, organize or carry out the fundraising 
project as a part of their work responsibilities using corporate or 
labor organization resources, unless the corporation or labor 
organization receives advance payment for the fair market value of such 
services;
    (B) Failure to reimburse a corporation or labor organization within 
a commercially reasonable time for the use of corporate facilities 
described in 11 CFR 114.9(d) in connection with such fundraising 
activities;
    (C) Using a corporate or labor organization list of customers, 
clients, vendors or others who are not in the restricted class to 
solicit contributions or distribute invitations to the fundraiser, 
unless the corporation or labor organization receives advance payment 
for the fair market value of the list;
    (D) Using meeting rooms that are not customarily made available to 
clubs, civic or community organizations or other groups; or
    (E) Providing catering or other food services operated or obtained 
by the corporation or labor organization, unless the corporation or 
labor organization receives advance payment for the fair market value of 
the services;
    (ii) Providing materials for the purpose of transmitting or 
delivering contributions, such as stamps, envelopes addressed to a 
candidate or political committee other than the corporation's or labor 
organization's separate segregated fund, or other similar items which 
would assist in transmitting or delivering contributions, but not 
including providing the address of the candidate or political committee;
    (iii) Soliciting contributions earmarked for a candidate that are to 
be collected and forwarded by the corporation's or labor organizations's 
separate segregated fund, except to the extent such contributions also 
are treated as contributions to and by the separate segregated fund; or
    (iv) Using coercion, such as the threat of a detrimental job action, 
the threat of any other financial reprisal, or the threat of force, to 
urge any individual to make a contribution or engage in fundraising 
activities on behalf of a candidate or political committee.
    (3) Facilitating the making of contributions does not include the 
following activities if conducted by a separate segregated fund--
    (i) Any activity specifically permitted under 11 CFR 110.1, 110.2, 
or 114.5 through 114.8, including soliciting contributions to a 
candidate or political committee, and making in kind contributions to a 
candidate or political committee; and
    (ii) Collecting and forwarding contributions earmarked to a 
candidate in accordance with 11 CFR 110.6.
    (4) Facilitating the making of contributions also does not include 
the following activities if conducted by a corporation or labor 
organization--
    (i) Enrolling members of a corporation's or labor organization's 
restricted class in a payroll deduction plan or check-off system which 
deducts contributions from dividend or payroll checks to make 
contributions to the corporation's or labor organization's separate 
segregated fund or an employee participation plan pursuant to 11 CFR 
114.11;
    (ii) Soliciting contributions to be sent directly to candidates if 
the solicitation is directed to the restricted class, see 11 CFR 
114.1(a)(2)(i); and
    (iii) Soliciting contributions earmarked for a candidate that are to 
be collected and forwarded by the corporation's or labor organization's 
separate segregated fund, to the extent such contributions also are 
treated as contributions to and by the separate segregated fund.

[60 FR 64274, Dec. 14, 1995]

[[Page 169]]



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

    (a) General. (1) Corporations and labor organizations may make 
communications on any subject, including communications containing 
express advocacy, to their restricted class or any part of that class. 
Corporations and labor organizations may also make the communications 
permitted under 11 CFR 114.4 to their restricted class or any part of 
that class. The activities permitted under this section may involve 
election-related coordination with candidates and political committees. 
See 11 CFR 109.1 and 114.2(c) regarding independent expenditures and 
coordination with candidates.
    (2) Incorporated membership organizations, incorporated trade 
associations, incorporated cooperatives and corporations without capital 
stock may make communications to their restricted class, or any part of 
that class as permitted in paragraphs (a)(1) and (c) of this section.
    (b) Reporting communications containing express advocacy. 
Disbursements for communications expressly advocating the election or 
defeat of one or more clearly identified candidate(s) made by a 
corporation, including a corporation described in paragraph (a)(2) of 
this section, or labor organization to its restricted class shall be 
reported in accordance with 11 CFR 100.8(b)(4) and 104.6.
    (c) Communications containing express advocacy. Communications 
containing express advocacy which may be made to the restricted class 
include, but are not limited to, the examples set forth in paragraphs 
(c)(1) through (c)(4) of this section.
    (1) Publications. Printed material expressly advocating the election 
or defeat of one or more clearly identified candidate(s) or candidates 
of a clearly identified political party may be distributed by a 
corporation or by a labor organization to its restricted class, provided 
that:
    (i) The material is produced at the expense of the corporation or 
labor organization; and
    (ii) The material constitutes a communications of the views of the 
corporation or the labor organization, and is not the republication or 
reproduction, in whole or in part, of any broadcast, transcript or tape 
or any written, graphic, or other form of campaign materials prepared by 
the candidate, his or her campaign committees, or their authorized 
agents. A corporation or labor organization may, under this section, use 
brief quotations from speeches or other materials of a candidate that 
demonstrate the candidate's position as part of the corporation's or 
labor organization's expression of its own views.
    (2) Candidate and party appearances. (i) A corporation may allow a 
candidate, candidate's representative or party representative to address 
its restricted class at a meeting, convention or other function of the 
corporation, but is not required to do so. A labor organization may 
allow a candidate or party representative to address its restricted 
class at a meeting, convention, or other function of the labor 
organization, but is not required to do so. A corporation or labor 
organization may bar other candidates for the same office or a different 
office and their representatives, and representatives of other parties 
addressing the restricted class. A corporation or labor organization may 
allow the presence of employees outside the restricted class of the 
corporation or labor organization who are necessary to administer the 
meeting, other guests of the corporation or labor organization who are 
being honored or speaking or participating in the event, and 
representatives of the news media.
    (ii) The candidate, candidate's representative or party 
representative may ask for contributions to his or her campaign or 
party, or ask that contributions to the separate segregated fund of the 
corporation or labor organization be designated for his or her campaign 
or party. The incidental solicitation of persons outside the 
corporation's or labor organization's restricted class who may be 
present at the meeting as permitted by this section will not be a 
violation of 11 CFR part 114. The candidate's representative or party 
representative (other than an officer, director or other representative 
of a corporation or official, member or employee of a labor 
organization) or the

[[Page 170]]

candidate, may accept contributions before, during or after the 
appearance at the meeting, convention or other function of the 
corporation or labor organization.
    (iii) The corporation or labor organization may suggest that members 
of its restricted class contribute to the candidate or party committee, 
but the collection of contributions by any officer, director or other 
representative of the corporation or labor organization before, during, 
or after the appearance while at the meeting, is an example of a 
prohibited facilitation of contributions under 11 CFR 114.2(f).
    (iv) If the corporation or labor organization permits more than one 
candidate for the same office, or more than one candidate's 
representative or party representative, to address its restricted class, 
and permits the news media to cover or carry an appearance by one 
candidate or candidate's representative or party representative, the 
corporation or labor organization shall also permit the news media to 
cover or carry the appearances by the other candidate(s) for that 
office, or the other candidates' representatives or party 
representatives. If the corporation or labor organization permits a 
representative of the news media to cover or carry a candidate or 
candidate's representative or party representative appearance, the 
corporation or labor organization shall provide all other 
representatives of the news media with equal access for covering or 
carrying that appearance. Equal access is provided by--
    (A) Providing advance information regarding the appearance to the 
representatives of the news media whom the corporation or labor 
organization customarily contacts and other representatives of the news 
media upon request; and
    (B) Allowing all representatives of the news media to cover or carry 
the appearance, through the use of pooling arrangements if necessary.
    (3) Phone banks. A corporation or a labor organization may establish 
and operate phone banks to communicate with its restricted class, urging 
them to register and/or vote for a particular candidate or candidates, 
or to register with a particular political party.
    (4) Registration and get-out-the-vote drives. A corporation or a 
labor organization may conduct registration and get-out-the-vote drives 
aimed at its restricted class. Registration and get-out-the-vote drives 
include providing transportation to the place of registration and to the 
polls. Such drives may include communications containing express 
advocacy, such as urging individuals to register with a particular party 
or to vote for a particular candidate or candidates. Information and 
other assistance regarding registering or voting, including 
transportation and other services offered, shall not be withheld or 
refused on the basis of support for or opposition to particular 
candidates, or a particular political party.

[60 FR 64275, Dec. 14, 1995]



Sec. 114.4  Disbursements for communications beyond the restricted class in connection with a Federal election.

    (a) General. A corporation or labor organization may communicate 
beyond the restricted class in accordance with this section. Any 
communications which a corporation or labor organization may make to the 
general public under paragraph (c) of this section may also be made to 
the corporation's or labor organization's restricted class and to other 
employees and their families. Communications which a corporation or 
labor organization may make only to its employees (including its 
restricted class) and their families, but not to the general public, are 
found in paragraph (b) of this section. Communications which a 
corporation or labor organization may make only to its restricted class 
are found at 11 CFR 114.3. The activities permitted under paragraphs (b) 
and (c) of this section may involve election-related coordination with 
candidates and political committees only to the extent permitted by this 
section. See 11 CFR 109.1 and 114.2(c) regarding independent 
expenditures and coordination with candidates. Incorporated membership 
organizations, incorporated trade associations, incorporated 
cooperatives and corporations without capital stock will be treated as 
corporations for the purpose of making communications beyond the 
restricted class under this section.

[[Page 171]]

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

[[Page 172]]

during a candidate, candidate representative or party representative 
appearance under this section, in accordance with the procedures set 
forth at 11 CFR 114.3(c)(2)(iv).
    (2) Candidate and party appearances on labor organization premises 
or at a meeting, convention or other function. A labor organization may 
permit candidates, candidates' representatives or representatives of 
political parties on the labor organization's premises or at a meeting, 
convention, or other function of the labor organization to address or 
meet its restricted class and other employees of the labor organization, 
and their families, in accordance with the conditions set forth in 
paragraphs (b)(1) (i) through (iii), (vi) through (viii), and paragraphs 
(b)(2) (i) and (ii) of this section. Other guests of the labor 
organization who are being honored or speaking or participating in the 
event and representatives of the news media may be present. A labor 
organization may bar all candidates, candidates' representatives and 
representatives of political parties from addressing or meeting its 
restricted class and other employees of the labor organization and their 
families on the labor organization's premises or at any meeting, 
convention or other function of the labor organization.
    (i) The candidate's representative or party representative (other 
than an official, member or employee of a labor organization) or the 
candidate, may ask for contributions to his or her campaign or party, or 
ask that contributions to the separate segregated fund of the labor 
organization be designated for his or her campaign or party. The 
candidate, candidate's representative or party representative shall not 
accept contributions before, during or after the appearance while at the 
meeting, convention or other function of the labor organization, but may 
leave campaign materials or envelopes for members of the audience. No 
official, member, or employee of a labor organization or its separate 
segregated fund shall, either orally or in writing, solicit or direct or 
control contributions by members of the audience to any candidate or 
party representative under this section, and shall not facilitate the 
making of contributions to any such candidate or party. See 11 CFR 
114.2(f).
    (ii) A labor organization or its separate segregated fund shall not, 
in conjunction with any candidate or party representative appearance 
under this section, expressly advocate the election or defeat of any 
clearly identified candidate(s), and shall not promote or encourage 
express advocacy by its members or employees.
    (c) Communications by a corporation or labor organization to the 
general public--(1) General. A corporation or labor organization may 
make the communications described in paragraphs (c)(2) through (c)(5) of 
this section to the general public. The general public includes anyone 
who is not in the corporation's or labor organization's restricted 
class. The provisions of paragraph (c) of this section shall not prevent 
a qualified nonprofit corporation under 11 CFR 114.10(c) from including 
express advocacy in any communication made to the general public under 
paragraphs (c)(2) through (c)(5)(i) of this section.
    (2) Registration and voting communications. A corporation or labor 
organization may make registration and get-out-the vote communications 
to the general public, provided that the communications do not expressly 
advocate the election or defeat of any clearly identified candidate(s) 
or candidates of a clearly identified political party. The preparation 
and distribution or registration and get-out-the-vote communications 
shall not be coordinated with any candidate(s) or political party. A 
corporation or labor organization may make communications permitted 
under this section through posters, billboards, broadcasting media, 
newspapers, newsletter, brochures, or similar means of communication 
with the general public.
    (3) Official registration and voting information. (i) A corporation 
or labor organization may distribute to the general public, or reprint 
in whole and distribute to the general public, any registration or 
voting information, such as instructional materials, which has been 
produced by the official election administrators.

[[Page 173]]

    (ii) A corporation or labor organization may distribute official 
registration-by-mail forms to the general public. A corporation or labor 
organization may distribute absentee ballots to the general public if 
permitted by the applicable State law.
    (iii) A corporation or labor organization may donate funds to State 
or local government agencies responsible for the administration of 
elections to help defray the costs of printing or distributing 
registration or voting information and forms.
    (iv) The corporation or labor organization shall not, in connection 
with any such distribution, expressly advocate the election or defeat of 
any clearly identified candidate(s) or candidates of a clearly 
identified political party and shall not encourage registration with any 
particular political party.
    (v) The reproduction and distribution of registration or voting 
information and forms shall not be coordinated with any candidate(s) or 
political party.
    (4) Voting records. A corporation or labor organization may prepare 
and distribute to the general public the voting records of Members of 
Congress, provided that the voting record and all communications 
distributed with it do not expressly advocate the election or defeat of 
any clearly identified candidate, clearly identified group of candidates 
or candidates of a clearly identified political party. The decision on 
content and the distribution of voting records shall not be coordinated 
with any candidate, group of candidates or political party.
    (5) Voter guides. A corporation or labor organization may prepare 
and distribute to the general public voter guides consisting of two or 
more candidates' positions on campaign issues, including voter guides 
obtained from a nonprofit organization which is described in 26 U.S.C. 
501 (c)(3) or (c)(4), provided that the voter guides comply with either 
paragraph (c)(5)(i) or (c)(5)(ii) (A) through (E) of this section. The 
sponsor may include in the voter guide biographical information on each 
candidate, such as education, employment positions, offices held, and 
community involvement.
    (i) The corporation or labor organization shall not contact or in 
any other way act in cooperation, coordination, or consultation with or 
at the request or suggestion of the candidates, the candidates' 
committees or agents regarding the preparation, contents and 
distribution of the voter guide, and no portion of the voter guide may 
expressly advocate the election or defeat of one or more clearly 
identified candidate(s) or candidates of any clearly identified 
political party.
    (ii) (A) The corporation or labor organization shall not contact or 
in any other way act in cooperation, coordination, or consultation with 
or at the request or suggestion of the candidates, the candidates' 
committees or agents regarding the preparation, contents and 
distribution of the voter guide, except that questions may be directed 
in writing to the candidates included in the voter guide and the 
candidates may respond in writing;
    (B) All of the candidates for a particular seat or office shall be 
provided an equal opportunity to respond, except that in the case of 
Presidential and Vice Presidential candidates the corporation or labor 
organization may choose to direct the questions only to those candidates 
who--
    (1) Are seeking the nomination of a particular political party in a 
contested primary election; or
    (2) Appear on the general election ballot in the state(s) where the 
voter guide is distributed or appear on the general election ballot in 
enough states to win a majority of the electoral votes;
    (C) No candidate may receive greater prominence in the voter guide 
than other participating candidates, or substantially more space for 
responses;
    (D) The voter guide and its accompanying materials shall not contain 
an electioneering message; and
    (E) The voter guide and its accompanying materials shall not score 
or rate the candidates' responses in such a way as to convey an 
electioneering message.
    (6) Endorsements. A corporation or labor organization may endorse a 
candidate and may communicate the endorsement to its restricted class 
through the publications described in

[[Page 174]]

11 CFR 114.3(c)(1) or during a candidate appearance under 11 CFR 
114.3(c)(2), provided that no more than a de minimis number of copies of 
the publication which includes the endorsement are circulated beyond the 
restricted class. The corporation or labor organization may publicly 
announce the endorsement and state the reasons therefor, in accordance 
with the conditions set forth in paragraphs (c)(6) (i) and (ii) of this 
section. The Internal Revenue Code and regulations promulgated 
thereunder should be consulted regarding restrictions or prohibitions on 
endorsements by nonprofit corporations described in 26 U.S.C. 501(c)(3).
    (i) The public announcement of the endorsement may be made through a 
press release and press conference. Disbursements for the press release 
and press conference shall be de minimis. The disbursements shall be 
considered de minimis if the press release and notice of the press 
conference is distributed only to the representatives of the news media 
that the corporation or labor organization customarily contacts when 
issuing non-political press releases or holding press conferences for 
other purposes.
    (ii) The public announcement of the endorsement may not be 
coordinated with the candidate, the candidate's agents or the 
candidate's authorized committee(s).
    (7) Candidate appearances on educational institution premises--(i) 
Rental of facilities at usual and normal charge. Any incorporated 
nonprofit educational institution exempt from federal taxation under 26 
U.S.C. 501(c)(3), such as a school, college or university, may make its 
facilities available to any candidate or political committee in the 
ordinary course of business and at the usual and normal charge. In this 
event, the requirements of paragraph (c)(7)(ii) of this section are not 
applicable.
    (ii) Use of facilities at no charge or at less than the usual and 
normal charge. An incorporated nonprofit educational institution exempt 
from federal taxation under 26 U.S.C. 501(c)(3), such as a school, 
college or university, may sponsor appearances by candidates, 
candidates' representatives or representatives of political parties at 
which such individuals address or meet the institution's academic 
community or the general public (whichever is invited) on the 
educational institution's premises at no charge or at less than the 
usual and normal charge, if:
    (A) The educational institution makes reasonable efforts to ensure 
that the appearances constitute speeches, question and answer sessions, 
or similar communications in an academic setting, and makes reasonable 
efforts to ensure that the appearances are not conducted as campaign 
rallies or events; and
    (B) The educational institution does not, in conjunction with the 
appearance, expressly advocate the election or defeat of any clearly 
identified candidate(s) or candidates of a clearly identified political 
party, and does not favor any one candidate or political party over any 
other in allowing such appearances.
    (d) Registration and get-out-the-vote drives. A corporation or labor 
organization may support or conduct voter registration and get-out-the-
vote drives which are aimed at employees outside its restricted class 
and the general public in accordance with the conditions set forth in 
paragraphs (d)(1) through (d)(6) of this section. Registration and get-
out-the-vote drives include providing transportation to the polls or to 
the place of registration.
    (1) The corporation or labor organization shall not make any 
communication expressly advocating the election or defeat of any clearly 
identified candidate(s) or candidates of a clearly identified political 
party as part of the voter registration or get-out-the-vote drive.
    (2) The registration or get-out-the-vote drive shall not be 
coordinated with any candidate(s) or political party.
    (3) The registration drive shall not be directed primarily to 
individuals previously registered with, or intending to register with, 
the political party favored by the corporation or labor organization. 
The get-out-the-vote drive shall not be directed primarily to 
individuals currently registered with the political party favored by the 
corporation or labor organization.

[[Page 175]]

    (4) These services shall be made available without regard to the 
voter's political preference. Information and other assistance regarding 
registering or voting, including transportation and other services 
offered, shall not be withheld or refused on the basis of support for or 
opposition to particular candidates or a particular political party.
    (5) Individuals conducting the registration or get-out-the-vote 
drive shall not be paid on the basis of the number of individuals 
registered or transported who support one or more particular candidates 
or political party.
    (6) The corporation or labor organization shall notify those 
receiving information or assistance of the requirements of paragraph 
(d)(4) of this section. The notification shall be made in writing at the 
time of the registration or get-out-the-vote drive.
    (e) Incorporated membership organizations, incorporated trade 
associations, incorporated cooperatives and corporations without capital 
stock. An incorporated membership organization, incorporated trade 
association, incorporated cooperative or corporation without capital 
stock may permit candidates, candidates' representatives or 
representatives of political parties to address or meet members and 
employees of the organization, and their families, on the organization's 
premises or at a meeting, convention or other function of the 
organization, in accordance with the conditions set forth in paragraphs 
(b)(1) (i) through (viii) of this section.
    (f) Candidate debates. (1) A nonprofit organization described in 11 
CFR 110.13(a)(1) may use its own funds and may accept funds donated by 
corporations or labor organizations under paragraph (f)(3) of this 
section to defray costs incurred in staging candidate debates held in 
accordance with 11 CFR 110.13.
    (2) A broadcaster (including a cable television operator, programmer 
or producer), bona fide newspaper, magazine or other periodical 
publication may use its own funds to defray costs incurred in staging 
public candidate debates held in accordance with 11 CFR 110.13.
    (3) A corporation or labor organization may donate funds to 
nonprofit organizations qualified under 11 CFR 110.13(a)(1) to stage 
candidate debates held in accordance with 11 CFR 110.13 and 114.4(f).

[60 FR 64276, Dec. 14, 1995, as amended at 61 FR 18051, Apr. 24, 1996]



Sec. 114.5  Separate segregated funds.

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

A corporation or labor organization or the separate segregated fund of 
either may not enforce any guideline for contributions.
    (3) Any person soliciting an employee or member for a contribution 
to a separate segregated fund must inform such employee or member of the 
political purposes of the fund at the time of the solicitation.
    (4) Any persons soliciting an employee or member for a contribution 
to a separate segregated fund must inform the employee or member at the 
time of

[[Page 176]]

such solicitation of his or her right to refuse to so contribute without 
any reprisal.
    (5) Any written solicitation for a contribution to a separate 
segregated fund which is addressed to an employee or member must contain 
statements which comply with the requirements of paragraphs (a) (3) and 
(4) of this section, and if a guideline is suggested, statements which 
comply with the requirements of paragraph (a)(2) of this section.
    (b) Use of treasury monies. Corporations, labor organizations, 
membership organizations, cooperatives, or corporations without capital 
stock may use general treasury monies, including monies obtained in 
commercial transactions and dues monies or membership fees, for the 
establishment, administration, and solicitation of contributions to its 
separate segregated fund. A corporation, labor organization, membership 
organization, cooperative, or corporation without capital stock may not 
use the establishment, administration, and solicitation process as a 
means of exchanging treasury monies for voluntary contributions.
    (1) A contributor may not be paid for his or her contribution 
through a bonus, expense account, or other form of direct or indirect 
compensation.
    (2) A corporation, labor organization, membership organization, 
cooperative, or corporation without capital stock may, subject to the 
provisions of 39 U.S.C. 3005 and chapter 61, title 18, United States 
Code, utilize a raffle or other fundraising device which involves a 
prize, so long as State law permits and the prize is not 
disproportionately valuable. Dances, parties, and other types of 
entertainment may also be used as fundraising devices. When using 
raffles or entertainment to raise funds, a reasonable practice to follow 
is for the separate segregated fund to reimburse the corporation or 
labor organization for costs which exceed one-third of the money 
contributed.
    (3) If the separate segregated fund pays any solicitation or other 
administrative expense from its own account, which expense could be paid 
for as an administrative expense by the collecting agent, the collecting 
agent may reimburse the separate segregated fund no later than 30 
calendar days after the expense was paid by the separate segregated 
fund.
    (c) Membership in separate segregated funds. (1) A separate 
segregated fund established by a corporation, labor organization, 
membership organization, cooperative, or corporation without capital 
stock may provide that persons who contribute a certain amount to its 
separate segregated fund will become members of its separate segregated 
fund, so long as--
    (i) The fund accepts contributions of all amounts, subject to the 
limitations of part 110;
    (ii) Subject to paragraph (c)(1)(iii) of this section, nothing of 
value may be given in return for or in the course of membership;
    (iii) The fund may use membership status for intangible privileges 
such as allowing members only to choose the candidates to whom the fund 
will contribute.
    (2) The fact that the separate segregated fund of a corporation, 
labor organization, membership organization, cooperative, or corporation 
without capital stock is a membership group does not provide the 
corporation, labor organization, membership organization, cooperative, 
or corporation without capital stock with any greater right of 
communication or solicitation than the corporation, labor organization, 
membership organization, cooperative, or corporation without capital 
stock is otherwise granted under this part.
    (d) Control of funds. A corporation, membership organization, 
cooperative, corporation without capital stock, or labor organization 
may exercise control over its separate segregated fund.
    (e) Disclosure. Separate segregated funds are subject to the 
following disclosure requirements:
    (1) A corporation or labor organization is not required to report 
any payment made or obligation incurred which is not a contribution or 
expenditure, as defined in Sec. 114.1(a), except those reporting 
requirements specifically set forth in this section.
    (2) A membership organization or corporation is not required to 
report the cost of any communication to its members or stockholders or 
executive or administrative personnel, if such

[[Page 177]]

membership organization or corporation is not organized primarily for 
the purpose of influencing the nomination for election, or election, of 
any person to Federal office, except that--
    (i) The costs incurred by a membership organization, including a 
labor organization, or by a corporation, directly attributable to a 
communication expressly advocating the election or defeat of a clearly 
identified candidate (other than a communication primarily devoted to 
subjects other than the express advocacy of the election or defeat of a 
clearly identified candidate) shall, if those costs exceed $2,000 per 
election, be reported in accordance with 11 CFR 100.8(b)(4); and
    (ii) The amounts paid or incurred for legal or accounting services 
rendered to or on behalf of a candidate or political committee solely 
for the purpose of ensuring compliance with the provisions of the Act or 
chapter 95 or 96 of the Internal Revenue Code of 1954 paid by a 
corporation or labor organization which is the regular employer of the 
individual rendering such services, shall be reported in accordance with 
the provisions of part 104.
    (3) A separate segregated fund is subject to all other disclosure 
requirements of political committees as set forth in part 104.
    (f) Contribution limits. Separate segregated funds are subject to 
the contribution limitations for political committees set forth in part 
110. (See particularly Sec. 110.3).
    (g) Solicitations. Except as specifically provided in Secs. 114.6, 
114.7, and 114.8, a corporation and/or its separate segregated fund or a 
labor organization and/or its separate segregated fund is subject to the 
following limitations on solicitations:
    (1) A corporation or a separate segregated fund established by a 
corporation is prohibited from soliciting contributions to such fund 
from any person other than its stockholders and their families and its 
executive or administrative personnel and their families. A corporation 
may solicit the executive or administrative personnel of its 
subsidiaries, branches, divisions, and affiliates and their families. 
For purposes of this section, the factors set forth at 11 CFR 
100.5(g)(4) shall be used to determine whether an organization is an 
affiliate of a corporation.
    (2) A labor organization, or a separate segregated fund established 
by a labor organization is prohibited from soliciting contributions to 
such a fund from any person other than its members and executive or 
administrative personnel, and their families.
    (h) Accidental or inadvertent solicitation. Accidental or 
inadvertent solicitation by a corporation or labor organization, or the 
separate segregated fund of either, of persons apart from and beyond 
those whom it is permitted to solicit will not be deemed a violation, 
provided that such corporation or labor organization or separate 
segregated fund has used its best efforts to comply with the limitations 
regarding the persons it may solicit and that the method of solicitation 
is corrected forthwith after the discovery of such erroneous 
solicitation.
    (i) Communications paid for with voluntary contributions. A separate 
segregated fund may, using voluntary contributions, communicate with the 
general public, except that such communications may not solicit 
contributions to a separate segregated fund established by a 
corporation, labor organization, membership organization, cooperative, 
or corporation without capital stock, unless such solicitation is 
permitted under paragraph (g) of this section.
    (j) Acceptance of contributions. A separate segregated fund may 
accept contributions from persons otherwise permitted by law to make 
contributions.
    (k) Availability of methods. Any corporation, including its 
subsidiaries, branches, divisions, and affiliates, that uses a method of 
soliciting voluntary contributions or facilitating the making of 
voluntary contributions from its stockholders or executive or 
administrative personnel and their families, shall make that method 
available to a labor organization representing any members working for 
the corporation, its subsidiaries, branches, divisions, and affiliates 
for soliciting voluntary contributions or facilitating the making of 
voluntary contributions from its members and their families. Such method 
shall be made available on the

[[Page 178]]

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

(2 U.S.C. 441b, 437d(a)(8))

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



Sec. 114.6  Twice yearly solicitations.

    (a) A corporation and/or its separate segregated fund may make a 
total of two written solicitations for contributions to its separate 
segregated fund per calendar year of its employees other than 
stockholders, executive or administrative personnel, and their families. 
Employees as used in this section does not include former or retired 
employees who are not stockholders. Nothing in this paragraph shall 
limit the number of solicitations a corporation may make of its 
stockholders and executive or administrative personnel under 
Sec. 114.5(g).
    (b) A labor organization and/or its separate segregated fund may 
make a total of two written solicitations per calendar year of employees 
who are not members of the labor organization, executive or 
administrative personnel, or stockholders (and their families) of a 
corporation in which the labor organization represents members working 
for

[[Page 179]]

the corporation. Nothing in this paragraph shall limit the number of 
solicitations a labor organization may make of its members under 
Sec. 114.5(g).
    (c) Written solicitation. A solicitation under this section may be 
made only by mail addressed to stockholders, executive or administrative 
personnel, or employees at their residences. All written solicitations 
must inform the recipient--
    (1) Of the existence of the custodial arrangement described 
hereinafter;
    (2) That the corporation, labor organization, or the separate 
segregated fund of either cannot be informed of persons who do not make 
contributions; and
    (3) That persons who, in a calendar year make a single contribution 
of $50 or less, or multiple contributions aggregating $200 or less may 
maintain their anonymity by returning their contributions to the 
custodian.
    (d) The custodial arrangement. In order to maintain the anonymity of 
persons who do not wish to contribute and of persons who wish to respond 
with a single contribution of $50 or less, or multiple contributions 
aggregating $200 or less in a calendar year, and to satisfy the 
recordkeeping provisions, the corporation, labor organization, or 
separate segregated fund of either shall establish a custodial 
arrangement for collecting the contributions under this section.
    (1) The custodian for a separate segregated fund established by a 
corporation shall not be a stockholder, officer, executive or 
administrative personnel, or employee of the corporation, or an officer, 
or employee of its separate segregated fund. The custodian for a 
separate segregated fund established by a labor organization shall not 
be a member, officer or employee of the labor organization or its 
separate segregated fund.
    (2) The custodian shall keep the records of contributions received 
in accordance with the requirements of part 102 and shall also--
    (i) Establish a separate account and deposit contributions in 
accordance with the provisions of part 103;
    (ii) Provide the fund with the identification of any person who 
makes a single contribution of more than $50 and the identification of 
any person who makes multiple contributions aggregating more than $200. 
The custodian must provide this information within a reasonable time 
prior to the reporting date of the fund under part 104;
    (iii) Periodically forward all funds in the separate account, by 
check drawn on that account, to the separate segregated fund; and
    (iv) Treat all funds which appear to be illegal in accordance with 
the provisions of Sec. 103.3(b).
    (3) The custodian shall not--
    (i) Make the records of persons making a single contribution of $50 
or less, or multiple contributions aggregating $200 or less, in a 
calendar year, available to any person other than representatives of the 
Federal Election Commission or the Secretary of the Senate, as 
appropriate, and law enforcement officials or judicial bodies.
    (ii) Provide the corporation or labor organization or the separate 
segregated fund of either with any information pertaining to persons 
who, in a calendar year, make a single contribution of $50 or less or 
multiple contributions aggregating $200 or less except that the 
custodian may forward to the corporation, labor organization or separate 
segregated fund of either the total number of contributions received; or
    (iii) Provide the corporation, labor organization, or the separate 
segregated fund of either with any information pertaining to persons who 
have not contributed.
    (4) The corporation, labor organization, or the separate segregated 
fund of either shall provide the custodian with a list of all 
contributions, indicating the contributor's identification and amount 
contributed, which have been made directly to the separate segregated 
fund by any person within the group of persons solicited under this 
section.
    (5) Notwithstanding the prohibitions of paragraph (d)(1) of this 
section, the custodian may be employed by the separate segregated fund 
as its treasurer and may handle all of its contributions, provided that 
the custodian preserves the anonymity of the contributors as required by 
this section. The

[[Page 180]]

custodian shall file the required reports with the Federal Election 
Commission or the Secretary of the Senate, as appropriate. A custodian 
who serves as treasurer is subject to all of the duties, 
responsibilities, and liabilities of a treasurer under the Act, and may 
not participate in the decision making process whereby the separate 
segregated fund makes contributions and expenditures.
    (e) Availability of methods. (1) A corporation or labor organization 
or the separate segregated fund of either may not use a payroll 
deduction plan, a check-off system, or other plan which deducts 
contributions from an employee's paycheck as a method of facilitating 
the making of contributions under this section.
    (2) The twice yearly solicitation may only be used by a corporation 
or labor organization to solicit contributions to its separate 
segregated fund and may not be used for any other purpose.
    (3) A corporation is required to make available to a labor 
organization representing any members working for the corporation or its 
subsidiaries, branches, divisions, or affiliates the method which the 
corporation uses to solicit employees under this section during any 
calendar year.
    (i) If the corporation uses a method to solicit any employees under 
this section, the corporation is required to make that method available 
to the labor organization to solicit the employees of the corporation 
who are not represented by that labor organization, and the executive or 
administrative personnel and the stockholders of the corporation and 
their families.
    (ii) If the corporation does not wish to disclose the names and 
addresses of stockholders or employees, the corporation shall make the 
names and addresses of stockholders and employees available to an 
independent mailing service which shall be retained to make the mailing 
for both the corporation and the labor organization for any mailings 
under this section.
    (iii) If the corporation makes no solicitation of employees under 
this section during the calendar year, the corporation is not required 
to make any method or any names and addresses available to any labor 
organization.
    (4) The corporation shall notify the labor organization of its 
intention to make a solicitation under this section during a calendar 
year and of the method it will use, within a reasonable time prior to 
the solicitation, in order to allow the labor organization opportunity 
to make a similar solicitation.
    (5) If there are several labor organizations representing members 
employed at a single corporation, its subsidiaries, branches, divisions, 
or affiliates, the labor organizations, either singularly or jointly, 
may not make a combined total of more than two written solicitations per 
calendar year. A written solicitation may contain a request for 
contributions to each separate fund established by the various labor 
organizations making the combined mailing.

(2 U.S.C. 431(8)(B)(iii), 432(c)(3), 438(8)(a))

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



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

    (a) Membership organizations, cooperatives, or corporations without 
capital stock, or separate segregated funds established by such persons 
may solicit contributions to the fund from members and executive or 
administrative personnel, and their families, of the organization, 
cooperative, or corporation without capital stock.
    (b) Nothing in this section waives the prohibition on contributions 
to the separate segregated fund by corporations, national banks, or 
labor organizations which are members of a membership organization, 
cooperative, or corporation without capital stock.
    (c) A trade association whose membership is made up in whole or in 
part of corporations is subject to the provisions of Sec. 114.8 when 
soliciting any stockholders or executive or administrative personnel of 
member corporations. A trade association which is a membership 
organization may solicit its noncorporate members under the provisions 
of this section.
    (d) The question of whether a professional organization is a 
corporation is determined by the law of the State in which the 
professional organization exists.

[[Page 181]]

    (e) There is no limitation upon the number of times an organization 
under this section may solicit its members and executive or 
administrative personnel, and their families.
    (f) There is no limitation under this section on the method of 
solicitation or the method of facilitating the making of voluntary 
contributions which may be used.
    (g) A membership organization, cooperative, or corporation without 
capital stock and the separate segregated funds of the organizations are 
subject to the provisions in Sec. 114.5(a).
    (h) A membership organization, cooperative, or corporation without 
capital stock may communicate with its members and executive or 
administrative personnel, and their families, under the provisions of 
Sec. 114.3.
    (i) A mutual life insurance company may solicit its policyholders if 
the policyholders are members within the organizational structure.
    (j) A membership organization, including a trade association, 
cooperative, or corporation without capital stock or a separate 
segregated fund established by such organization may not solicit 
contributions from the separate segregated funds established by its 
members. The separate segregated fund established by a membership 
organization, including a trade association, cooperative, or corporation 
without capital stock may, however, accept unsolicited contributions 
from the separate segregated funds established by its members.
    (k)(1) A federated cooperative as defined in the Agricultural 
Marketing Act of 1929, 12 U.S.C. 1141j, or a rural cooperative eligible 
for assistance under chapter 31 or title 7 of the United States Code, 
may solicit the members of the cooperative's regional, state or local 
affiliates, provided that all of the political committees established, 
financed, maintained or controlled by the cooperative and its regional, 
State or local affiliates are considered one political committee for the 
purposes of the limitations in 11 CFR 110.1 and 110.2.
    (2) A cooperative as described in paragraph (k)(1) of this section 
may make communications to its members under the provisions of 11 CFR 
114.3.

(2 U.S.C. 441b, 437d(a)(8))

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



Sec. 114.8  Trade associations.

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

[[Page 182]]

and the limitation of paragraph (c)(2) of this section, and approval 
must be granted to the trade association or its separate segregated fund 
prior to the time any solicitation is made of the stockholders or 
executive or administrative personnel by the trade association, its 
separate segregated fund, or by the corporation for contributions to the 
separate segregated fund of the trade association. (The request for 
approval may be sent to the representatives of the corporation with whom 
the trade association normally conducts the association's activities.)
    (4) A separate authorization specifically allowing a trade 
association to solicit its corporate member's stockholders, and 
executive or administrative personnel applies through the calendar year 
for which it is designated. A separate authorization by the corporate 
member must be designated for each year during which the solicitation is 
to occur. This authorization may be requested and may also be received 
prior to the calendar year in which the solicitation is to occur.
    (5) In its request to a member corporation, a trade association may 
indicate that it intends to solicit, for example, a limited class of the 
executive or administrative personnel of the member corporation, or only 
the executive or administrative personnel but not the stockholders of 
the member corporation. Moreover, in its approval, a member corporation 
may similarly limit any solicitation by the trade association or its 
separate segregated fund. In any event, a member corporation, once it 
has approved any solicitation--even to a limited extent--of its 
personnel or stockholders by a trade association or its separate 
segregated fund, is precluded from approving any such solicitation by 
another trade association or its separate segregated fund and the 
corporation and its personnel are precluded from soliciting the 
corporation's executive or administrative personnel or stockholders on 
behalf of another trade association or its separate segregated fund.
    (e) Solicitation. (1) After a trade association has obtained the 
approval required in paragraph (c) of this section, there is no limit on 
the number of times the trade association or its separate segregated 
fund may solicit the persons approved by the member corporation during 
the calendar year to which the approval applies. The member corporation 
may, however, in its approval limit the number of times solicitations 
may be made.
    (2) A member corporation which grants permission to a trade 
association to solicit is in no way restricted in its rights under 
Sec. 114.5(g) to solicit its stockholders or executive or administrative 
personnel and their families for contributions to the corporation's own 
separate segregated fund.
    (3) There is no limitation on the method of soliciting voluntary 
contributions or the method of facilitating the making of voluntary 
contributions which a trade association may use. The member corporation 
may not use a payroll deduction or checkoff system for executive or 
administrative personnel contributing to the separate segregated fund of 
the trade association.
    (4) A trade association and/or its separate segregated fund is 
subject to the provisions of Sec. 114.5(a).
    (f) Solicitation of a subsidiary corporation. If a parent 
corporation is a member of the trade association but its subsidiary is 
not, the trade association or its separate segregated fund may only 
solicit the parent's executive or administrative personnel and their 
families and the parent's stockholders and their families; it may not 
solicit the subsidiary's executive or administrative personnel or 
stockholders or their families. If a subsidiary is a member of the trade 
association but the parent corporation is not, the trade association or 
its separate segregated fund may only solicit the subsidiary's executive 
or administrative personnel and their families and the subsidiary's 
stockholders and their families; it may not solicit the parent's 
executive or administrative personnel or stockholders or their families. 
If both parent and subsidiary are members of the trade association, the 
executive or administrative personnel and their families and the 
stockholders and their families of each may be solicited.
    (g) Federations of trade associations. (1) A federation of trade 
associations is an

[[Page 183]]

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

(2 U.S.C. 441b, 437d(a)(8))

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



Sec. 114.9  Use of corporate or labor organization facilities and means of transportation.

    (a) Use of corporate facilities for individual volunteer activity by 
stockholders and employees. (1) Stockholders and employees of the 
corporation may, subject to the rules and practices of the corporation, 
make occasional, isolated, or incidental use of the facilities of a 
corporation for individual volunteer activity in connection with a 
Federal election and will be required to reimburse the corporation only 
to the extent that the overhead or operating costs of the corporation 
are increased. As used in this paragraph, occasional, isolated, or 
incidental use generally means--
    (i) When used by employees during working hours, an amount of 
activity during any particular work period which does not prevent the 
employee from completing the normal amount of work which that employee 
usually carries out during such work period; or
    (ii) When used by stockholders other than employees during the 
working period, such use does not interfere with the corporation in 
carrying out its normal activities; but
    (iii) Any such activity which does not exceed one hour per week or 
four hours per month, regardless of whether the activity is undertaken 
during or after normal working hours, shall be considered as occasional, 
isolated, or incidental use of the corporate facilities.
    (2) A stockholder or employee who makes more than occasional, 
isolated, or incidental use of a corporation's facilities for individual 
volunteer activities in connection with a Federal election is required 
to reimburse the corporation within a commercially reasonable time for 
the normal and usual

[[Page 184]]

rental charge, as defined in 11 CFR 100.7(a)(1)(iii)(B), for the use of 
such facilities.
    (b) Use of labor organization facilities for individual volunteer 
activity by officials, members and employees. (1) The officials, 
members, and employees of a labor organization may, subject to the rules 
and practices of the labor organization, make occasional, isolated, or 
incidental use of the facilities of a labor organization for individual 
volunteer activity in connection with a Federal election and will be 
required to reimburse the labor organization only to the extent that the 
overhead or operating costs of the labor organization are increased. As 
used in this paragraph, occasional, isolated, or incidental use 
generally means--
    (i) When used by employees during working hours, an amount of 
activity during any particular work period which does not prevent the 
employee from completing the normal amount of work which that employee 
usually carries out during such work period; or
    (ii) When used by members other than employees during the working 
period, such use does not interfere with the labor organization in 
carrying out its normal activities; but
    (iii) Any such activity which does not exceed one hour per week or 
four hours per month, regardless of whether the activity is undertaken 
during or after normal working hours, shall be considered as occasional, 
isolated, or incidental use of the labor organization facilities.
    (2) The officials, members, and employees who make more than 
occasional, isolated, or incidental use of a labor organization's 
facilities for individual volunteer activities in connection with a 
Federal election are required to reimburse the labor organization within 
a commercially reasonable time for the normal and usual rental charge, 
as defined in 11 CFR 100.7(a)(1)(iii)(B), for the use of such 
facilities.
    (c) Use of corporate or labor organization facilities to produce 
materials. Any person who uses the facilities of a corporation or labor 
organization to produce materials in connection with a Federal election 
is required to reimburse the corporation or labor organization within a 
commercially reasonable time for the normal and usual charge for 
producing such materials in the commercial market.
    (d) Use or rental of corporate or labor organization facilities by 
other persons. Persons, other than those specifically mentioned in 
paragraphs (a) and (b) of this section, who make any use of corporate or 
labor organization facilities, such as by using telephones or 
typewriters or borrowing office furniture, for activity in connection 
with a Federal election are required to reimburse the corporation or 
labor organization within a commercially reasonable time in the amount 
of the normal and usual rental charge, as defined in 11 CFR 
100.7(a)(1)(iii)(B), for the use of the facilities.
    (e) Use of airplanes and other means of transportation. (1) A 
candidate, candidate's agent, or person traveling on behalf of a 
candidate who uses an airplane which is owned or leased by a corporation 
or labor organization other than a corporation or labor organization 
licensed to offer commercial services for travel in connection with a 
Federal election must, in advance, reimburse the corporation or labor 
organization--
    (i) In the case of travel to a city served by regularly scheduled 
commercial service, the first class air fare;
    (ii) In the case of travel to a city not served by a regularly 
scheduled commercial service, the usual charter rate.
    (2) A candidate, candidate's agent, or person traveling on behalf of 
a candidate who uses other means of transportation owned or leased by a 
corporation or labor organization must reimburse, within a commercially 
reasonable time, the corporation or labor organization at the normal and 
usual rental charge.

[41 FR 35955, Aug. 25, 1976, as amended at 45 FR 21210, Apr. 1, 1980]



Sec. 114.10  Nonprofit corporations exempt from the prohibition on independent expenditures.

    (a) Scope. This section describes those nonprofit corporations that 
qualify for an exemption from the prohibition on independent 
expenditures contained in 11 CFR 114.2. It sets out the procedures for 
demonstrating qualified nonprofit

[[Page 185]]

corporation status, for reporting independent expenditures, and for 
disclosing the potential use of donations for political purposes.
    (b) Definitions. For the purposes of this section--
    (1) The promotion of political ideas includes issue advocacy, 
election influencing activity, and research, training or educational 
activity that is expressly tied to the organization's political goals.
    (2) A corporation's express purpose includes:
    (i) The corporation's purpose as stated in its charter, articles of 
incorporation, or bylaws, except that a statement such as ``any lawful 
purpose,'' ``any lawful activity,'' or other comparable statement will 
not preclude a finding under paragraph (c) of this section that the 
corporation's only express purpose is the promotion of political ideas;
    (ii) The corporation's purpose as publicly stated by the corporation 
or its agents; and
    (iii) Purposes evidenced by activities in which the corporation 
actually engages.
    (3)(i) The term business activities includes but is not limited to:
    (A) Any provision of goods or services that results in income to the 
corporation; and
    (B) Advertising or promotional activity which results in income to 
the corporation, other than in the form of membership dues or donations.
    (ii) The term business activities does not include fundraising 
activities that are expressly described as requests for donations that 
may be used for political purposes, such as supporting or opposing 
candidates.
    (4) The term shareholder has the same meaning as the term 
stockholder, as defined in 11 CFR 114.1(h).
    (c) Qualified nonprofit corporations. For the purposes of this 
section, a qualified nonprofit corporation is a corporation that has all 
the characteristics set forth in paragraphs (c)(1) through (c)(5) of 
this section:
    (1) Its only express purpose is the promotion of political ideas, as 
defined in paragraph (b)(1) of this section;
    (2) It cannot engage in business activities;
    (3) It has:
    (i) No shareholders or other persons, other than employees and 
creditors with no ownership interest, affiliated in any way that could 
allow them to make a claim on the organization's assets or earnings; and
    (ii) No persons who are offered or who receive any benefit that is a 
disincentive for them to disassociate themselves with the corporation on 
the basis of the corporation's position on a political issue. Such 
benefits include but are not limited to:
    (A) Credit cards, insurance policies or savings plans; and
    (B) Training, education, or business information, other than that 
which is necessary to enable recipients to engage in the promotion of 
the group's political ideas.
    (4) It:
    (i) Was not established by a business corporation or labor 
organization;
    (ii) Does not directly or indirectly accept donations of anything of 
value from business corporations, or labor organizations; and
    (iii) If unable, for good cause, to demonstrate through accounting 
records that paragraph (c)(4)(ii) of this section is satisfied, has a 
written policy against accepting donations from business corporations or 
labor organizations; and
    (5) It is described in 26 U.S.C. 501(c)(4).
    (d) Permitted corporate independent expenditures. (1) A qualified 
nonprofit corporation may make independent expenditures, as defined in 
11 CFR part 109, without violating the prohibitions against corporate 
expenditures contained in 11 CFR part 114.
    (2) Except as provided in paragraph (d)(1) of this section, 
qualified nonprofit corporations remain subject to the requirements and 
limitations of 11 CFR part 114, including those provisions prohibiting 
corporate contributions, whether monetary or in-kind.
    (e) Qualified nonprofit corporations; reporting requirements--(1) 
Procedures for demonstrating qualified nonprofit corporation status. If 
a corporation makes independent expenditures under paragraph (d)(1) of 
this section that aggregate in excess of $250 in a calendar year, the 
corporation shall certify, in

[[Page 186]]

accordance with paragraph (e)(1)(ii) of this section, that it is 
eligible for an exemption from the prohibitions against corporate 
expenditures contained in 11 CFR part 114.
    (i) This certification is due no later than the due date of the 
first independent expenditure report required under paragraph (e)(2). 
However, the corporation is not required to submit this certification 
prior to making independent expenditures.
    (ii) This certification may be made either as part of filing FEC 
Form 5 (independent expenditure form) or, if the corporation is not 
required to file electronically under 11 CFR 104.18, by submitting a 
letter in lieu of the form. The letter shall contain the name and 
address of the corporation and the signature and printed name of the 
individual filing the qualifying statement. The letter shall also 
certify that the corporation has the characteristics set forth in 
paragraphs (c)(1) through (c)(5) of this section.
    (2) Reporting independent expenditures. Qualified nonprofit 
corporations that make independent expenditures aggregating in excess of 
$250 in a calendar year shall file reports as required by 11 CFR 109.2.
    (f) Solicitation; disclosure of use of contributions for political 
purposes. Whenever a qualified nonprofit corporation solicits donations, 
the solicitation shall inform potential donors that their donations may 
be used for political purposes, such as supporting or opposing 
candidates.
    (g) Non-authorization notice. Qualified nonprofit corporations 
making independent expenditures under this section shall comply with the 
requirements of 11 CFR 110.11.

[60 FR 35305, July 6, 1995, as amended at 65 FR 38424, June 21, 2000]



Sec. 114.11  Employee participation plans.

    (a) A corporation may establish and administer an employee 
participation plan (i.e. a trustee plan) which is a political giving 
program in which a corporation pays the cost of establishing and 
administering separate bank accounts for any employee who wishes to 
participate. The cost of administering and establishing includes the 
payment of costs for a payroll deduction or check-off plan and the cost 
of maintaining the separate bank accounts.
    (1) The employees must exercise complete control and discretion over 
the disbursement of the monies in their accounts.
    (2) The trustee, bank, or other administrator shall not provide the 
corporation or its separate segregated fund any report of the source or 
recipient of any contribution(s) or donation(s) into or out of any 
account or of the amount any employee has in an account.
    (3) The trustee, bank, or other administrator may provide the 
corporation or its separate segregated fund with a periodic report 
limited to information about the total number of employees in the 
program, the total number of funds in all the accounts combined, and the 
total amount of contributions made to all candidates and committees 
combined.
    (4) No stockholder, director, or employee of the corporation or its 
separate segregated fund may exert pressure of any kind to induce 
participation in the program.
    (5) No stockholder, director, or employee of the corporation or its 
separate segregated fund may exercise any direction or control, either 
oral or written, over contributions by participants in the program to 
any candidate, group of candidates, political party, or other person.
    (b) An employee participation plan must be made available to all 
employees including members of a labor organization who are employees of 
the corporation. Communications about participation in the plan may be 
conducted by either the corporation or the labor organization or both.
    (c) A labor organization may establish and administer an employee 
participation plan subject to the above provisions, except that the cost 
shall be borne by the labor organization.
    (d) The method used to transmit employee or member contributions to 
the candidate or political committee may not in any manner identify the 
corporation or labor organization which established the employee 
particiption plan.

[41 FR 35955, Aug. 25, 1976]

[[Page 187]]



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

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

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



Sec. 114.13  Use of meeting rooms.

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

[60 FR 64279, Dec. 14, 1995]



PART 115--FEDERAL CONTRACTORS--Table of Contents




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

    Authority: Sec. 310(8), Pub. L. 92-225, added by sec. 208, Pub. L. 
93-443, 88 Stat. 1279, and amended by secs. 105 and 107(a)(1), Pub. L. 
94-283, 90 Stat. 481 (2) U.S.C. 437d(a)(8)), and sec. 315(a)(10), Pub. 
L. 92-225, 86 Stat. 16, amended by secs. 208 (a) and (c)(10), and 209 
(a)(1) and (b)(1), Pub. L. 93-443, 88 Stat. 1279, 1287, and sec. 105, 
Pub. L. 94-283, 90 Stat. 481 (2 U.S.C. 438(a)(10)).

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



Sec. 115.1  Definitions.

    (a) A Federal contractor means a person, as defined in 11 CFR 100.10 
who--
    (1) Enters into any contract with the United States or any 
department or agency thereof either for--
    (i) The rendition of personal services; or
    (ii) Furnishing any material, supplies, or equipment; or
    (iii) Selling any land or buildings;
    (2) If the payment for the performance of the contract or payment 
for the material, supplies, equipment, land, or building is to be made 
in whole or in part from funds appropriated by the Congress.
    (b) The period during which a person is prohibited from making a 
contribution or expenditure is the time between the earlier of the 
commencement of negotiations or when the requests for proposals are sent 
out, and the later of--
    (1) The completion of performance under; or
    (2) The termination of negotiations for, the contract or furnishing 
of material, supplies, equipment, land, or buildings, or the rendition 
of personal services.
    (c) For purposes of this part, a contract includes

[[Page 188]]

    (1) A sole source, negotiated, or advertised procurement conducted 
by the United States or any of its agencies;
    (2) A written (except as otherwise authorized) contract, between any 
person and the United States or any of its departments or agencies, for 
the furnishing of personal property, real property, or personal 
services; and
    (3) Any modification of a contract.
    (d) The basic contractual relationship must be with the United 
States or any department or agency thereof. A person who contracts with 
a State or local jurisdiction or entity other than the United States or 
any department or agency thereof is not subject to this part, even if 
the State or local jurisdiction or entity is funded in whole or in part 
from funds appropriated by the Congress. The third party beneficiary of 
a Federal contract is not subject to the prohibitions of this part.
    (e) The term labor organization has the meaning given it by 
Sec. 114.1(a).

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



Sec. 115.2  Prohibition.

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



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

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



Sec. 115.4  Partnerships.

    (a) The assets of a partnership which is a Federal contractor may 
not be used to make contributions or expenditures in connection with 
Federal elections.
    (b) Individual partners may make contributions or expenditures in 
their own names from their personal assets.
    (c) Nothing in this part prohibits an employee of a partnership 
which is a Federal contractor from making contributions or expenditures 
from his or her personal assets.



Sec. 115.5  Individuals and sole proprietors.

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



Sec. 115.6  Employee contributions or expenditures.

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

[[Page 189]]



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




Sec.
116.1  Definitions.
116.2  Debts owed by terminating committees, ongoing committees, and 
          authorized committees.
116.3  Extensions of credit by commercial vendors.
116.4  Forgiveness or settlement of debts owed to commercial vendors.
116.5  Advances by committee staff and other individuals.
116.6  Salary payments owed to employees.
116.7  Debt settlement plans filed by terminating committees; Commission 
          review.
116.8  Creditor forgiveness of debts owed by ongoing committees; 
          Commission review.
116.9  Creditors that cannot be found or that are out of business.
116.10  Disputed debts.

    Authority: 2 U.S.C. 433(d), 434(b)(8), 438(a)(8), 441a, 441b, and 
451.

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



Sec. 116.1  Definitions.

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

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



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

    (a) Terminating committees. A terminating committee may settle 
outstanding debts provided that the terminating committee files a debt 
settlement plan and the requirements of 11 CFR 116.7 are satisfied. The 
Commission will review each debt settlement plan filed to determine 
whether or not the terminating committee appears to have complied with 
the requirements set forth in this part, and whether or not the proposed 
debt settlement plan would result in an apparent violation of the Act or 
the Commission's regulations.

[[Page 190]]

    (b) Ongoing committees. Ongoing committees shall not settle any 
outstanding debts for less than the entire amount owed, but may request 
a Commission determination that such debts are not payable under 11 CFR 
116.9, and may resolve disputed debts under 11 CFR 116.10. Creditors may 
forgive debts owed by ongoing committees under the limited circumstances 
provided in 11 CFR 116.8.
    (c) Authorized committees. (1) An authorized committee shall not 
settle any outstanding debts for less than the entire amount owed if any 
other authorized committee of the same candidate has permissible funds 
available to pay part or all of the amount outstanding. Except as 
provided in paragraph (c)(3), of this section, an authorized committee 
shall not terminate under 11 CFR 102.3 if--
    (i) It has any outstanding debts or obligations; or
    (ii) It has any funds or assets available to pay part or all of the 
outstanding debts or obligations owed by another authorized committee of 
the same candidate and that other authorized committee is unable to pay 
such debts or obligations.
    (2) No transfers of funds may be made from a candidate's authorized 
committee to another authorized committee of the same candidate if the 
transferor committee has net debts outstanding at the time of the 
transfer under the formula described in 11 CFR 110.1(b)(3)(ii).
    (3) An authorized committee that qualifies as a terminating 
committee may assign debts to another authorized committee of the same 
candidate to the extent permitted under applicable state law provided 
that the authorized committee assigning the debts has no cash on hand or 
assets available to pay any part of the outstanding debts, and provided 
that the authorized committee assigning the debts was not organized to 
further the candidate's campaign in an election not yet held. If a 
Presidential candidate elects to receive federal funds pursuant to 11 
CFR part 9001 et seq. or 11 CFR part 9031 et seq., the authorized 
committee(s) of the Presidential candidate shall not assign debts or 
receive assigned debts until after the authorized committee(s) or the 
Presidential candidate has made all required repayments pursuant to 11 
CFR parts 9007 and 9038 and has paid all civil penalties pursuant to 2 
U.S.C. 437g. An authorized committee that has assigned all its 
outstanding debts may terminate if--
    (i) The authorized committee that has assigned the debts otherwise 
qualifies for termination under 11 CFR 102.3; and
    (ii) The authorized committee that received the assigned debts 
notifies the Commission in writing that it has assumed the obligation to 
pay the entire amount owed and that it has assumed the obligation to 
report the debts, and any contributions received for retirement of the 
assigned debts, in accordance with 11 CFR part 104. The assigned debts 
shall be disclosed on a separate schedule of debts and obligations 
attached to the authorized committee's reports. Contributions received 
for retirement of the assigned debts shall be disclosed on a separate 
schedule of receipts attached to the authorized committee's reports. See 
11 CFR 110.1 (b)(3) and (b)(4) and 110.2 (b)(3) and (b)(4). The 
authorized committee that has assigned the debts shall notify each 
creditor in writing of the assignment no later than thirty days before 
the assignment takes effect and shall include the name and address of 
the authorized committee that will receive the assigned debts.



Sec. 116.3  Extensions of credit by commercial vendors.

    (a) Unincorporated vendor. A commercial vendor that is not a 
corporation may extend credit to a candidate, a political committee or 
another person on behalf of a candidate or political committee. An 
extension of credit will not be considered a contribution to the 
candidate or political committee provided that the credit is extended in 
the ordinary course of the commercial vendor's business and the terms 
are substantially similar to extensions of credit to nonpolitical 
debtors that are of similar risk and size of obligation.
    (b) Incorporated vendor. A corporation in its capacity as a 
commercial vendor may extend credit to a candidate, a political 
committee or another person on

[[Page 191]]

behalf of a candidate or political committee provided that the credit is 
extended in the ordinary course of the corporation's business and the 
terms are substantially similar to extensions of credit to nonpolitical 
debtors that are of similar risk and size of obligation.
    (c) Ordinary course of business. In determining whether credit was 
extended in the ordinary course of business, the Commission will 
consider--
    (1) Whether the commercial vendor followed its established 
procedures and its past practice in approving the extension of credit;
    (2) Whether the commercial vendor received prompt payment in full if 
it previously extended credit to the same candidate or political 
committee; and
    (3) Whether the extension of credit conformed to the usual and 
normal practice in the commercial vendor's trade or industry.
    (d) Extension of credit by regulated industries. The Commission may 
rely on the regulations prescribed by the Federal Communications 
Commission, the Interstate Commerce Commission, and the Department of 
Transportation on behalf of the Civil Aeronautics Board, issued pursuant 
to 2 U.S.C. 451 and any other regulations prescribed by other Federal 
agencies to determine whether extensions of credit by the entities 
regulated by those Federal agencies were made in the ordinary course of 
business.



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

    (a) Unincorporated vendor. A commercial vendor that is not a 
corporation may forgive or settle a debt incurred by a candidate, a 
political committee or another person on behalf of a candidate or 
political committee for less than the entire amount owed on the debt. 
The amount forgiven will not be considered a contribution by the 
commercial vendor to the candidate or political committee if--
    (1) The amount forgiven is exempted from the definition of 
contribution in 11 CFR 100.7(b); or
    (2) The commercial vendor has treated the debt in a commercially 
reasonable manner and the requirements of 11 CFR 116.7 or 116.8, as 
appropriate, are satisfied.
    (b) Incorporated vendor. A corporation may not forgive or settle a 
debt incurred by a candidate, a political committee or another person on 
behalf of a candidate or political committee for less than the entire 
amount owed on the debt unless--
    (1) The amount forgiven is exempted from the definition of 
contribution in 11 CFR 100.7(b); or
    (2) The corporation has treated the debt in a commercially 
reasonable manner and the requirements of 11 CFR 116.7 or 116.8, as 
appropriate, are satisfied.
    (c) Reasonable efforts by a political committee. A debt or 
obligation owed by a candidate or a political committee may be totally 
forgiven (see 11 CFR 116.8), or settled (see 11 CFR 116.7), provided 
that--
    (1) The amount forgiven is exempted from the definition of 
contribution in 11 CFR 100.7(b); or
    (2) The candidate and the political committee have undertaken all 
reasonable efforts to satisfy the outstanding debt and the requirements 
of 11 CFR 116.7 or 116.8, as appropriate, including the submission of 
the information specified in those sections and Commission review, are 
satisfied.
    (d) Commercially reasonable. The Commission will determine that a 
debt settlement between a political committee and a commercial vendor is 
commercially reasonable if--
    (1) The initial extension of credit was made in accordance with 11 
CFR 116.3;
    (2) The candidate or political committee has undertaken all 
reasonable efforts to satisfy the outstanding debt. Such efforts may 
include, but are not limited to, the following--
    (i) Engaging in fundraising efforts;
    (ii) Reducing overhead and administrative costs; and
    (iii) Liquidating assets; and
    (3) The commercial vendor has pursued its remedies as vigorously as 
it would pursue its remedies against a nonpolitical debtor in similar 
circumstances. Such remedies may include, but are not limited to, the 
following--
    (i) Oral and written requests for payment;

[[Page 192]]

    (ii) Withholding delivery of additional goods or services until 
overdue debts are satisfied;
    (iii) Imposition of additional charges or penalties for late 
payment;
    (iv) Referral of overdue debts to a commercial debt collection 
service; and
    (v) Litigation.
    (e) Settlement or forgiveness not required. The provisions of this 
part shall not be construed to require a commercial vendor to forgive or 
settle the debt for less than the entire amount owed.
    (f) Reporting. The political committee shall continue to report the 
debt in accordance with 11 CFR 104.3(d) and 104.11 until the Commission 
has completed a review of the debt settlement plan pursuant to 11 CFR 
116.7(f) or until the Commission has completed a review of the request 
to forgive the debt pursuant to 11 CFR 116.8, or until the political 
committee pays the debt, whichever occurs first.



Sec. 116.5  Advances by committee staff and other individuals.

    (a) Scope. This section applies to individuals who are not acting as 
commercial vendors. Individuals who are acting as commercial vendors 
shall follow the requirements of 11 CFR 116.3 and 116.4.
    (b) Treatment as contributions. The payment by an individual from 
his or her personal funds, including a personal credit card, for the 
costs incurred in providing goods or services to, or obtaining goods or 
services that are used by or on behalf of, a candidate or a political 
committee is a contribution unless the payment is exempted from the 
definition of contribution under 11 CFR 100.7(b)(8). If the payment is 
not exempted under 11 CFR 100.7(b)(8), it shall be considered a 
contribution by the individual unless--
    (1) The payment is for the individual's transportation expenses 
incurred while traveling on behalf of a candidate or political committee 
of a political party or for usual and normal subsistence expenses 
incurred by an individual, other than a volunteer, while traveling on 
behalf of a candidate or political committee of a political party; and
    (2) The individual is reimbursed within sixty days after the closing 
date of the billing statement on which the charges first appear if the 
payment was made using a personal credit card, or within thirty days 
after the date on which the expenses were incurred if a personal credit 
card was not used. For purposes of this section, the closing date shall 
be the date indicated on the billing statement which serves as the 
cutoff date for determining which charges are included on that billing 
statement. In addition, ``subsistence expenses'' include only 
expenditures for personal living expenses related to a particular 
individual traveling on committee business, such as food or lodging.
    (c) Treatment as debts. A political committee shall treat the 
obligation arising from a payment described in paragraph (b) of this 
section as an outstanding debt until reimbursed.
    (d) Settlement or forgiveness of the debt. The individual and the 
political committee may agree to the total forgiveness of the debt (See 
11 CFR 116.8) or a settlement of the debt for less than the entire 
amount owed (See 11 CFR 116.7), provided that the requirements of 11 CFR 
116.7 or 116.8, as appropriate, including the submission of the 
information specified in these sections and Commission review, are 
satisfied. The provisions of this part shall not be construed to require 
the individual to forgive or settle the debt for less than the entire 
amount owed.
    (e) Reporting. The political committee shall continue to report the 
obligation arising from the payment as a debt in accordance with 11 CFR 
104.3(d) and 104.11 until the Commission has completed a review of the 
debt settlement plan pursuant to 11 CFR 116.7(f) or until the Commission 
has completed a review of the request to forgive the debt pursuant to 11 
CFR 116.8, or until the political committee pays the debt, whichever 
occurs first.

[55 FR 26386, June 27, 1990, as amended at 56 FR 35911, July 29, 1991]



Sec. 116.6  Salary payments owed to employees.

    (a) Treatment as debts or volunteer services. If a political 
committee does

[[Page 193]]

not pay an employee for services rendered to the political committee in 
accordance with an employment contract or a formal or informal agreement 
to do so, the unpaid amount either may be treated as a debt owed by the 
political committee to the employee or, provided that the employee signs 
a written statement agreeing to be considered a volunteer, converted to 
a volunteer services arrangement under 11 CFR 100.7(b)(3). The unpaid 
amount shall not be treated as a contribution under 11 CFR 100.7.
    (b) Settlement or forgiveness of the debt. If the unpaid amount is 
treated as a debt, the employee and the political committee may agree to 
a settlement of the debt for less than the entire amount owed pursuant 
to 11 CFR 116.7. The provisions of this part shall not be construed to 
require the employee to settle the debt for less than the entire amount 
owed.
    (c) Reporting. If the unpaid amount is treated as a debt, the 
political committee shall continue to report the debt in accordance with 
11 CFR 104.3(d) and 104.11 until the Commission has completed a review 
of the debt settlement plan pursuant to 11 CFR 116.7(f) or until the 
employee agrees to be considered a volunteer, or until the political 
committee pays the debt, whichever occurs first.



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

    (a) Procedures for filing debt settlement plans. Every terminating 
committee as defined in 11 CFR 116.1(a) shall file at least one debt 
settlement plan with the Commission prior to filing its termination 
report under 11 CFR 102.3. The terminating committee shall file a debt 
settlement plan after the creditors included in the debt settlement plan 
have agreed to the settlement or forgiveness of the particular debt(s) 
owed to each of them. The terminating committee shall not make any 
payments to the creditors included in the debt settlement plan until 
completion of Commission review. The Commission encourages terminating 
committees to include as many debt settlement agreements as possible in 
a debt settlement plan. The terminating committee shall not file its 
termination report under 11 CFR 102.3 and shall not terminate until each 
debt or obligation owed either:
    (1) Has been paid in full;
    (2) Has been settled and the requirements of this section, including 
Commission review, have been satisfied;
    (3) Has been forgiven by the creditor and the requirements of 11 CFR 
116.8, including Commission review, have been satisfied;
    (4) Has been determined not to be payable pursuant to 11 CFR 116.9; 
or
    (5) Has been otherwise extinguished or discharged.
    (b) Debts subject to settlement. Debts and obligations subject to 
the debt settlement and Commission review requirements and procedures 
set forth in this section include:
    (1) Amounts owed to commercial vendors (See 11 CFR 116.3 and 116.4);
    (2) Debts arising from advances by committee staff and other 
individuals (See 11 CFR 116.5);
    (3) Salary owed to committee employees (See 11 CFR 116.6); and
    (4) Debts arising from loans from political committees or 
individuals, including candidates, to the extent permitted under 11 CFR 
part 110.
    (c) Debts that shall not be settled; Disputed debts.
    (1) Debts and obligations that shall not be forgiven or settled for 
less than the entire amount owed include repayment obligations pursuant 
to 11 CFR 9007.2, 9008.10, 9008.11, 9038.2 or 9038.3 of funds received 
from the Presidential Election Campaign Fund or the Presidential Primary 
Matching Payment Account.
    (2) Disputed debts are not subject to the debt settlement and 
Commission review requirements and procedures. (See CFR 116.10).
    (d) Reporting. The terminating committee shall continue to report 
each outstanding debt or obligation included in a debt settlement plan 
in accordance with 11 CFR 104.3(d) and 104.11 until the Commission has 
completed a review of the debt settlement plan pursuant to paragraph (f) 
of this section. The terminating committee shall continue to

[[Page 194]]

report all remaining debts and obligations not included in the debt 
settlement plan in accordance with 11 CFR 104.3 and 104.11.
    (e) Contents of debt settlement plans. (1) The debt settlement plan 
shall provide the following information on each debt covered by the 
plan--
    (i) The terms of the initial extension of credit and a description 
of the terms under which the creditor has extended credit to 
nonpolitical debtors of similar risk and size of obligation;
    (ii) A description of the efforts made by the candidate or the 
terminating committee to satisfy the debt;
    (iii) A description of the remedies pursued by the creditor to 
obtain payment of the debt and a comparison to the remedies customarily 
pursued by the creditor in similar circumstances involving nonpolitical 
debtors; and
    (iv) The terms of the debt settlement and a comparison to the terms 
of the creditor's other debt settlements involving nonpolitical debtors 
in similar circumstances, if any.
    (2) Each debt settlement plan filed under this section shall include 
a signed statement from each creditor covered indicating agreement to 
the terms of the settlement of the debt owed to that creditor.
    (3) The debt settlement plan shall include a statement as to whether 
the terminating committee has sufficient cash on hand to pay the total 
amount indicated in the debt settlement plan, and if not, a statement as 
to what steps the terminating committee will take to obtain the funds 
needed to make the payments.
    (4) If a debt settlement plan does not include settlements for all 
of the terminating committee's outstanding debts and obligations, the 
debt settlement plan shall include a separate list of all of the 
terminating committee's remaining debts and obligations, including debts 
that are not subject to debt settlement as set forth in paragraph (c) of 
this section. The debt settlement plan shall indicate--
    (i) Whether the terminating committee intends to pay the entire 
amount still owed on each remaining debt or obligation or to settle such 
debts and obligations, and if settlement is contemplated, the terms that 
were or will be offered to the creditor(s); and
    (ii) Whether the terminating committee has sufficient cash on hand 
to pay such remaining debts and obligations, or to pay a lesser portion 
of such amounts, and if not, what steps the terminating committee will 
take to obtain the funds needed to make such payments.
    (5) If the terminating committee expects to have residual funds or 
assets after disposing of all its outstanding debts and obligations, the 
debt settlement plan shall include a statement as to the purpose for 
which such residual funds or assets will be used. See 11 CFR 
110.1(b)(3)(iii) regarding contributions received to pay net debts 
outstanding owed by authorized committees.
    (6) The political committee filing the debt settlement plan shall 
demonstrate in the debt settlement plan that such political committee 
qualifies as a terminating committee under 11 CFR 116.1(a) and shall 
state when the political committee expects to file a termination report 
under 11 CFR 102.3.
    (7) Upon the Commission's request, the candidate, the terminating 
committee or the creditor shall provide such additional information as 
the Commission may require to review the debt settlement plan. The 
Commission may also require the submission of additional debt settlement 
agreements prior to Commission review of the debt settlement plan.
    (f) Commission review of debt settlement plans. In reviewing the 
debt settlement plan, the Commission will consider--
    (1) The information provided by the terminating committee and the 
creditors under this section;
    (2) The amount of each debt that remains unpaid and the length of 
time each debt has been overdue;
    (3) The amount and percentage of each debt that would be forgiven 
under the plan;
    (4) The total amount of debts and obligations owed by the 
terminating committee to all creditors, compared to the total amount of 
cash on hand and other amounts available to pay those debts and 
obligations;
    (5) The year to date expenditures and receipts of the terminating 
committee; and

[[Page 195]]

    (6) Whether the total percentage that was or will be repaid on any 
loans made by the candidate to the terminating committee is comparable 
to the total percentage that was or will be paid to other creditors.
    (g) Debts dischargeable in bankruptcy. If a terminating committee is 
released from debts or obligations pursuant to a discharge under 11 
U.S.C. chapter 7, the terminating committee's debt settlement plan shall 
include a copy of the order issued by the Bankruptcy Court of the United 
States so indicating, and a list of all debts and obligations from which 
the terminating committee is released, in lieu of the information 
specified in paragraphs (e)(1), (e)(2), and (e)(3) of this section.



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

    (a) General requirements. A creditor may forgive the outstanding 
balance of a debt owed by an ongoing committee if the creditor and the 
ongoing committee have satisfied the requirements of 11 CFR 116.3 or 
116.5, as appropriate, regarding extensions of credit by commercial 
vendors and advances by committee staff and other individuals, and the 
debt has been outstanding for at least twenty-four months, and--
    (1) The creditor has exercised reasonable diligence in attempting to 
locate the ongoing committee and has been unable to do so; or
    (2) The ongoing committee--
    (i) Does not have sufficient cash on hand to pay the creditor;
    (ii) Has receipts of less than $1000 during the previous twenty-four 
months;
    (iii) Has disbursements of less than $1000 during the previous 
twenty-four months; and
    (iv) Owes debts to other creditors of such magnitude that the 
creditor could reasonably conclude that the ongoing committee will not 
pay this particular debt.
    (b) Procedures for forgiving debts. A creditor that intends to 
forgive a debt owed by an ongoing committee shall notify the Commission 
by letter of its intent. The letter shall demonstrate that the 
requirements set forth in paragraph (a) of this section are satisfied. 
The letter shall provide the following information--
    (1) The terms of the initial extension of credit and a description 
of the terms under which the creditor has extended credit to 
nonpolitical debtors of similar risk and size of obligation;
    (2) A description of the efforts made by the candidate or the 
ongoing committee to satisfy the debt;
    (3) A description of the remedies pursued by the creditor to obtain 
payment of the debt and a comparison to the remedies customarily pursued 
by the creditor in similar circumstances involving nonpolitical debtors; 
and
    (4) An indication that the creditor has forgiven other debts 
involving nonpolitical debtors in similar circumstances, if any.
    (c) Commission review. Upon the Commission's request, the ongoing 
committee or the creditor shall provide such additional information as 
the Commission may require to review the creditor's request. The 
Commission will review each request to forgive a debt to determine 
whether the candidate, the ongoing committee, and the creditor have 
complied with the requirements of 11 CFR part 116, and whether or not 
the forgiveness of the debt would result in an apparent violation of the 
Act or the Commission's regulations.



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

    (a) General requirements. A political committee may request that the 
Commission determine that a debt owed to a creditor is not payable for 
purposes of the Act if the debt has been outstanding for at least 
twenty-four months, and the requirements of paragraph (b) or (c) of this 
section, as appropriate, have been satisfied, and--
    (1) The creditor has gone out of business and no other entity has a 
right to be paid the amount owed; or
    (2) The political committee has exercised reasonable diligence in 
attempting to locate the creditor and has been unable to do so. 
Reasonable diligence in attempting to locate the creditor means the 
political committee has attempted to ascertain the current address and 
telephone number, and has attempted to contact the creditor by 
registered or

[[Page 196]]

certified mail, and either in person or by telephone.
    (b) Terminating committees. If the political committee making the 
request is a terminating committee, the terminating committee shall 
include the request in a debt settlement plan filed with the Commission, 
and shall demonstrate that the requirements of 11 CFR 116.3, 116.5 or 
116.6, as appropriate, and 116.9(a) are satisfied. The terminating 
committee shall continue to disclose the debt on its schedules of 
outstanding debts and obligations until the Commission has completed its 
review of the debt settlement plan pursuant to 11 CFR 116.7(f) and has 
determined that the debt is not payable for purposes of the Act.
    (c) Ongoing committees. If the political committee making the 
request is an ongoing committee, the ongoing committee shall make the 
request in writing and shall demonstrate that the requirements of 11 CFR 
116.3, 116.5 or 116.6, as appropriate, and 116.9(a) are satisfied. The 
Commission will review the request to determine whether the ongoing 
committee and the creditor have complied with the requirements of 11 CFR 
part 116, and to determine whether reporting the debt as not payable 
would result in an apparent violation of the Act or the Commission's 
regulations. The ongoing committee shall continue to disclose the debt 
on its schedules of outstanding debts and obligations until the 
Commission has completed its review of the request and has determined 
that the debt is not payable for purposes of the Act.
    (d) Reporting. Upon notification that the Commission has determined 
that the debt is not payable for purposes of the Act, the political 
committee may list the debt as not payable on the next due report. 
Notwithstanding 11 CFR 104.11, the debt does not have to be included in 
subsequent reports unless the status of the debt changes. The presence 
of a debt that the Commission has determined is not payable shall not 
bar the political committee from terminating its registration pursuant 
to 11 CFR 102.3.



Sec. 116.10  Disputed debts.

    (a) Reporting disputed debts. A political committee shall report a 
disputed debt in accordance with 11 CFR 104.3(d) and 104.11 if the 
creditor has provided something of value to the political committee. 
Until the dispute is resolved, the political committee shall disclose on 
the appropriate reports any amounts paid to the creditor, any amount the 
political committee admits it owes and the amount the creditor claims is 
owed. The political committee may also note on the appropriate reports 
that the disclosure of the disputed debt does not constitute an 
admission of liability or a waiver of any claims the political committee 
may have against the creditor. (See also 11 CFR 9035.1(a)(2) regarding 
the effect of disputed debts on a candidate's expenditure limitations 
under 11 CFR part 9035.)
    (b) Disputed debts owed by terminating committees. If a terminating 
committee and a creditor have been unable to resolve a disputed debt, 
and the terminating committee files a debt settlement plan covering 
other debts or other creditors, the terminating committee shall include 
in the debt settlement plan a brief description as to the nature of the 
dispute and the status of the terminating committee's efforts to resolve 
the dispute. The debt settlement plan need not include a signed 
affidavit from the creditor involved in the dispute pursuant to 11 CFR 
116.7(e)(2).

[[Page 197]]





                SUBCHAPTER B--ADMINISTRATIVE REGULATIONS



PART 200--PETITIONS FOR RULEMAKING--Table of Contents




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

    Authority: 2 U.S.C. 437d(a)(8), 2 U.S.C. 438(a)(8), 5 U.S.C. 553(e).

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



Sec. 200.1  Purpose and scope.

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

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



Sec. 200.2  Procedural requirements.

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



Sec. 200.3  Processing of petitions.

    (a) If a document qualifies as a petition under 11 CFR 200.2, the 
Commission, upon the recommendation of the Office of General Counsel, 
will--
    (1) Publish a Notice of Availability in the Federal Register, 
stating that the petition is available for public inspection in the 
Commission's Public Records Office and that statements in support of or 
in opposition to the petition may be filed within a stated period after 
publication of the notice;
    (2) Send a letter to the Commissioner of Internal Revenue, pursuant 
to 2 U.S.C. 438(f), seeking the IRS's comments on the petition; and
    (3) Send a letter to the petitioner, acknowledging receipt of the 
petition and informing the petitioner of the above actions.
    (b) If the petition does not comply with the requirements of 11 CFR 
200.2(b), the Office of General Counsel may notify the petitioner of the 
nature of any discrepancies.

[[Page 198]]

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



Sec. 200.4  Disposition of petitions.

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



Sec. 200.5  Agency considerations.

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



Sec. 200.6  Administrative record.

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



PART 201--EX PARTE COMMUNICATIONS--Table of Contents




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

    Authority: 2 U.S.C. 437d(a)(8), 437f, 438(a)(8), 438(b); 26 U.S.C. 
9007, 9008, 9009(b), 9038, 9039(b).

[[Page 199]]


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



Sec. 201.1  Purpose and scope.

    This part prescribes procedures for handling ex parte communications 
made in connection with public funding, Commission audits, litigation, 
rulemaking proceedings and the advisory opinion process. Rules governing 
such communications made in connection with Commission enforcement 
actions are found at 11 CFR 111.22, while provisions setting forth 
employee responsibilities under the Commission's Standards of Conduct 
rules are found at 11 CFR 7.15.



Sec. 201.2  Definitions.

    As used in this part:
    (a) Ex parte communication means any written or oral communication 
by any person outside the agency to any Commissioner or any member of a 
Commissioner's staff which imparts information or argument regarding 
prospective Commission action or potential action concerning:
    (1) Any candidate or committee applying for or participating in the 
public funding process, or
    (2) Any ongoing audit, or
    (3) Any pending litigation matter, or
    (4) Any pending rulemaking, or
    (5) Any pending advisory opinion request.
    (b) Ex parte communications does not include the following 
communications.
    (1) Statements by any person publicly made in a public forum; or
    (2) Statements or inquiries by any person limited to the procedural 
status of an open proceeding involving an application for public 
funding, a rulemaking, an advisory opinion request, an audit being 
conducted pursuant to 26 U.S.C. 9007 (a) and (b), 9008 (g) and (h), or 
9038 (a) and (b), or a litigation matter.
    (c) Commissioner means an individual appointed by the President to 
the Federal Election Commission pursuant to 2 U.S.C. 437c(a).
    (d) Commissioner's staff means all individuals working under the 
personal supervision of a Commissioner including executive assistants 
and executive secretaries.



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

    (a) In order to avoid the possibility of prejudice, real or 
apparent, to the public interest in Commission decisionmaking during the 
public funding process, in audits undertaken by the Commission, and in 
any litigation to which the Commission is a party, no person outside the 
agency shall make or cause to be made to any Commissioner or any member 
of any Commissioner's staff any ex parte communication regarding any 
candidate or committee's eligibility for or entitlement to public 
funding; any audit; or any pending or prospective Commission decision 
regarding litigation, including whether to initiate, settle, appeal, or 
seek certiorari, or any other decision concerning a litigation matter; 
nor shall any Commissioner or member of any Commissioner's staff 
entertain any such ex parte communications.
    (b) The requirements of this section apply:
    (1) In the case of public funding, from the time a primary election 
candidate submits to the Commission the letter required by 11 CFR 
9033.1(a), Presidential and Vice Presidential candidates submit to the 
Commission the letter required by 11 CFR 9003.1, or a committee seeking 
convention funding registers with the Commission as required by 11 CFR 
9008.12(a)(1) or 9008.12(b)(1), until the start of the audit process.
    (2)(i) In the case of an audit undertaken pursuant to 26 U.S.C. 9007 
(a) and (b), 9008 (g) and (h), or 9038 (a) and (b), from the date of the 
Commission's letter to a presidential campaign committee, a convention 
committee, or a host committee asking that it make a pre-inventory check 
of its records, prior to the commencement of audit fieldwork by the 
Commission, through the end of the audit process; and
    (ii) In the case of an audit undertaken pursuant to 2 U.S.C. 438(b), 
from the date the Commission's staff circulates a document for 
Commission approval containing a proposed referral to undertake an 
audit, until the Commission publicly issues the final audit report.

[[Page 200]]

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



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

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



Sec. 201.5  Sanctions.

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



                       SUBCHAPTERS C-D [RESERVED]

[[Page 201]]




  SUBCHAPTER E--PRESIDENTIAL ELECTION CAMPAIGN FUND: GENERAL ELECTION 
                                FINANCING



PART 9001--SCOPE--Table of Contents




    Authority: 26 U.S.C. 9009(b).



Sec. 9001.1  Scope.

    This subchapter governs entitlement to and use of funds certified 
from the Presidential Election Campaign Fund under 26 U.S.C. 9001 et 
seq. The definitions, restrictions, liabilities and obligations imposed 
by this subchapter are in addition to those imposed by sections 431-455 
of title 2, United States Code, and regulations prescribed thereunder 
(11 CFR parts 100 through 116). Unless expressly stated to the contrary, 
this subchapter does not alter the effect of any definitions, 
restrictions, obligations and liabilities imposed by sections 431-455 of 
title 2, United States Code, or regulations prescribed thereunder (11 
CFR parts 100 through 116).

[56 FR 35911, July 29, 1991]



PART 9002--DEFINITIONS--Table of Contents




Sec.
9002.1  Authorized committee.
9002.2  Candidate.
9002.3  Commission.
9002.4  Eligible candidates.
9002.5  Fund.
9002.6  Major party.
9002.7  Minor party.
9002.8  New party.
9002.9  Political committee.
9002.10  Presidential election.
9002.11  Qualified campaign expense.
9002.12  Expenditure report period.
9002.13  Contribution.
9002.14  Secretary.
9002.15  Political party.

    Authority: 26 U.S.C. 9002 and 9009(b).

    Source: 56 FR 35911, July 29, 1991, unless otherwise noted.



Sec. 9002.1  Authorized committee.

    (a) Notwithstanding the definition at 11 CFR 100.5, authorized 
committee means with respect to a candidate (as defined at 11 CFR 
9002.2) of a political party for President and Vice President, any 
political committee that is authorized by a candidate to incur expenses 
on behalf of such candidate. The term ``authorized committee'' includes 
the candidate's principal campaign committee designated in accordance 
with 11 CFR 102.12, any political committee authorized in writing by the 
candidate in accordance with 11 CFR 102.13, and any political committee 
not disavowed by the candidate pursuant to 11 CFR 100.3(a)(3). If a 
party has nominated a Presidential and a Vice Presidential candidate, 
all political committees authorized by that party's Presidential 
candidate shall also be authorized committees of the Vice Presidential 
candidate and all political committees authorized by the Vice 
Presidential candidate shall also be authorized committees of the 
Presidential candidate.
    (b) Any withdrawal of an authorization shall be in writing and shall 
be addressed and filed in the same manner provided for at 11 CFR 102.12 
or 102.13.
    (c) Any candidate nominated by a political party may designate the 
national committee of that political party as that candidate's 
authorized committee in accordance with 11 CFR 102.12(c).
    (d) For purposes of this subchapter, references to the ``candidate'' 
and his or her responsibilities under this subchapter shall also be 
deemed to refer to the candidate's authorized committee(s).



Sec. 9002.2  Candidate.

    (a) For the purposes of this subchapter, candidate means with 
respect to any presidential election, an individual who--
    (1) Has been nominated by a major party for election to the office 
of President of the United States or the office of Vice President of the 
United States; or
    (2) Has qualified or consented to have his or her name appear on the 
general election ballot (or to have the names of electors pledged to him 
or her on such ballot) as the candidate of a political party for 
election to either such office in 10 or more States. For the purposes

[[Page 202]]

of this section, political party shall be defined in accordance with 11 
CFR 9002.15.
    (b) An individual who is no longer actively conducting campaigns in 
more than one State pursuant to 11 CFR 9004.8 shall cease to be a 
candidate for the purpose of this subchapter.



Sec. 9002.3  Commission.

    Commission means the Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463.



Sec. 9002.4  Eligible candidates.

    Eligible candidates means those Presidential and Vice Presidential 
candidates who have met all applicable conditions for eligibility to 
receive payments from the Fund under 11 CFR part 9003.



Sec. 9002.5  Fund.

    Fund means the Presidential Election Campaign Fund established by 26 
U.S.C. 9006(a).



Sec. 9002.6  Major party.

    Major party means a political party whose candidate for the office 
of President in the preceding Presidential election received, as a 
candidate of such party, 25 percent or more of the total number of 
popular votes received by all candidates for such office. For the 
purposes of 11 CFR 9002.6, candidate means, with respect to any 
preceding Presidential election, an individual who received popular 
votes for the office of President in such election.



Sec. 9002.7  Minor party.

    Minor party means a political party whose candidate for the office 
of President in the preceding Presidential election received, as a 
candidate of such party, 5 percent or more, but less than 25 percent, of 
the total number of popular votes received by all candidates for such 
office. For the purposes of 11 CFR 9002.7, candidate means with respect 
to any preceding Presidential election, an individual who received 
popular votes for the office of President in such election.



Sec. 9002.8  New party.

    New party means a political party which is neither a major party nor 
a minor party.



Sec. 9002.9  Political committee.

    For purposes of this subchapter, political committee means any 
committee, club, association, organization or other group of persons 
(whether or not incorporated) which accepts contributions or makes 
expenditures for the purpose of influencing, or attempting to influence, 
the election of any candidate to the office of President or Vice 
President of the United States.



Sec. 9002.10  Presidential election.

    Presidential election means the election of Presidential and Vice 
Presidential electors.



Sec. 9002.11  Qualified campaign expense.

    (a) Qualified campaign expense means any expenditure, including a 
purchase, payment, distribution, loan, advance, deposit, or gift of 
money or anything of value--
    (1) Incurred to further a candidate's campaign for election to the 
office of President or Vice President of the United States;
    (2) Incurred within the expenditure report period, as defined under 
11 CFR 9002.12, or incurred before the beginning of such period in 
accordance with 11 CFR 9003.4 to the extent such expenditure is for 
property, services or facilities to be used during such period; and
    (3) Neither the incurrence nor the payment of such expenditure 
constitutes a violation of any law of the United States, any law of the 
State in which such expense is incurred or paid, or any regulation 
prescribed under such Federal or State law, except that any State law 
which has been pre-empted by the Federal Election Campaign Act of 1971, 
as amended, shall not be considered a State law for purposes of this 
subchapter. An expenditure which constitutes such a violation shall 
nevertheless count against the candidate's expenditure limitation if the 
expenditure meets the conditions set forth at 11 CFR 9002.11(a) (1) and 
(2).

[[Page 203]]

    (b)(1) An expenditure is made to further a Presidential or Vice 
Presidential candidate's campaign if it is incurred by or on behalf of 
such candidate or his or her authorized committee. For purposes of 11 
CFR 9002.11(b)(1), any expenditure incurred by or on behalf of a 
Presidential candidate of a political party will also be considered an 
expenditure to further the campaign of the Vice Presidential candidate 
of that party. Any expenditure incurred by or on behalf of the Vice 
Presidential candidate will also be considered an expenditure to further 
the campaign of the Presidential candidate of that party.
    (2) An expenditure is made on behalf of a candidate if it is made 
by--
    (i) Any authorized committee or any other agent of the candidate for 
the purpose of making an expenditure; or
    (ii) Any person authorized or requested by the candidate, by the 
candidate's authorized committee(s), or by an agent of the candidate or 
his or her authorized committee(s) to make an expenditure; or
    (iii) A committee which has been requested by the candidate, the 
candidate's authorized committee(s), or an agent thereof to make the 
expenditure, even though such committee is not authorized in writing.
    (3) Expenditures that further the election of other candidates for 
any public office shall be allocated in accordance with 11 CFR 106.1(a) 
and will be considered qualified campaign expenses only to the extent 
that they specifically further the election of the candidate for 
President or Vice President. A candidate may make expenditures under 
this section in conjunction with other candidates for any public office, 
but each candidate shall pay his or her proportionate share of the cost 
in accordance with 11 CFR 106.1(a).
    (4) Expenditures by a candidate's authorized committee(s) pursuant 
to 11 CFR 9004.6 for the travel and related ground service costs of 
media shall be qualified campaign expenses. Any reimbursement for travel 
and related services costs received by a candidate's authorized 
committee shall be subject to the provisions of 11 CFR 9004.6.
    (5) Legal and accounting services which are provided solely to 
ensure compliance with 2 U.S.C. 431 et seq. or 26 U.S.C. 9001, et seq. 
shall be qualified campaign expenses which may be paid from payments 
received from the Fund. If federal funds are used to pay for such 
services, the payments will count against the candidate's expenditure 
limitation. Payments for such services may also be made from an account 
established in accordance with 11 CFR 9003.3 or may be provided to the 
committee in accordance with 11 CFR 100.7(b)(14) and 100.8(b)(15). If 
payments for such services are made from an account established in 
accordance with 11 CFR 9003.3, the payments do not count against the 
candidate's expenditure limitation. If payments for such services are 
made by a minor or new party candidate from an account containing 
private contributions, the payments do not count against that 
candidate's expenditure limitation. The amount paid by the committee 
shall be reported in accordance with 11 CFR part 9006. Amounts paid by 
the regular employer of the person providing such services pursuant to 
11 CFR 100.7(b)(14) and 100.8(b)(15) shall be reported by the recipient 
committee in accordance with 11 CFR 104.3(h).
    (c) Except as provided in 11 CFR 9034.4(e), expenditures incurred 
either before the beginning of the expenditure report period or after 
the last day of a candidate's eligibility will be considered qualified 
campaign expenses if they meet the provisions of 11 CFR 9004.4(a). 
Expenditures described under 11 CFR 9004.4(b) will not be considered 
qualified campaign expenses.

[56 FR 35911, July 29, 1991, as amended at 60 FR 31872, June 16, 1995]



Sec. 9002.12  Expenditure report period.

    Expenditure report period means, with respect to any Presidential 
election, the period of time described in either paragraph (a) or (b) of 
this section, as appropriate.
    (a) In the case of a major party, the expenditure report period 
begins on September 1 before the election or on the date on which the 
major party's presidential nominee is chosen, whichever is earlier; and 
the period ends 30 days after the Presidential election.
    (b) In the case of a minor or new party, the period will be the same 
as

[[Page 204]]

that of the major party with the shortest expenditure report period for 
that Presidential election as determined under paragraph (a) of this 
section.



Sec. 9002.13  Contribution.

    Contribution has the same meaning given the term under 2 U.S.C. 
431(8), 441b and 441c, and under 11 CFR 100.7, and 11 CFR parts 114 and 
115.



Sec. 9002.14  Secretary.

    Secretary means the Secretary of the Treasury.



Sec. 9002.15  Political party.

    Political party means an association, committee, or organization 
which nominates or selects an individual for election to any Federal 
office, including the office of President or Vice President of the 
United States, whose name appears on the general election ballot as the 
candidate of such association, committee, or organization.



PART 9003--ELIGIBILITY FOR PAYMENTS--Table of Contents




Sec.
9003.1  Candidate and committee agreements.
9003.2  Candidate certifications.
9003.3  Allowable contributions; General election legal and accounting 
          compliance fund.
9003.4  Expenses incurred prior to the beginning of the expenditure 
          report period or prior to receipt of Federal funds.
9003.5  Documentation of disbursements.
9003.6  Production of computer information.

    Authority: 26 U.S.C. 9003 and 9009(b).

    Source: 56 FR 35913, July 29, 1991, unless otherwise noted.



Sec. 9003.1  Candidate and committee agreements.

    (a) General. (1) To become eligible to receive payments under 11 CFR 
part 9005, the Presidential and Vice Presidential candidates of a 
political party shall agree in a letter signed by the candidates to the 
Commission that they and their authorized committee(s) shall comply with 
the conditions set forth in 11 CFR 9003.1(b).
    (2) Major party candidates shall sign and submit such letter to the 
Commission within 14 days after receiving the party's nomination for 
election. Minor and new party candidates shall sign and submit such 
letter within 14 days after such candidates have qualified to appear on 
the general election ballot in 10 or more states pursuant to 11 CFR 
9002.2(a)(2). The Commission, on written request by a minor or new party 
candidate, at any time prior to the date of the general election, may 
extend the deadline for filing such letter except that the deadline 
shall be a date prior to the date of the general election.
    (b) Conditions. The candidates shall:
    (1) Agree that they have the burden of proving that disbursements 
made by them or any authorized committee(s) or agent(s) thereof are 
qualified campaign expenses as defined in 11 CFR 9002.11.
    (2) Agree that they and their authorized committee(s) shall comply 
with the documentation requirements set forth at 11 CFR 9003.5.
    (3) Agree that they and their authorized committee(s) shall provide 
an explanation, in addition to complying with the documentation 
requirements, of the connection between any disbursements made by the 
candidates or the authorized committee(s) of the candidates and the 
campaign if requested by the Commission.
    (4) Agree that they and their authorized committee(s) will keep and 
furnish to the Commission all documentation relating to receipts and 
disbursements including any books, records (including bank records for 
all accounts), all documentation required by this subchapter (including 
those required to be maintained under 11 CFR 9003.5), and other 
information that the Commission may request. If the candidate or the 
candidate's authorized committee maintains or uses computerized 
information containing any of the categories of data listed in 11 CFR 
9003.6(a), the committee will provide computerized magnetic media, such 
as magnetic tapes or magnetic diskettes, containing the computerized 
information that meets the requirements of 11 CFR 9003.6(b) at the times 
specified in 11 CFR 9007.1(b)(1). Upon request, documentation explaining 
the computer system's software capabilities shall be provided, and such 
personnel as are

[[Page 205]]

necessary to explain the operation of the computer system's software and 
the computerized information prepared or maintained by the committee 
shall also be made available.
    (5) Agree that they and their authorized committee(s) shall obtain 
and furnish to the Commission upon request all documentation relating to 
funds received and disbursements made on the candidate's behalf by other 
political committees and organizations associated with the candidate.
    (6) Agree that they and their authorized committee(s) shall permit 
an audit and examination pursuant to 11 CFR part 9007 of all receipts 
and disbursements including those made by the candidate, all authorized 
committees and any agent or person authorized to make expenditures on 
behalf of the candidate or committee(s). The candidate and authorized 
committee(s) shall facilitate the audit by making available in one 
central location, office space, records and such personnel as are 
necessary to conduct the audit and examination, and shall pay any 
amounts required to be repaid under 11 CFR part 9007.
    (7) Submit the name and mailing address of the person who is 
entitled to receive payments from the Fund on behalf of the candidates; 
the name and address of the depository designated by the candidates as 
required by 11 CFR part 103 and 11 CFR 9005.2; and the name under which 
each account is held at the depository at which the payments from the 
Fund are to be deposited.
    (8) Agree that they and their authorized committee(s) shall comply 
with the applicable requirements of 2 U.S.C. 431 et seq., 26 U.S.C. 9001 
et seq., and the Commission's regulations at 11 CFR parts 100-116, and 
9001-9012.
    (9) Agree that they and their authorized committee(s) shall pay any 
civil penalties included in a conciliation agreement or otherwise 
imposed under 2 U.S.C. 437g against the candidates, any authorized 
committees of the candidates or any agent thereof.
    (10) Agree that any television commercial prepared or distributed by 
the candidate or the candidate's authorized committee(s) will be 
prepared in a manner which ensures that the commercial contains or is 
accompanied by closed captioning of the oral content of the commercial 
to be broadcast in line 21 of the vertical blanking interval, or is 
capable of being viewed by deaf and hearing impaired individuals via any 
comparable successor technology to line 21 of the vertical blanking 
interval.

[56 FR 35913, July 29, 1991, as amended at 60 FR 31872, June 16, 1995; 
63 FR 45680, Aug. 27, 1998; 65 FR 38424, June 21, 2000]



Sec. 9003.2  Candidate certifications.

    (a) Major party candidates. To be eligible to receive payments under 
11 CFR part 9005, each Presidential and Vice Presidential candidate of a 
major party shall, under penalty of perjury, certify to the Commission:
    (1) That the candidate and his or her authorized committee(s) have 
not incurred and will not incur qualified campaign expenses in excess of 
the aggregate payments to which they will be entitled under 11 CFR part 
9004.
    (2) That no contributions have been or will be accepted by the 
candidate or his or her authorized committee(s); except as contributions 
specifically solicited for, and deposited to, the candidate's legal and 
accounting compliance fund established under 11 CFR 9003.3(a); or except 
to the extent necessary to make up any deficiency in payments received 
from the Fund due to the application of 11 CFR 9005.2(b).
    (b) Minor and new party candidates. To be eligible to receive any 
payments under 11 CFR part 9005, each Presidential and Vice Presidential 
candidate of a minor or new party shall, under penalty of perjury, 
certify to the Commission:
    (1) That the candidate and his or her authorized committee(s) have 
not incurred and will not incur qualified campaign expenses in excess of 
the aggregate payments to which the eligible candidates of a major party 
are entitled under 11 CFR 9004.1.
    (2) That no contributions to defray qualified campaign expenses have 
been or will be accepted by the candidate or his or her authorized 
committee(s) except to the extent that the qualified campaign expenses 
incurred exceed the aggregate payments received by such

[[Page 206]]

candidate from the Fund under 11 CFR 9004.2.
    (c) All candidates. To be eligible to receive any payment under 11 
CFR 9004.2, the Presidential candidate of each major, minor or new party 
shall certify to the Commission, under penalty of perjury, that such 
candidate will not knowingly make expenditures from his or her personal 
funds, or the personal funds of his or her immediate family, in 
connection with his or her campaign for the office of President in 
excess of $50,000 in the aggregate.
    (1) For purposes of this section, the term immediate family means a 
candidate's spouse, and any child, parent, grandparent, brother, half-
brother, sister, or half-sister of the candidate, and the spouses of 
such persons.
    (2) Expenditures from personal funds made under this paragraph shall 
not apply against the expenditure limitations.
    (3) For purposes of this section, the terms personal funds and 
personal funds of his or her immediate family mean:
    (i) Any assets which, under applicable state law, at the time he or 
she became a candidate, the candidate had legal right of access to or 
control over, and with respect to which the candidate had either:
    (A) Legal and rightful title, or
    (B) An equitable interest.
    (ii) Salary and other earned income from bona fide employment; 
dividends and proceeds from the sale of the candidate's stocks or other 
investments; bequests to the candidate; income from trusts established 
before candidacy; income from trusts established by bequest after 
candidacy of which the candidate is a beneficiary; gifts of a personal 
nature which had been customarily received prior to candidacy; proceeds 
from lotteries and similar legal games of chance.
    (iii) A candidate may use a portion of assets jointly owned with his 
or her spouse as personal funds. The portion of the jointly owned assets 
that shall be considered as personal funds of the candidate shall be 
that portion which is the candidate's share under the instrument(s) of 
conveyance or ownership. If no specific share is indicated by any 
instrument of conveyance or ownership, the value of one-half of the 
property used shall be considered as personal funds of the candidate.
    (4) For purposes of this section, expenditures from personal funds 
made by a candidate of a political party for the office of Vice 
President shall be considered to be expenditures made by the candidate 
of such party for the office of President.
    (5) Contributions made by members of a candidate's family from funds 
which do not meet the definition of personal funds under 11 CFR 
9003.2(c)(3) shall not count against such candidate's $50,000 
expenditure limitation under 11 CFR 9003.2(c).
    (6) Personal funds expended pursuant to this section shall be first 
deposited in an account established in accordance with 11 CFR 9003.3 (b) 
or (c).
    (7) The provisions of this section shall not operate to limit the 
candidate's liability for, nor the candidate's ability to pay, any 
repayments required under 11 CFR part 9007. If the candidate or his or 
her committee knowingly incurs expenditures in excess of the limitations 
of 11 CFR 110.8(a), the Commission may seek civil penalties under 11 CFR 
part 111 in addition to any repayment determinations made on the basis 
of such excessive expenditures.
    (8) Expenditures made using a credit card for which the candidate is 
jointly or solely liable will count against the limits of this section 
to the extent that the full amount due, including any finance charge, is 
not paid by the committee within 60 days after the closing date of the 
billing statement on which the charges first appear. For purposes of 
this section, the ``closing date'' shall be the date indicated on the 
billing statement which serves as the cutoff date for determining which 
charges are included on that billing statement.
    (d) Form. Major party candidates shall submit the certifications 
required under 11 CFR 9003.2 in a letter which shall be signed and 
submitted within 14 days after receiving the party's nomination for 
election. Minor and new party candidates shall sign and submit such 
letter within 14 days after such candidates have qualified to appear on 
the general election ballot in 10 or more States pursuant to 11 CFR 
9002.2(a)(2). The Commission, upon

[[Page 207]]

written request by a minor or new party candidate made at any time prior 
to the date of the general election, may extend the deadline for filing 
such letter, except that the deadline shall be a date prior to the day 
of the general election.



Sec. 9003.3  Allowable contributions; General election legal and accounting compliance fund.

    (a) Legal and accounting compliance fund--major party candidates--
(1) Sources. (i) A major party candidate, or an individual who is 
seeking the nomination of a major party, may accept contributions to a 
legal and accounting compliance fund if such contributions are received 
and disbursed in accordance with this section. A general election legal 
and accounting compliance fund (``GELAC'') may be established by such 
individual prior to being nominated or selected as the candidate of a 
political party for the office of President or Vice President of the 
United States. Before June 1 of the calendar year in which a 
Presidential general election is held, contributions may only be 
deposited in the GELAC if they are made for the primary and exceed the 
contributor's contribution limits for the primary and are lawfully 
redesignated by the contributor for the GELAC pursuant to 11 CFR 110.1.
    (A) All solicitations for contributions to the GELAC shall clearly 
state that Federal law prohibits private contributions from being used 
for the candidate's election and that contributions will be used solely 
for legal and accounting services to ensure compliance with Federal law, 
and shall clearly state how contribution checks should be made payable. 
Contributions shall not be solicited for the GELAC before June 1 of the 
calendar year in which a Presidential general election is held. If the 
candidate does not become the nominee, all contributions accepted for 
the GELAC, including redesignated contributions, shall be refunded 
within sixty (60) days after the candidate's date of ineligibility.
    (B) Contributions to the GELAC shall be subject to the limitations 
and prohibitions of 11 CFR parts 110, 114, and 115.
    (C) Contributions shall be deposited in the GELAC only if they are 
designated in writing for the GELAC, or transferred pursuant to 
paragraph (a)(1) (ii), (iii), (iv) or (v) of this section. Any 
contribution which otherwise could be matched pursuant to 11 CFR 9034.2 
shall not be considered designated in writing for the GELAC unless the 
contributor specifically redesignates it for the GELAC or unless it is 
accompanied by a proper designation for the GELAC. Any contribution that 
is designated in writing or redesignated for the GELAC shall not be 
matched pursuant to 11 CFR 9034.2.
    (ii)(A) Contributions made during the matching payment period that 
do not exceed the contributor's limit for the primary election may be 
redesignated for the GELAC and subsequently transferred to the GELAC 
before the nomination only if--
    (1) The contributions represent funds in excess of any amount needed 
to pay remaining primary expenses;
    (2) The contributions have not been submitted for matching;
    (3) The redesignations are received within 60 days of the 
Treasurer's receipt of the contributions; and
    (4) The requirements of 11 CFR 110.1(b) (5) and (l) regarding 
redesignation are satisfied.
    (B) All contributions redesignated and deposited pursuant to 
paragraph (a)(1)(ii)(A) of this section shall be subject to the 
contribution limitations applicable for the general election pursuant to 
11 CFR 110.1(b)(2)(i).
    (iii) Funds received during the matching payment period that are 
remaining in a candidate's primary election account after the nomination 
may be transferred to the GELAC without regard to the contribution 
limitations of 11 CFR part 110 and used for any purpose permitted under 
this section, only if the funds are in excess of any amount needed to 
pay remaining net outstanding campaign obligations under 11 CFR 
9034.1(b) and any amount required to be reimbursed to the Presidential 
Primary Matching Payment Account under 11 CFR 9038.2. The excess funds 
so transferred may include contributions made before the beginning of 
the expenditure report period, which contributions do not exceed the 
contributor's limit for the primary election. Such contributions need 
not

[[Page 208]]

be redesignated by the contributors for the GELAC.
    (iv) Contributions that are made after the beginning of the 
expenditure report period but which are not designated in writing for 
the GELAC may be redesignated for the GELAC and transferred to the GELAC 
only if--
    (A) The funds are in excess of any amount needed to pay remaining 
net outstanding campaign obligations under 11 CFR 9034.1(b) and any 
amount required to be reimbursed to the Presidential Primary Matching 
Payment Account under 11 CFR 9038.2;
    (B) The contributions have not been submitted for matching; and
    (C) The candidate obtains the contributor's redesignation in 
accordance with 11 CFR 110.1.
    (v) Contributions made with respect to the primary election that 
exceed the contributor's limit for the primary election may be 
redesignated for the GELAC and transferred to the GELAC if the candidate 
obtains the contributor's redesignation for the GELAC in accordance with 
11 CFR 110.1.
    (vi) For purposes of this section, a contribution shall be 
considered to be designated in writing for the GELAC if--
    (A) The contribution is made by check, money order, or other 
negotiable instrument which clearly indicates that it is made with 
respect to the GELAC; or
    (B) The contribution is accompanied by a writing, signed by the 
contributor, which clearly indicates that it is made with respect to the 
GELAC.
    (2) Uses. (i) Contributions to the GELAC shall be used only for the 
following purposes:
    (A) To defray the cost of legal and accounting services provided 
solely to ensure compliance with 2 U.S.C. 431 et seq. and 26 U.S.C. 9001 
et seq. in accordance with paragraph (a)(2)(ii) of this section;
    (B) To defray in accordance with paragraph (a)(2)(ii)(A) of this 
section, that portion of expenditures for payroll, overhead, and 
computer services related to ensuring compliance with 2 U.S.C. 431 et 
seq. and 26 U.S.C. 9001 et seq.;
    (C) To defray any civil or criminal penalties imposed pursuant to 2 
U.S.C. 437g or 26 U.S.C. 9012;
    (D) To make repayments under 11 CFR 9007.2;
    (E) To defray the cost of soliciting contributions to the GELAC;
    (F) To defray the cost of producing, delivering and explaining the 
computerized information and materials provided pursuant to 11 CFR 
9003.6 and explaining the operation of the computer system's software;
    (G) To make a loan to an account established pursuant to 11 CFR 
9003.4 to defray qualified campaign expenses incurred prior to the 
expenditure report period or prior to receipt of Federal funds, provided 
that the amounts so loaned are restored to the GELAC; and
    (H) To defray unreimbursed costs incurred in providing 
transportation and services for the Secret Service and national security 
staff pursuant to 11 CFR 9004.6.
    (ii)(A) Expenditures for payroll (including payroll taxes), overhead 
and computer services, a portion of which are related to ensuring 
compliance with Title 2 of the United States Code and Chapter 95 of 
Title 26 of the United States Code, shall be initially paid from the 
candidate's Federal fund account under 11 CFR 9005.2 and may be later 
reimbursed by the compliance fund. For purposes of paragraph 
(a)(2)(i)(B) of this section, a candidate may use contributions to the 
GELAC to reimburse his or her Federal fund account an amount equal to 
10% of the payroll and overhead expenditures of his or her national 
campaign headquarters and state offices.
    (B) Overhead expenditures include, but are not limited to rent, 
utilities, office equipment, furniture, supplies and all telephone 
charges except for telephone charges related to a special use such as 
voter registration and get out the vote efforts.
    (C) If the candidate wishes to claim a larger compliance exemption 
for payroll or overhead expenditures, the candidate shall establish 
allocation percentages for each individual who spends all or a portion 
of his or her time to perform duties which are considered necessary to 
ensure compliance with title 2 of the United States Code or chapter 95 
of title 26 of the United States Code. The candidate shall keep

[[Page 209]]

detailed records to support the derivation of each percentage. Such 
records shall indicate which duties are considered compliance and the 
percentage of time each person spends on such activity.
    (D) In addition, a candidate may use contributions to the GELAC to 
reimburse his or her Federal fund account an amount equal to 50% of the 
costs (other than payroll) associated with computer services. Such costs 
include but are not limited to rental and maintenance of computer 
equipment, data entry services not performed by committee personnel, and 
related supplies.
    (E) If the candidate wishes to claim a larger compliance exemption 
for costs associated with computer services, the candidate shall 
establish allocation percentages for each computer function that is 
considered necessary, in whole or in part, to ensure compliance with 2 
U.S.C. 431 et seq., and 26 U.S.C. 9001 et seq. The allocation shall be 
based on a reasonable estimate of the costs associated with each 
computer function, such as the costs for data entry services performed 
by persons other than committee personnel and processing time. The 
candidate shall keep detailed records to support such calculations. The 
records shall indicate which computer functions are considered 
compliance-related and shall reflect which costs are associated with 
each computer function.
    (F) The Commission's Financial Control and Compliance Manual for 
General Election Candidates Receiving Public Funding contains some 
accepted alternative allocation methods for determining the amount of 
salaries and overhead expenditures that may be considered exempt 
compliance costs.
    (G) Reimbursement from the GELAC may be made to the separate account 
maintained for federal funds under 11 CFR 9005.2 for legal and 
accounting compliance services disbursements that are initially paid 
from the separate federal funds account. Such reimbursement must be made 
prior to any repayment determination by the Commission pursuant to 11 
CFR 9007.2. Any amounts so reimbursed to the Federal funds account may 
not subsequently be transferred back to the GELAC.
    (iii) Amounts paid from the GELAC for the purposes permitted by 
paragraphs (a)(2)(i) (A) through (F) and (H) of this section shall not 
be subject to the expenditure limits of 2 U.S.C. 441a(b) and 11 CFR 
110.8. (See also 11 CFR 100.8(b)(15).) When the proceeds of loans made 
in accordance with paragraph (a)(2)(i)(G) of this section are expended 
on qualified campaign expenses, such expenditures shall count against 
the candidate's expenditure limit.
    (iv) Contributions to or funds deposited in the GELAC may not be 
used to retire debts remaining from the presidential primaries, except 
that, if after payment of all expenses set out in paragraph (a)(2)(i) of 
this section, there are excess campaign funds, such funds may be used 
for any purpose permitted under 2 U.S.C. 439a and 11 CFR part 113, 
including payment of primary election debts.
    (3) Deposit and disclosure. (i) Amounts received pursuant to 
paragraph (a)(1) of this section shall be deposited and maintained in a 
GELAC account separate from the account described in 11 CFR 9005.2 and 
shall not be commingled with any money paid to the candidate by the 
Secretary pursuant to 11 CFR 9005.2.
    (ii) The receipts to and disbursements from the GELAC account shall 
be reported in a separate report in accordance with 11 CFR 9006.1(b)(2). 
All contributions made to the GELAC account shall be recorded in 
accordance with 11 CFR 102.9. Disbursements made from the GELAC account 
shall be documented in the same manner provided in 11 CFR 9003.5.
    (b) Contributions to defray qualified campaign expenses--major party 
candidates. (1) A major party candidate or his or her authorized 
committee(s) may solicit contributions to defray qualified campaign 
expenses to the extent necessary to make up any deficiency in payments 
received from the Fund due to the application of 11 CFR 9005.2(b).
    (2) Such contributions may be deposited in a separate account or may 
be deposited with federal funds received under 11 CFR 9005.2. 
Disbursements from this account shall be made only to defray qualified 
campaign expenses

[[Page 210]]

and to defray the cost of soliciting contributions to such account. All 
disbursements from this account shall be documented in accordance with 
11 CFR 9003.5 and shall be reported in accordance with 11 CFR 9006.1.
    (3) A candidate may make transfers to this account from his or her 
GELAC, or from the candidate's primary election account in accordance 
with paragraph (a)(1)(iii) of this section.
    (4) The contributions received under this section shall be subject 
to the limitations and prohibitions of 11 CFR parts 110, 114 and 115 and 
shall be aggregated with all contributions made by the same persons to 
the candidate's GELAC under paragraph (a) of this section for the 
purposes of such limitations.
    (5) Any costs incurred for soliciting contributions to this account 
shall not be considered expenditures to the extent that the aggregate of 
such costs does not exceed 20 percent of the expenditure limitation 
under 11 CFR 9003.2(a)(1). These costs shall, however, be reported as 
disbursements in accordance with 11 CFR part 104 and 11 CFR 9006.1. For 
purposes of this section, a candidate may exclude from the expenditure 
limitation an amount equal to 10% of the payroll (including payroll 
taxes) and overhead expenditures of his or her national campaign 
headquarters and state offices as exempt fundraising costs. The 
candidate may claim a larger fundraising exemption by establishing 
allocation percentages for employees using the method described in 
paragraph (a)(2)(ii)(C) of this section.
    (6) Any costs incurred for legal and accounting services which are 
provided solely to ensure compliance with 2 U.S.C. 431 et seq. and 26 
U.S.C. 9001 et seq. shall not count against the candidate's expenditure 
limitation. A candidate may exclude from the expenditure limitation the 
amounts described in paragraphs (a)(2)(ii) (A) and (D) of this section 
for payroll, overhead or computer costs or a larger amount under 
paragraphs (a)(2)(ii) (C) and (E) of this section.
    (7) The Commission's Financial Control and Compliance Manual for 
General Election Candidates Receiving Public Funding contains some 
accepted alternative allocation methods for determining the amount of 
salaries and overhead expenditures that may be considered exempt 
compliance costs or exempt fundraising costs.
    (c) Contributions to defray qualified campaign expenses--minor and 
new party candidates. (1) A minor or new party candidate may solicit 
contributions to defray qualified campaign expenses which exceed the 
amount received by such candidate from the Fund, subject to the limits 
of 11 CFR 9003.2(b).
    (2) The contributions received under this section shall be subject 
to the limitations and prohibitions of 11 CFR parts 110, 114 and 115.
    (3) Such contributions may be deposited in a separate account or may 
be deposited with federal funds received under 11 CFR 9005.2. 
Disbursements from this account shall be made only for the following 
purposes:
    (i) To defray qualified campaign expenses;
    (ii) To make repayments under 11 CFR 9007.2;
    (iii) To defray the cost of soliciting contributions to such 
account;
    (iv) To defray the cost of legal and accounting services provided 
solely to ensure compliance with 2 U.S.C. 431 et seq. and 26 U.S.C. 9001 
et seq.;
    (v) To defray the cost of producing, delivering and explaining the 
computerized information and materials provided pursuant to 11 CFR 
9003.6 and explaining the operation of the computer system's software.
    (4) All disbursements from this account shall be documented in 
accordance with 11 CFR 9003.5 and shall be reported in accordance with 
11 CFR part 104 and Sec. 9006.1. The candidate shall keep and maintain a 
separate record of disbursements made to defray exempt legal and 
accounting costs under paragraphs (c) (6) and (7) of this section and 
shall report such disbursements in accordance with 11 CFR part 104 and 
11 CFR 9006.1.
    (5) Any costs incurred for soliciting contributions to this account 
shall not be considered expenditures to the extent that the aggregate of 
such costs does not exceed 20 percent of the expenditure limitation 
under 11 CFR 9003.2(a)(1). These costs shall, however, be reported as 
disbursements in accordance with 11 CFR part 104 and 9006.1.

[[Page 211]]

For purposes of this section, a candidate may exclude from the 
expenditure limitation the amount of payroll costs described in 
paragraph (b)(5) of this section.
    (6) Any costs incurred for legal and accounting services which are 
provided solely to ensure compliance with 2 U.S.C. 431 et seq. and 26 
U.S.C. 9001 et seq. shall not count against the candidate's expenditure 
limitation. A candidate may exclude from the expenditure limitation the 
amounts described in paragraphs (a)(2)(ii) (A) and (D) of this section 
for payroll, overhead or computer costs or a larger amount under 
paragraphs (a)(2)(ii) (C) and (E) of this section.
    (7) The Commission's Financial Control and Compliance Manual for 
General Election Candidates Receiving Public Funding contains some 
accepted alternative allocation methods for determining the amount of 
salaries and overhead expenditures that may be considered exempt 
compliance costs or exempt fundraising costs.

[60 FR 31872, June 16, 1995, as amended at 60 FR 57537, Nov. 16, 1995; 
64 FR 49362, Sept. 13, 1999]



Sec. 9003.4  Expenses incurred prior to the beginning of the expenditure report period or prior to receipt of Federal funds.

    (a) Permissible expenditures. (1) A candidate may incur expenditures 
before the beginning of the expenditure report period, as defined at 11 
CFR 9002.12, if such expenditures are for property, services or 
facilities which are to be used in connection with his or her general 
election campaign and which are for use during the expenditure report 
period. Such expenditures will be considered qualified campaign 
expenses. Examples of such expenditures include but are not limited to: 
Expenditures for establishing financial accounting systems and 
expenditures for organizational planning. Expenditures for polling that 
are incurred before the start of the expenditure report period are 
attributed as provided in 11 CFR 9034.4(e)(2).
    (2) A candidate may incur qualified campaign expenses prior to 
receiving payments under 11 CFR part 9005.
    (b) Sources. (1) A candidate may obtain a loan which meets the 
requirements of 11 CFR 100.7(b)(11) for loans in the ordinary course of 
business to defray permissible expenditures described in 11 CFR 
9003.4(a). A candidate receiving payments equal to the expenditure 
limitation in 11 CFR 110.8 shall make full repayment of principal and 
interest on such loans from payments received by the candidate under 11 
CFR part 9005 within 15 days of receiving such payments.
    (2) A major party candidate may borrow from his or her legal and 
accounting compliance fund for the purposes of defraying permissible 
expenditures described in 11 CFR 9003.4(a). All amounts borrowed from 
the legal and accounting compliance fund must be restored to such fund 
after the beginning of the expenditure report period either from federal 
funds received under 11 CFR part 9005 or private contributions received 
under 11 CFR 9003.3(b). For candidates receiving federal funds, 
restoration shall be made within 15 days after receipt of such funds.
    (3) A minor or new party candidate may defray such expenditures from 
contributions received in accordance with 11 CFR 9003.3(c).
    (4)(i) A candidate who has received federal funding under 11 CFR 
part 9031 et seq., may borrow from his or her primary election 
committee(s) an amount not to exceed the residual balance projected to 
remain in the candidate's primary account(s) on the basis of the formula 
set forth at 11 CFR 9038.3(c). A major party candidate receiving 
payments equal to the expenditure limitation shall reimburse amounts 
borrowed from his or her primary committee(s) from payments received by 
the candidate under 11 CFR part 9005 within 15 days of such receipt.
    (ii) A candidate who has not received federal funding during the 
primary campaign may borrow at any time from his or her primary 
account(s) to defray such expenditures, provided that a major party 
candidate receiving payments equal to the expenditure limitation shall 
reimburse all amounts borrowed from his or her primary committee(s) from 
payments received by the candidate under 11 CFR part 9005 within 15 days 
of such receipt.

[[Page 212]]

    (5) A candidate may use personal funds in accordance with 11 CFR 
9003.2(c), up to his or her $50,000 limit, to defray such expenditures.
    (c) Deposit and disclosure. Amounts received or borrowed by a 
candidate under 11 CFR 9003.4(b) to defray expenditures permitted under 
11 CFR 9003.4(a) shall be deposited in a separate account to be used 
only for such expenditures. All receipts and disbursements from such 
account shall be reported pursuant to 11 CFR 9006.1(a) and documented in 
accordance with 11 CFR 9003.5

[56 FR 35913, July 29, 1991, as amended at 60 FR 31874, June 16, 1995]



Sec. 9003.5  Documentation of disbursements.

    (a) Burden of proof. Each candidate shall have the burden of proving 
that disbursements made by the candidate or his or her authorized 
committee(s) or persons authorized to make expenditures on behalf of the 
candidate or authorized committee(s) are qualified campaign expenses as 
defined in 11 CFR 9002.11. The candidate and his or her authorized 
committee(s) shall obtain and furnish to the Commission on request any 
evidence regarding qualified campaign expenses made by the candidate, 
his or her authorized committees and agents or persons authorized to 
make expenditures on behalf of the candidate or committee(s) as provided 
in paragraph (b) of this section.
    (b) Documentation required. (1) For disbursements in excess of $200 
to a payee, the candidate shall present a canceled check negotiated by 
the payee and either:
    (i) A receipted bill from the payee that states that purpose of the 
disbursement; or
    (ii) If such a receipt is not available,
    (A) One of the following documents generated by the payee: a bill, 
invoice, or voucher that states the purpose of the disbursement; or
    (B) Where the documents specified in paragraph (b)(1)(ii)(A) of this 
section are not available, a voucher or contemporaneous memorandum from 
the candidate or the committee that states the purpose of the 
disbursement; or
    (iii) Where the supporting documentation required in paragraphs 
(b)(1) (i) or (ii) of this section is not available, the candidate or 
committee may present collateral evidence to document the qualified 
campaign expense. Such collateral evidence may include, but is not 
limited to:
    (A) Evidence demonstrating that the expenditure is part of an 
identifiable program or project which is otherwise sufficiently 
documented such as a disbursement which is one of a number of documented 
disbursements relating to a campaign mailing or to the operation of a 
campaign office; or
    (B) Evidence that the disbursement is covered by a pre-established 
written campaign committee policy, such as a dairy travel expense 
policy.
    (iv) If the purpose of the disbursement is not stated in the 
accompanying documentation, it must be indicated on the canceled check 
negotiated by the payee.
    (2) For all other disbursements, the candidate shall present:
    (i) A record disclosing the full name and mailing address of the 
payee, the amount, date and purpose of the disbursement, if made from a 
petty cash fund; or
    (ii) A canceled check negotiated by the payee that states the full 
name and mailing address of the payee, and the amount, date and purpose 
of the disbursement.
    (3) For purposes of this section:
    (i) Payee means the person who provides the goods or services to the 
candidate or committee in return for the disbursement; except that an 
individual will be considered a payee under this section if he or she 
receives $1000 or less advanced for travel and/or subsistence and if the 
individual is the recipient of the goods or services purchased.
    (ii) Purpose means the full name and mailing address of the payee, 
the date and amount of the disbursement, and a brief description of the 
goods or services purchased. Examples of acceptable and unacceptable 
descriptions of goods and services purchased are listed at 11 CFR 
104.3(b)(3)(i)(B).
    (c) Retention of records. The candidate shall retain records with 
respect to each disbursement and receipt, including bank records, 
vouchers, worksheets, receipts, bills and accounts,

[[Page 213]]

journals, ledgers, fundraising solicitation material, accounting systems 
documentation, and any related materials documenting campaign receipts 
and disbursements, for a period of three years pursuant to 11 CFR 
102.9(c), and shall present these records to the Commission on request.
    (d) List of capital and other assets. (1) Capital assets The 
candidate or committee shall maintain a list of all capital assets whose 
purchase price exceeded $2000 when acquired by the campaign. The list 
shall include a brief description of each capital asset, the purchase 
price, the date it was acquired, the method of disposition and the 
amount received in disposition. For purposes of this section, ``capital 
asset'' shall be defined in accordance with 11 CFR 9004.9(d)(1).
    (2) Other assets. The candidate or committee shall maintain a list 
of other assets acquired for use in fundraising or as collateral for 
campaign loans, if the aggregate value of such assets exceeds $5000. The 
list shall include a brief description of each such asset, the fair 
market value of each asset, the method of disposition and the amount 
received in disposition. The fair market value of other assets shall be 
determined in accordance with 11 CFR 9004.9(d)(2).

[60 FR 31874, June 16, 1995, as amended at 64 FR 49362, Sept. 13, 1999]



Sec. 9003.6  Production of computer information.

    (a) Categories of computerized information to be provided. If the 
candidate or the candidate's authorized committee maintains or uses 
computerized information containing any of the categories of data listed 
in paragraphs (a)(1) through (a)(9) of this section, the committee shall 
provide computerized magnetic media, such as magnetic tapes or magnetic 
diskettes, containing the computerized information at the times 
specified in 11 CFR 9007.1(b)(1):
    (1) Information required by law to be maintained regarding the 
committee's receipts or disbursements;
    (2) Receipts by and disbursements from a legal and accounting 
compliance fund under 11 CFR 9003.3(a), including the allocation of 
payroll and overhead expenditures;
    (3) Receipts and disbursements under 11 CFR 9003.3 (b) or (c) to 
defray the costs of soliciting contributions or to defray the costs of 
legal and accounting services, including the allocation of payroll and 
overhead expenditures;
    (4) Records relating to the costs of producing broadcast 
communications and purchasing airtime;
    (5) Records used to prepare statements of net outstanding qualified 
campaign expenses;
    (6) Records used to reconcile bank statements;
    (7) Disbursements made and reimbursements received for the cost of 
transportation, ground services and facilities made available to media 
personnel, including records relating to how costs charged to media 
personnel were determined;
    (8) Records relating to the acquisition, use and disposition of 
capital assets or other assets; and
    (9) Any other information that may be used during the Commission's 
audit to review the committee's receipts, disbursements, loans, debts, 
obligations, bank reconciliations or statements of net outstanding 
qualified campaign expenses.
    (b) Organization of computerized information and technical 
specifications. The computerized magnetic media shall be prepared and 
delivered at the committee's expense and shall conform to the technical 
specifications, including file requirements, described in the Federal 
Election Commission's Computerized Magnetic Media Requirements for title 
26 Candidates/Committees Receiving Federal Funding. The data contained 
in the computerized magnetic media provided to the Commission shall be 
organized in the order specified by the Computerized Magnetic Media 
Requirements.
    (c) Additional materials and assistance. Upon request, the committee 
shall produce documentation explaining the computer system's software 
capabilities, such as user guides, technical manuals, formats, layouts 
and other materials for processing and analyzing the information 
requested. Upon request, the committee shall also make

[[Page 214]]

available such personnel as are necessary to explain the operation of 
the computer system's software and the computerized information prepared 
or maintained by the committee.



PART 9004--ENTITLEMENT OF ELIGIBLE CANDIDATES TO PAYMENTS; USE OF PAYMENTS--Table of Contents




Sec.
9004.1  Major parties.
9004.2  Pre-election payments for minor and new party candidates.
9004.3  Post-election payments.
9004.4  Use of payments.
9004.5  Investment of public funds; other uses resulting in income.
9004.6  Expenditures for transportation and services made available to 
          media personnel; reimbursements.
9004.7  Allocation of travel expenditures.
9004.8  Withdrawal by candidate.
9004.9  Net outstanding qualified campaign expenses.
9004.10  Sale of assets acquired for fundraising purposes.

    Authority: 26 U.S.C. 9004 and 9009(b).

    Source: 56 FR 35919, July 29, 1991, unless otherwise noted.



Sec. 9004.1  Major parties.

    The eligible candidates of each major party in a Presidential 
election shall be entitled to equal payments under 11 CFR part 9005 in 
an amount which, in the aggregate, shall not exceed $20,000,000 as 
adjusted by the Consumer Price Index in the manner described in 11 CFR 
110.9(c).



Sec. 9004.2  Pre-election payments for minor and new party candidates.

    (a) Candidate of a minor party in the preceding election. An 
eligible candidate of a minor party is entitled to pre-election 
payments:
    (1) If he or she received at least 5% of the total popular vote as 
the candidate of a minor party in the preceding election whether or not 
he or she is the same minor party's candidate in this election.
    (2) In an amount which is equal, in the aggregate, to a 
proportionate share of the amount to which major party candidates are 
entitled under 11 CFR 9004.1.

The aggregate amount received by a minor party candidate shall bear the 
same ratio to the amount received by the major party candidates as the 
number of popular votes received by the minor party Presidential 
candidate in the preceding Presidential election bears to the average 
number of popular votes received by all major party candidates in that 
election.
    (b) Candidate of a minor party in the current election. The eligible 
candidate of a minor party whose candidate for the office of President 
in the preceding election received at least 5% but less than 25% of the 
total popular vote is eligible to receive pre-election payments. The 
amount which a minor party candidate is entitled to receive under this 
section shall be computed pursuant to 11 CFR 9004.2(a) based on the 
number of popular votes received by the minor party's candidate in the 
preceding Presidential election; however, the amount to which the minor 
party candidate is entitled under this section shall be reduced by the 
amount to which the minor party's Presidential candidate in this 
election is entitled under 11 CFR 9004.2(a), if any.
    (c) New party candidate. A candidate of a new party who was a 
candidate for the office of President in at least 10 States in the 
preceding election may be eligible to receive pre-election payments if 
he or she received at least 5% but less than 25% of the total popular 
vote in the preceding election. The amount which a new party candidate 
is entitled to receive under this section shall be computed pursuant to 
11 CFR 9004.2(a) based on the number of popular votes received by the 
new party candidate in the preceding election. If a new party candidate 
is entitled to payments under this section, the amount of the 
entitlement shall be reduced by the amount to which the candidate is 
entitled under 11 CFR 9004.2(a), if any.



Sec. 9004.3  Post-election payments.

    (a) Minor and new party candidates. Eligible candidates of a minor 
party or of a new party who, as candidates, receive 5 percent or more of 
the total number of popular votes cast for the office of President in 
the election shall be entitled to payments under 11 CFR part 9005 equal, 
in the aggregate, to a

[[Page 215]]

proportionate share of the amount allowed for major party candidates 
under 11 CFR 9004.1. The amount to which a minor or new party candidate 
is entitled shall bear the same ratio to the amount received by the 
major party candidates as the number of popular votes received by the 
minor or new party candidate in the Presidential election bears to the 
average number of popular votes received by the major party candidates 
for President in that election.
    (b) Amount of entitlement. The aggregate payments to which an 
eligible candidate shall be entitled shall not exceed an amount equal to 
the lower of:
    (1) The amount of qualified campaign expenses incurred by such 
eligible candidate and his or her authorized committee(s), reduced by 
the amount of contributions which are received to defray qualified 
campaign expenses by such eligible candidate and such committee(s); or
    (2) The aggregate payments to which the eligible candidates of a 
major party are entitled under 11 CFR 9004.1, reduced by the amount of 
contributions received by such eligible candidates and their authorized 
committees to defray qualified campaign expenses in the case of a 
deficiency in the Fund.
    (c) Amount of entitlement limited by pre-election payment. If an 
eligible candidate is entitled to payment under 11 CFR 9004.2, the 
amount allowable to that candidate under this section shall also be 
limited to the amount, if any, by which the entitlement under 11 CFR 
9004.3(a) exceeds the amount of the entitlement under 11 CFR 9004.2.



Sec. 9004.4  Use of payments.

    (a) Qualified campaign expenses. An eligible candidate shall use 
payments received under 11 CFR part 9005 only for the following 
purposes:
    (1) To defray qualified campaign expenses;
    (2) To repay loans that meet the requirements of 11 CFR 100.7 (a)(1) 
or (b)(11) or to otherwise restore funds (other than contributions 
received pursuant to 11 CFR 9003.3 (b) or (c) and expended to defray 
qualified campaign expenses) used to defray qualified campaign expenses;
    (3) To restore funds expended in accordance with 11 CFR 9003.4 for 
qualified campaign expenses incurred by the candidate prior to the 
beginning of the expenditure report period.
    (4) Winding down costs. The following costs shall be considered 
qualified campaign expenses:
    (i) Costs associated with the termination of the candidate's general 
election campaign such as complying with the post-election requirements 
of the Act and other necessary administrative costs associated with 
winding down the campaign, including office space rental, staff 
salaries, and office supplies; and
    (ii) Costs associated with the candidate's general election campaign 
and incurred by the candidate prior to the end of the expenditure report 
period for which written arrangement or commitment was made on or before 
the close of the expenditure report period.
    (5) Gifts and monetary bonuses. Gifts and monetary bonuses shall be 
considered qualified campaign expenses, provided that:
    (i) Gifts for committee employees, consultants and volunteers in 
recognition for campaign-related activities or services do not exceed 
$150 total per individual and the total of all gifts does not exceed 
$20,000; and
    (ii) All monetary bonuses for committee employees and consultants in 
recognition for campaign-related activities or services;
    (A) Are provided for pursuant to a written contract made prior to 
the date of the election; and
    (B) Are paid during the expenditure report period.
    (b) Non-qualified campaign expenses--(1) General. The following are 
examples of disbursements that are not qualified campaign expenses.
    (2) Excessive expenditures. An expenditure which is in excess of any 
of the limitations under 11 CFR 9003.2 shall not be considered a 
qualified campaign expense. The Commission will calculate the amount of 
expenditures attributable to these limitations using the full amounts 
originally charged for goods and services rendered to the committee and 
not the amounts for which such obligations were later settled and paid, 
unless the committee

[[Page 216]]

can demonstrate that the lower amount paid reflects a reasonable 
settlement of a bona fide dispute with the creditor.
    (3) Expenditures incurred after the close of the expenditure report 
period. Any expenditures incurred after the close of the expenditure 
report period, as defined in 11 CFR 9002.12, are not qualified campaign 
expenses except to the extent permitted under 11 CFR 9004.4(a)(4).
    (4) Civil or criminal penalties. Civil or criminal penalties paid 
pursuant to the Federal Election Campaign Act are not qualified campaign 
expenses and cannot be defrayed from payments received under 11 CFR part 
9005. Penalties may be paid from contributions in the candidate's legal 
and accounting compliance fund, in accordance with 11 CFR 
9003.3(a)(2)(i)(C). Additional amounts may be received and expended to 
pay such penalties, if necessary. These funds shall not be considered 
contributions or expenditures but all amounts so received shall be 
subject to the prohibitions of the Act. Amounts received and expended 
under this section shall be reported in accordance with 11 CFR part 104.
    (5) Solicitation expenses. Any expenses incurred by a major party 
candidate to solicit contributions to a legal and accounting compliance 
fund established pursuant to 11 CFR 9003.3(a) are not qualified campaign 
expenses and cannot be defrayed from payments received under 11 CFR part 
9005.
    (6) Payments to candidate. Payments made to the candidate by his or 
her committee, other than to reimburse funds advanced by the candidate 
for qualified campaign expenses, are not qualified campaign expenses.
    (7) Payments to other authorized committees. Payments, including 
transfers, contributions and loans, to other committees authorized by 
the same candidate for a different election are not qualified campaign 
expenses.
    (8) Lost, misplaced, or stolen items. The cost of lost, misplaced, 
or stolen items may be considered a nonqualified campaign expense. 
Factors considered by the Commission in making this determination shall 
include, but not be limited to, whether the committee demonstrates that 
it made conscientious efforts to safeguard the missing equipment; 
whether the committee sought or obtained insurance on the items; whether 
the committee filed a police report; the type of equipment involved; and 
the number and value of items that were lost.

[56 FR 35919, July 29, 1991, as amended at 60 FR 31875, June 16, 1995; 
64 FR 49362, Sept. 13, 1999]



Sec. 9004.5  Investment of public funds; other uses resulting in income.

    Investment of public funds or any other use of public funds that 
results in income is permissible, provided that an amount equal to all 
net income derived from such a use, less Federal, State and local taxes 
paid on such income, shall be paid to the Secretary. Any net loss from 
an investment or other use of public funds will be considered a non-
qualified campaign expense and an amount equal to the amount of such 
loss shall be repaid to the United States Treasury as provided under 11 
CFR 9007.2(b)(2)(i).

[60 FR 31876, June 16, 1995]



Sec. 9004.6  Expenditures for transportation and services made available to media personnel; reimbursements.

    (a) General. (1) Expenditures by an authorized committee for 
transportation, ground services or facilities (including air travel, 
ground transportation, housing, meals, telephone service, typewriters, 
and computers) provided to media personnel, Secret Service personnel or 
national security staff will be considered qualified campaign expenses, 
and, except for costs relating to Secret Service personnel or national 
security staff, will be subject to the overall expenditure limitations 
of 11 CFR 9003.2(a)(1) and (b)(1).
    (2) Subject to the limitations in paragraphs (b) and (c) of this 
section, committees may seek reimbursement from the media for the 
expenses described in paragraph (a)(3) of this section, and may deduct 
reimbursements received from media representatives from the amount of 
expenditures subject to the overall expenditure limitation of 11 CFR 
Sec. 9003.2(a)(1) and (b)(1). Expenses for which the committee receives 
no reimbursement will be considered

[[Page 217]]

qualified campaign expenses, and, with the exception of those expenses 
relating to Secret Service personnel and national security staff, will 
be subject to the overall expenditure limitation.
    (3) Committees may seek reimbursement from the media only for the 
billable items specified in the White House Press Corps Travel Policies 
and Procedures issued by the White House Travel Office.
    (b) Reimbursement limits; billing. (1) The amount of reimbursement 
sought from a media representative under paragraph (a)(2) of this 
section shall not exceed 110% of the media representative's pro rata 
share (or a reasonable estimate of the media representative's pro rata 
share) of the actual cost of the transportation and services made 
available. Any reimbursement received in excess of this amount shall be 
disposed of in accordance with paragraph (d)(1) of this section.
    (2) For the purposes of this section, a media representative's pro 
rata share shall be calculated by dividing the total actual cost of the 
transportation and services provided by the total number of individuals 
to whom such transportation and services are made available. For 
purposes of this calculation, the total number of individuals shall 
include committee staff, media personnel, Secret Service personnel, 
national security staff and any other individuals to whom such 
transportation and services are made available, except that, when 
seeking reimbursement for transportation costs paid by the committee 
under 11 CFR Sec. 9004.7(b)(5)(i)(C), the total number of individuals 
shall not include national security staff.
    (3) No later than sixty (60) days of the campaign trip or event, the 
committee shall provide each media representative attending the event 
with an itemized bill that specifies the amounts charged for air and 
ground transportation for each segment of the trip, housing, meals, 
telephone service, and other billable items specified in the White House 
Press Corps Travel Policies and Procedures issued by the White House 
Travel Office. Payments shall be due sixty (60) days from the date of 
the bill, unless the media representative disputes the charges.
    (c) Deducation of reimbursements from expenditures subject to the 
overall expenditure limitation. (1) The committee may deduct from the 
amount of expenditures subject to the overall expenditure limitation:
    (i) The amount of reimbursements received from media representatives 
in payment for the transportation and services described in paragraph 
(a) of this section, up to the actual cost of the transportation and 
services provided to media representatives; and
    (ii) An additional amount of the reimbursements received from media 
representatives, representing the administrative costs incurred by the 
committee in providing these services to the media representative and 
seeking reimbursement for them, equal to:
    (A) Three percent of the actual cost of transportation and services 
provided to the media representatives under this section; or
    (B) An amount in excess of 3% representing the administrative costs 
actually incurred by the committee in providing services to the media 
representatives, provided that the committee is able to document the 
total amount of administrative costs actually incurred.
    (2) For the purpose of this paragraph, ``administrative costs'' 
includes all costs incurred by the committee in making travel 
arrangements and seeking reimbursement, whether these services are 
performed by committee staff or by independent contractors.
    (d) Disposal of excess reimbursements. If the committee receives 
reimbursements in excess of the amount deductible under paragraph (c) of 
this section, it shall dispose of the excess amount in the following 
manner:
    (1) Any reimbursement received in excess of 110% of the actual pro 
rata cost of the transportation and services made available to a media 
representative shall be returned to the media representative.
    (2) Any amount in excess of the amount deductible under paragraph 
(c) of this section that is not required to be returned to the media 
representative under paragraph (d)(1) of this section shall be paid to 
the Treasury.
    (e) Reporting. The total amount paid by an authorized committee for 
the

[[Page 218]]

services and facilities described in paragraph (a)(1) of this section, 
plus the administrative costs incurred by the committee in providing 
these services and facilities and seeking reimbursement for them, shall 
be reported as an expenditure in accordance with 11 CFR 104.3(b)(2)(i). 
Any reimbursement received by such committee under paragraph (b)(1) of 
this section shall be reported in accordance with 11 CFR 
104.3(a)(3)(ix).

[60 FR 31876, June 16, 1995, as amended at 64 FR 42583, Aug. 5, 1999]



Sec. 9004.7  Allocation of travel expenditures.

    (a) Notwithstanding the provisions of 11 CFR 106.3, expenditures for 
travel relating to a Presidential or Vice Presidential candidate's 
campaign by any individual, including a candidate, shall, pursuant to 
the provisions of paragraph (b) of this section, be qualified campaign 
expenses and be reported by the candidate's authorized committee(s) as 
expenditures.
    (b)(1) For a trip which is entirely campaign-related, the total cost 
of the trip shall be a qualified campaign expense and a reportable 
expenditure.
    (2) For a trip which includes campaign-related and non-campaign 
related stops, that portion of the cost of the trip allocable to 
campaign activity shall be a qualified campaign expense and a reportable 
expenditure. Such portion shall be determined by calculating what the 
trip would have cost from the point of origin of the trip to the first 
campaign-related stop and from the stop through each subsequent 
campaign-related stop to the point of origin. If any campaign activity, 
other than incidental contacts, is conducted at a stop, that stop shall 
be considered campaign-related. Campaign activity includes soliciting, 
making, or accepting contributions, and expressly advocating the 
election or defeat of the candidate. Other factors, including the 
setting, timing and statements or expressions of the purpose of an 
event, and the substance of the remarks or speech made, will also be 
considered in determining whether a stop is campaign-related.
    (3) For each trip, an itinerary shall be prepared and such itinerary 
shall be made available by the committee for Commission inspection. The 
itinerary shall show the time of arrival and departure and the type of 
events held.
    (4) For trips by government conveyance or by charter, a list of all 
passengers on such trip, along with a designation of which passengers 
are and which are not campaign-related, shall be made available for 
Commission inspection. When required to be created, a copy of the 
government's or charter company's official manifest shall also be 
maintained and made available by the committee.
    (5)(i) If any individual, including a candidate, uses a government 
airplane for campaign-related travel, the candidate's authorized 
committee shall pay the appropriate government entity an amount equal 
to:
    (A) The lowest unrestricted and non-discounted first class 
commercial air fare available for the time traveled, in the case of 
travel to a city served by a regularly scheduled commercial airline 
service; or
    (B) The lowest unrestricted and non-discounted coach commercial air 
fare available for the time traveled, in the case of travel to a city 
served by regularly scheduled coach airline service, but not regularly 
scheduled first class airline service; or
    (C) In the case of travel to a city not served by a regularly 
scheduled commercial airline service, the commercial charter rate for an 
airplane sufficient in size to accommodate the campaign-related 
travelers, including the candidate, plus the news media and the Secret 
Service.
    (ii) If a government airplane is flown to a campaign-related stop 
where it will pick up passengers, or from a campaign-related stop where 
it left off passengers, the candidate's authorized committee shall pay 
the appropriate government entity an amount equal to the greater of the 
amount billed or the amount required under paragraph (b)(5)(i) of this 
section for one passenger.
    (iii) If any individual, including a candidate, uses a government 
conveyance, other than an airplane, for campaign-related travel, the 
candidate's authorized committee shall pay the appropriate government 
entity an

[[Page 219]]

amount equal to the commercial rental rate for a conveyance sufficient 
in size to accommodate the campaign-related travelers, including the 
candidate, plus the news media and the Secret Service.
    (iv) If any individual, including a candidate, uses accommodations, 
including lodging and meeting rooms, during campaign-related travel, and 
the accommodations are paid for by a government entity, the candidate's 
authorized committee shall pay the appropriate government entity an 
amount equal to the usual and normal charge for the accommodations, and 
shall maintain documentation supporting the amount paid.
    (v) For travel by airplane, the committee shall maintain 
documentation of the lowest unrestricted nondiscounted air fare 
available for the time traveled, including the airline, flight number 
and travel service providing that fare or the charter rate, as 
appropriate. For travel by other conveyances, the committee shall 
maintain documentation of the commercial rental rate for a conveyance of 
sufficient size, including the provider of the conveyance and the size, 
model and make of the conveyance.
    (6) Travel expenses of a candidate's spouse and family when 
accompanying the candidate on campaign-related travel may be treated as 
qualified campaign expenses and reportable expenditures. If the spouse 
or family members conduct campaign-related activities, their travel 
expenses shall be qualified campaign expenses and reportable 
expenditures.
    (7) If any individual, including a candidate, incurs expenses for 
campaign-related travel, other than by use of government conveyance or 
accommodations, an amount equal to that portion of the actual cost of 
the conveyance or accommodations which is allocable to all passengers, 
including the candidate, who are traveling for campaign purposes shall 
be a qualified campaign expense and shall be reported by the committee 
as an expenditure.
    (i) If the trip is by charter, the actual cost for each passenger 
shall be determined by dividing the total operating cost for the charter 
by the total number of passengers transported. The amount which is a 
qualified campaign expense and a reportable expenditure shall be 
calculated in accordance with the formula set forth at 11 CFR 
9004.7(b)(2) on the basis of the actual cost per passenger multiplied by 
the number of passengers traveling for campaign purposes.
    (ii) If the trip is by non-charter commercial transportation, the 
actual cost shall be calculated in accordance with the formula set forth 
at 11 CFR 9004.7(b)(2) on the basis of the commercial fare. Such actual 
cost shall be a qualified campaign expense and a reportable expenditure.
    (8) Travel on corporate airplanes and other corporate conveyances is 
governed by 11 CFR 114.9(e).

[60 FR 31876, June 16, 1995]



Sec. 9004.8  Withdrawal by candidate.

    (a) Any individual who is not actively conducting campaigns in more 
than one State for the office of President or Vice President shall cease 
to be a candidate under 11 CFR 9002.2.
    (b) An individual who ceases to be a candidate under this section 
shall:
    (1) No longer be eligible to receive any payments under 11 CFR 
9005.2 except to defray qualified campaign expenses as provided in 11 
CFR 9004.4.
    (2) Submit a statement, within 30 calendar days after he or she 
ceases to be a candidate, setting forth the information required under 
11 CFR 9004.9(c).



Sec. 9004.9  Net outstanding qualified campaign expenses.

    (a) Candidates receiving post-election funding. A candidate who is 
eligible to receive post-election payments under 11 CFR 9004.3 shall 
file, no later than 20 calendar days after the date of the election, a 
preliminary statement of that candidate's net outstanding qualified 
campaign expenses. The candidate's net outstanding qualified campaign 
expenses under this section equal the difference between 11 CFR 
9004.9(a) (1) and (2).
    (1) The total of:
    (i) All outstanding obligations for qualified campaign expenses as 
of the date of the election; plus
    (ii) An estimate of the amount of qualified campaign expenses that 
will be incurred by the end of the expenditure report period; plus

[[Page 220]]

    (iii) An estimate of the necessary winding down costs, as defined 
under 11 CFR 9004.4(a)(4), submitted in the format required by paragraph 
(a)(4) of this section; less
    (2) The total of:
    (i) Cash on hand as of the close of business on the day of the 
election, including: All contributions dated on or before that date; 
currency; balances on deposit in banks, savings and loan institutions, 
and other depository institutions; traveler's checks; certificates of 
deposit; treasury bills; and any other committee investments valued at 
fair market value;
    (ii) The fair market value of capital assets and other assets on 
hand; and
    (iii) Amounts owed to the candidate's authorized committee(s) in the 
form of credits, refunds of deposits, returns, receivables, or rebates 
of qualified campaign expenses; or a commercially reasonable amount 
based on the collectibility of those credits, returns, receivables or 
rebates.
    (3) The amount submitted as the total of outstanding campaign 
obligations under paragraph (a)(1) of this section shall not include any 
accounts payable for non-qualified campaign expenses nor any amounts 
determined or anticipated to be required as a repayment under 11 CFR 
part 9007 or any amounts paid to secure a surety bond under 11 CFR 
9007.5(c).
    (4) The amount submitted as an estimate of necessary winding down 
costs under paragraph (a)(1)(iii) of this section shall be broken down 
by expense category and quarterly or monthly time period. This breakdown 
shall include estimated costs for office space rental, staff salaries, 
legal expenses, accounting expenses, office supplies, equipment rental, 
telephone expenses, postage and other mailing costs, printing and 
storage. The breakdown shall estimate the costs that will be incurred in 
each category from the time the statement is submitted until the 
expected termination of the committee's political activity.
    (b) All candidates. Each candidate, except for individuals who have 
withdrawn pursuant to 11 CFR 9004.8, shall submit a statement of net 
outstanding qualified campaign expenses no later than 30 calendar days 
after the end of the expenditure report period. The statement shall 
contain the information required by 11 CFR 9004.9(a) (1) and (2), except 
that the amount of outstanding obligations under 11 CFR 9004.9(a)(1)(i) 
and the amount of cash on hand, assets and receivables under 11 CFR 
9004.9(a)(2) shall be complete as of the last day of the expenditure 
report period.
    (c) Candidates who withdraw. An individual who ceases to be a 
candidate pursuant to 11 CFR 9004.8 shall file a statement of net 
outstanding qualified campaign expenses no later than 30 calendar days 
after he or she ceases to be a candidate. The statement shall contain 
the information required under 11 CFR 9004.9(a) (1) and (2), except that 
the amount of outstanding obligations under 11 CFR 9004.9(a)(1)(i) and 
the amount of cash on hand, assets and receivables under 11 CFR 
9004.9(a)(2) shall be complete as of the day on which the individual 
ceased to be a candidate.
    (d)(1) Capital assets and assets purchased from the primary election 
committee. (i) For purposes of this section, the term capital asset 
means any property used in the operation of the campaign whose purchase 
price exceeded $2000 when acquired by the committee. Property that must 
be valued as capital assets under this section includes, but is not 
limited to, office equipment, furniture, vehicles and fixtures acquired 
for use in the operation of the candidate's campaign, but does not 
include property defined as ``other assets'' under paragraph (d)(2) of 
this section. Capital assets include items such as computer systems and 
telecommunications systems, if the equipment is used together and if the 
total cost of all components that are used together exceeds $2000. A 
list of all capital assets shall be maintained by the committee in 
accordance with 11 CFR 9003.5(d)(1). The fair market value of capital 
assets shall be considered to be 60% of the total original cost of such 
items when acquired, except that items received after the end of the 
expenditure report period must be valued at their fair market value on 
the date acquired. A candidate may claim a lower fair market value for a 
capital asset by listing that capital asset on the statement separately 
and demonstrating,

[[Page 221]]

through documentation, the lower fair market value.
    (ii) If capital assets are obtained from the candidate's primary 
election committee, the purchase price shall be considered to be 60% of 
the original cost of such assets to the candidate's primary election 
committee. For purposes of the statement of net outstanding qualified 
campaign expenses filed after the end of the expenditure report period, 
the fair market value of capital assets obtained from the candidate's 
primary election committee shall be considered to be 20% of the original 
cost of such assets to the candidate's primary election committee.
    (iii) Items purchased from the primary election committee that are 
not capital assets, and also are not other assets under paragraph (d)(2) 
of this section, shall be listed on an inventory that states their 
valuation.
    (2) Other assets. The term other assets means any property acquired 
by the committee for use in raising funds or as collateral for campaign 
loans. ``Other assets'' must be included on the candidate's statement of 
net outstanding qualified campaign expenses if the aggregate value of 
such assets exceeds $5000. The value of ``other assets'' shall be 
determined by the fair market value of each item on the last day of the 
expenditure report period or the day on which the individual ceased to 
be a candidate, whichever is earlier, unless the item is acquired after 
these dates, in which case the item shall be valued on the date it is 
acquired. A list of other assets shall be maintained by the committee in 
accordance with 11 CFR 9003.5(d)(2).
    (e) Collectibility of accounts receivable. If the committee 
determines that an account receivable of $500 or more, including any 
credit, refund, return or rebate, is not collectible in whole or in 
part, the committee shall demonstrate through documentation that the 
determination was commercially reasonable. The documentation shall 
include records showing the original amount of the account receivable, 
copies of correspondence and memoranda of communications with the debtor 
showing attempts to collect the amount due, and an explanation of how 
the lesser amount or full write-off was determined.
    (f) Review of candidate statement--(1) General. The Commission will 
review the statement filed by each candidate under this section. The 
Commission may request further information with respect to statements 
filed pursuant to 11 CFR 9004.9(b) during the audit of that candidate's 
authorized committee(s) under 11 CFR part 9007.
    (2) Candidate eligible for post-election funding. (i) If, in 
reviewing the preliminary statement of a candidate eligible to receive 
post-election funding, the Commission receives information indicating 
that substantial assets of that candidate's authorized committee(s) have 
been undervalued or not included in the statement or that the amount of 
outstanding qualified campaign expenses has been otherwise overstated in 
relation to committee assets, the Commission may decide to temporarily 
postpone its certification of funds to that candidate pending a final 
determination of whether the candidate is entitled to all or a portion 
of the funds for which he or she is eligible based on the percentage of 
votes the candidate received in the general election.
    (ii) Initial determination. In making a determination under 11 CFR 
9004.9(f)(2)(i), the Commission will notify the candidate within 10 
business days after its receipt of the statement of its initial 
determination that the candidate is not entitled to receive the full 
amount for which the candidate may be eligible. The notice will give the 
legal and factual reasons for the initial determination and advise the 
candidate of the evidence on which the Commission's initial 
determination is based. The candidate will be given the opportunity to 
revise the statement or to submit, within 10 business days, written 
legal or factual materials to demonstrate that the candidate has net 
outstanding qualified campaign expenses that entitle the candidate to 
post-election funds. Such materials may be submitted by counsel if the 
candidate so desires.
    (iii) Final determination. The Commission will consider any written 
legal or factual materials submitted by the candidate before making its 
final determination. A final determination

[[Page 222]]

that the candidate is entitled to receive only a portion or no post-
election funding will be accompanied by a written statement of reasons 
for the Commission's action. This statement will explain the legal and 
factual reasons underlying the Commission's determination and will 
summarize the results of any investigation on which the determination is 
based.
    (iv) If the candidate demonstrates that the amount of outstanding 
qualified campaign expenses still exceeds committee assets, the 
Commission will certify the payment of post-election funds to which the 
candidate is entitled.
    (v) Petitions for rehearing. The candidate may file a petition for 
rehearing of a final determination under this section in accordance with 
11 CFR 9007.5(a).

[56 FR 35919, July 29, 1991, as amended at 60 FR 31877, June 16, 1995; 
64 FR 49363, Sept. 13, 1999]



Sec. 9004.10  Sale of assets acquired for fundraising purposes.

    (a) General. A minor or new party candidate may sell assets donated 
to the candidate's authorized committee(s) or otherwise acquired for 
fundraising purposes subject to the limitations and prohibitions of 11 
CFR 9003.2, title 2, United States Code, and 11 CFR parts 110 and 114. 
This section will only apply to major party candidates to the extent 
that they sell assets acquired either for fundraising purposes in 
connection with his or her legal and accounting compliance fund or when 
it is necessary to make up any deficiency in payments received from the 
Fund due to the application of 11 CFR 9005.2(b).
    (b) Sale after end of expenditure report period. A minor or new 
party candidate, or a major party candidate in the event of a deficiency 
in the payments received from the Fund due to the application of 11 CFR 
9005.2(b), whose outstanding debts exceed the cash on hand after the end 
of the expenditure report period as determined under 11 CFR 9002.12, may 
dispose of assets acquired for fundraising purposes in a sale to a 
wholesaler or other intermediary who will in turn sell such assets to 
the public provided that the sale to the wholesaler or intermediary is 
an arms-length transaction. Sales made under this subsection will not be 
subject to the limitations and prohibitions of title 2, United States 
Code and 11 CFR parts 110 and 114.



PART 9005--CERTIFICATION BY COMMlSSION--Table of Contents




Sec.
9005.1  Certification of payments for candidates.
9005.2  Payments to eligible candidates from the Fund.

    Authority: 26 U.S.C. 9005, 9006 and 9009(b).

    Source: 56 FR 35923, July 29, 1991, unless otherwise noted.



Sec. 9005.1  Certification of payments for candidates.

    (a) Certification of payments for major party candidates. Not later 
than 10 days after the Commission determines that the Presidential and 
Vice Presidential candidates of a major party have met all applicable 
conditions for eligibility to receive payments under 11 CFR 9003.1 and 
9003.2, the Commission shall certify to the Secretary that payment in 
full of the amounts to which such candidates are entitled under 11 CFR 
part 9004 should be made pursuant to 11 CFR 9005.2.
    (b) Certification of pre-election payments for minor and new party 
candidates. (1) Not later than 10 days after a minor or new party 
candidate has met all applicable conditions for eligibility to receive 
payments under 11 CFR 9003.1, 9003.2 and 9004.2, the Commission will 
make an initial determination of the amount, if any, to which the 
candidate is entitled. The Commission will base its determination on the 
percentage of votes received in the official vote count certified in 
each State. In notifying the candidate, the Commission will give the 
legal and factual reasons for its determination and advise the candidate 
of the evidence on which the determination is based.
    (2) The candidate may submit, within 15 days after the Commission's 
initial determination, written legal or factual

[[Page 223]]

materials to demonstrate that a redetermination is appropriate. Such 
materials may be submitted by counsel if the candidate so desires.
    (3) The Commission will consider any written legal or factual 
materials timely submitted by the candidate in making its final 
determination. A final determination of certification by the Commission 
will be accompanied by a written statement of reasons for the 
Commission's action. This statement will explain the reasons underlying 
the Commission's determination and will summarize the results of any 
investigation on which the determination is based.
    (c) Certification of minor and new party candidates for post-
election payments. (1) Not later than 30 days after the general 
election, the Commission will determine whether a minor or new party 
candidate is eligible for post-election payments.
    (2) The Commission's determination of eligibility will be based on 
the following factors:
    (i) The candidate has received at least 5% or more of the total 
popular vote based on unofficial vote results in each State;
    (ii) The candidate has filed a preliminary statement of his or her 
net outstanding qualified campaign expenses pursuant to 11 CFR 
9004.9(a); and
    (iii) The candidate has met all applicable conditions for 
eligibility under 11 CFR 9003.1 and 9003.2.
    (3) The Commission will notify the candidate of its initial 
determination of the amount, if any, to which the candidate is entitled, 
give the legal and factual reasons for its determination and advise the 
candidate of the evidence on which the determination is based. The 
Commission will also notify the candidate that it will deduct a 
percentage of the amount to which the candidate is entitled based on the 
unofficial vote results when the Commission certifies an amount for 
payment to the Secretary. This deduction will be based on the average 
percentage differential between the unofficial and official vote results 
for all candidates who received public funds in the preceding 
Presidential general election.
    (4) The candidate may submit within 15 days after the Commission's 
initial determination written legal or factual materials to demonstrate 
that a redetermination is appropriate. Such materials may be submitted 
by counsel if the candidate so desires.
    (5) The Commission will consider any written legal or factual 
materials timely submitted by the candidate in making its final 
determination. A final determination of certification by the Commission 
will be accompanied by a written statement of reasons for the 
Commission's action. This statement will explain the reasons underlying 
the Commission's determination and will summarize the results of any 
investigation on which the determination is based.
    (d) All certifications made by the Commission pursuant to this 
section shall be final and conclusive, except to the extent that they 
are subject to examination and audit by the Commission under 11 CFR part 
9007 and judicial review under 26 U.S.C. 9011.

[56 FR 35923, July 29, 1991; 56 FR 55972, Oct. 30, 1991]



Sec. 9005.2  Payments to eligible candidates from the Fund.

    (a) Upon receipt of a certification from the Commission under 11 CFR 
9005.1 for payment to the eligible Presidential and Vice Presidential 
candidates of a political party, the Secretary shall pay to such 
candidates out of the Fund the amount certified by the Commission. 
Amounts paid to a candidate shall be under the control of that 
candidate.
    (b)(1) If at the time of a certification from the Commission under 
11 CFR 9005.1, the Secretary determines that the monies in the Fund are 
not, or may not be, sufficient to satisfy the full entitlements of the 
eligible candidates of all political parties, he or she shall withhold 
an amount which is determined to be necessary to assure that the 
eligible candidates of each political party will receive their pro rata 
share.
    (2) Amounts withheld under 11 CFR 9005.2(b)(1) shall be paid when 
the Secretary determines that there are sufficient monies in the Fund to 
pay such amounts, or pro rata portions thereof, to all eligible 
candidates from whom amounts have been withheld.

[[Page 224]]

    (c) Payments received from the Fund by a major party candidate shall 
be deposited in a separate account maintained by his or her authorized 
committee, unless there is a deficiency in the Fund as provided under 11 
CFR 9005.2(b)(1). In the case of a deficiency, the candidate may 
establish a separate account for payments from the Fund or may deposit 
such payments with contributions received pursuant to 11 CFR 9003.3(b). 
The account(s) shall be maintained at a State bank, federally chartered 
depository institution or other depository institution, the deposits or 
accounts of which are insured by the Federal Deposit Insurance 
Corporation.
    (d) No funds other than the payments received from the Treasury, 
reimbursements, or income generated through use of public funds in 
accordance with 11 CFR 9004.5, shall be deposited in the account 
described in 11 CFR 9005.2(c). ``Reimbursements'' shall include, but are 
not limited to, refunds of deposits, vendor refunds, reimbursements for 
travel expenses under 11 CFR 9004.6 and 9004.7 and reimbursements for 
legal and accounting costs under 11 CFR 9003.3(a)(2)(ii)(B).



PART 9006--REPORTS AND RECORDKEEPING--Table of Contents




Sec.
9006.1  Separate reports.
9006.2  Filing dates.
9006.3  Alphabetized schedules.

    Authority: 2 U.S.C. 434 and 26 U.S.C. 9009(b).

    Source: 56 FR 35924, July 29, 1991, unless otherwise noted.



Sec. 9006.1  Separate reports.

    (a) The authorized committee(s) of a candidate shall report all 
expenditures to further the candidate's general election campaign in 
reports separate from reports of any other expenditures made by such 
committee(s) with respect to other elections. Such reports shall be 
filed pursuant to the requirements of 11 CFR part 104.
    (b) The authorized committee(s) of a candidate shall file separate 
reports as follows:
    (1) One report shall be filed which lists all receipts and 
disbursements of:
    (i) Contributions and loans received by a major party candidate 
pursuant to 11 CFR part 9003 to make up deficiencies in Fund payments 
due to the application of 11 CFR part 9005;
    (ii) Contributions and loans received pursuant to 11 CFR 
9003.2(b)(2) by a minor, or new party for use in the general election;
    (iii) Receipts for expenses incurred before the beginning of the 
expenditure report period pursuant to 11 CFR 9003.4;
    (iv) Personal funds expended in accordance with 11 CFR 9003.2(c); 
and
    (v) Payments received from the Fund.
    (2) A second report shall be filed which lists all receipts of and 
disbursements from, contributions received for the candidate's legal and 
accounting compliance fund in accordance with 11 CFR 9003.3(a).



Sec. 9006.2  Filing dates.

    The reports required to be filed under 11 CFR 9006.1 shall be filed 
during an election year on a monthly or quarterly basis as prescribed at 
11 CFR 104.5(b)(1). During a non-election year, the candidate's 
principal campaign committee may elect to file reports either on a 
monthly or quarterly basis in accordance with 11 CFR 104.5(b)(2).



Sec. 9006.3  Alphabetized schedules.

    If the authorized committee(s) of a candidate file a schedule of 
itemized receipts, disbursements, or debts and obligations pursuant to 
11 CFR 104.3 that was generated directly or indirectly from computerized 
files or records, the schedule shall list in alphabetical order the 
sources of the receipts, the payees or the creditors, as appropriate. In 
the case of individuals, such schedule shall list all contributors, 
payees, and creditors in alphabetical order by surname.

[60 FR 31877, June 16, 1995]



PART 9007--EXAMINATIONS AND AUDITS; REPAYMENTS--Table of Contents




Sec.
9007.1  Audits.
9007.2  Repayments.
9007.3  Extensions of time.
9007.4  Additional audits.

[[Page 225]]

9007.5  Petitions for rehearing; stays of repayment determinations.
9007.6  Stale-dated committee checks.
9007.7  Administrative record.

    Authority: 26 U.S.C. 9007 and 9009(b).

    Source: 56 FR 35924, July 29, 1991, unless otherwise noted.



Sec. 9007.1  Audits.

    (a) General. (1) After each Presidential election, the Commission 
will conduct a thorough examination and audit of the receipts, 
disbursements, debts and obligations of each candidate, his or her 
authorized committee(s), and agents of such candidates or committees. 
Such examination and audit will include, but will not be limited to, 
expenditures pursuant to 11 CFR 9003.4 prior to the beginning of the 
expenditure report period, contributions to and expenditures made from 
the legal and accounting compliance fund established under 11 CFR 
9003.3(a), contributions received to supplement any payments received 
from the Fund, and qualified campaign expenses.
    (2) In addition, the Commission may conduct other examinations and 
audits from time to time as it deems necessary to carry out the 
provisions of this subchapter.
    (3) Information obtained pursuant to any audit and examination 
conducted under 11 CFR 9007.1(a) (1) and (2) may be used by the 
Commission as the basis, or partial basis, for its repayment 
determinations under 11 CFR 9007.2.
    (b) Conduct of fieldwork. (1) If the candidate or the candidate's 
authorized committee does not maintain or use any computerized 
information containing the data listed in 11 CFR 9003.6, the Commission 
will give the candidate's authorized committee at least two weeks' 
notice of the Commission's intention to commence fieldwork on the audit 
and examination. The fieldwork shall be conducted at a site provided by 
the committee. If the candidate or the candidate's authorized committee 
maintains or uses computerized information containing any of the data 
listed in 11 CFR 9003.6, the Commission generally will request such 
information prior to commencement of audit fieldwork. Such request will 
be made in writing. The committee shall produce the computerized 
information no later than 15 calendar days after service of such 
request. Upon receipt of the computerized information requested and 
compliance with the technical specifications of 11 CFR 9003.6(b), the 
Commission will give the candidate's authorized committee at least two 
weeks' notice of the Commission's intention to commence fieldwork on the 
audit and examination. The fieldwork shall be conducted at a site 
provided by the committee. During or after audit fieldwork, the 
Commission may request additional or updated computerized information 
which expands the coverage dates of computerized information previously 
provided, and which may be used for purposes including, but not limited 
to, updating a statement of net outstanding qualified campaign expenses. 
During or after audit fieldwork, the Commission may also request 
additional computerized information which was created by or becomes 
available to the committee that is of assistance in the Commission's 
audit. The committee shall produce the additional or updated 
computerized information no later than 15 calendar days after service of 
the Commission's request.
    (i) Office space and records. On the date scheduled for the 
commencement of fieldwork, the candidate or his or her authorized 
committee(s) shall provide Commission staff with office space and 
committee records in accordance with the candidate and committee 
agreement under 11 CFR 9003.1(b)(6).
    (ii) Availability of committee personnel. On the date scheduled for 
the commencement of fieldwork, the candidate or his or her authorized 
committee(s) shall have committee personnel present at the site of the 
fieldwork. Such personnel shall be familiar with the committee's records 
and operation and shall be available to Commission staff to answer 
questions and to aid in locating records.
    (iii) Failure to provide staff, records or office space. If the 
candidate or his or her authorized committee(s) fail to provide adequate 
office space, personnel or committee records, the Commission may seek 
judicial intervention under 2 U.S.C. 437d or 26 U.S.C. 9010(c)

[[Page 226]]

to enforce the candidate and committee agreement made under 11 CFR 
9003.1(b). Before seeking judicial intervention, the Commission will 
notify the candidate of his or her failure to comply with the agreement 
and will recommend corrective action to bring the candidate into 
compliance. Upon receipt of the Commission's notification, the candidate 
will have ten (10) calendar days in which to take the corrective action 
indicated or to otherwise demonstrate to the Commission in writing that 
he or she is complying with the candidate and committee agreements.
    (iv) If, in the course of the audit process, a dispute arises over 
the documentation sought or other requirements of the candidate 
agreement, the candidate may seek review by the Commission of the issues 
raised. To seek review, the candidate shall submit a written statement 
within 10 days after the disputed Commission staff request is made, 
describing the dispute and indicating the candidate's proposed 
alternative(s).
    (v) If the candidate or his or her authorized committee fails to 
produce particular records, materials, evidence or other information 
requested by the Commission, the Commission may issue an order pursuant 
to 2 U.S.C. 437d(a)(1) or a subpoena or subpoena duces tecum pursuant to 
2 U.S.C. 437d(a)(3). The procedures set forth in 11 CFR 111.11 through 
111.15, as appropriate, shall apply to the production of such records, 
materials, evidence or other information as specified in the order, 
subpoena or subpoena duces tecum.
    (2) Fieldwork will include the following steps designed to keep the 
candidate and committee informed as to the progress of the audit and to 
expedite the process:
    (i) Entrance conference. At the outset of the fieldwork, Commission 
staff will hold an entrance conference, at which the candidate's 
representatives will be advised of the purpose of the audit and the 
general procedures to be followed. Future requirements of the candidate 
and his or her authorized committee, such as possible repayments to the 
United States Treasury, will also be discussed. Committee 
representatives shall provide information and records necessary to 
conduct the audit, and Commission staff will be available to answer 
committee questions.
    (ii) Review of records. During the fieldwork, Commission staff will 
review committee records and may conduct interviews of committee 
personnel. Commission staff will be available to explain aspects of the 
audit and examination as it progresses. Additional meetings between 
Commission staff and committee personnel may be held from time to time 
during the fieldwork to discuss possible audit findings and to resolve 
issues arising during the course of the audit.
    (iii) Exit conference. At the conclusion of the fieldwork, 
Commission staff will hold an exit conference to discuss with committee 
representatives the staff's preliminary findings and recommendations 
that the staff anticipates it will present to the Commission for 
approval. Commission staff will advise committee representatives at this 
conference of the committee's opportunity to respond to these 
preliminary findings; the projected timetables regarding the issuance of 
the Preliminary Audit Report, the Audit Report, and any repayment 
determination; the committee's opportunity for an administrative review 
of any repayment determination; and the procedures involved in 
Commission repayment determinations under 11 CFR 9007.2.
    (3) Commission staff may conduct additional fieldwork after the 
completion of the fieldwork conducted pursuant to 11 CFR 9007.1(b) (1) 
and (2). Factors that may necessitate such follow-up fieldwork include, 
but are not limited to, the following:
    (i) Committee response to audit findings;
    (ii) Financial activity of the committee subsequent to the fieldwork 
conducted pursuant to 11 CFR 9007.1(b)(1);
    (iii) Committee responses to Commission repayment determinations 
made under 11 CFR 9007.2.
    (4) The Commission will notify the candidate and his or her 
authorized committee if follow-up fieldwork is necessary. The provisions 
of 11 CFR 9007.1(b) (1) and (2) will apply to any additional fieldwork 
conducted.

[[Page 227]]

    (c) Preliminary Audit Report: Issuance by Commission and committee 
response. (1) Commission staff will prepare a written Preliminary Audit 
Report, which will be provided to the committee after it is approved by 
an affirmative vote of four (4) members of the Commission. The 
Preliminary Audit Report may include--
    (i) An evaluation of procedures and systems employed by the 
candidate and committee to comply with applicable provisions of the 
Federal Election Campaign Act, the Presidential Election Campaign Fund 
Act and Commission regulations;
    (ii) The accuracy of statements and reports filed with the 
Commission by the candidate and committee; and
    (iii) Preliminary calculations regarding future repayments to the 
United States Treasury.
    (2) The candidate and his or her authorized committee may submit in 
writing within 60 calendar days after receipt of the Preliminary Audit 
Report, legal and factual materials disputing or commenting on the 
proposed findings contained in the Preliminary Audit Report. In 
addition, the committee shall submit any additional documentation 
requested by the Commission. Such materials may be submitted by counsel 
if the candidate so desires.
    (d) Approval and issuance of the audit report. (1) Before voting on 
whether to approve and issue an audit report, the Commission will 
consider any written legal and factual materials timely submitted by the 
candidate or his or her authorized committee in accordance with 
paragraph (c) of this section. The Commission-approved audit report may 
address issues other than those contained in the Preliminary Audit 
Report. In addition, this report will contain a repayment determination 
made by the Commission pursuant to 11 CFR 9007.2(c)(1).
    (2) The audit report may contain issues that warrant referral to the 
Office of General Counsel for possible enforcement proceedings under 2 
U.S.C. 437g and 11 CFR part 111.
    (3) Addenda to the audit report may be approved and issued by the 
Commission from time to time as circumstances warrant and as additional 
information becomes available. Such addenda may be based on follow-up 
fieldwork conducted under paragraph (b)(3) of this section, and/or 
information ascertained by the Commission in the normal course of 
carrying out its supervisory responsibilities. The procedures set forth 
in paragraphs (c) and (d) (1) and (2) of this section will be followed 
in preparing such addenda. The addenda will be placed on the public 
record as set forth in paragraph (e) of this section. Such addenda may 
also include additional repayment determination(s).
    (e) Public release of audit report. (1) The Commission will consider 
the audit report in an open session agenda document. The Commission will 
provide the candidate and the committee with copies of any agenda 
document to be considered in an open session 24 hours prior to releasing 
the agenda document to the public.
    (2) Following Commission approval of the audit report, the report 
will be forwarded to the committee and released to the public. The 
Commission will provide the candidate and committee with copies of the 
audit report approved by the Commission 24 hours before releasing the 
report to the public.
    (f)(1) Sampling. In conducting an audit of contributions pursuant to 
this section, the Commission may utilize generally accepted statistical 
sampling techniques to quantify, in whole or in part, the dollar value 
of related audit findings. A projection of the total amount of 
violations based on apparent violations identified in such a sample may 
become the basis, in whole or in part, of any audit finding.
    (2) A committee in responding to a sample-based finding shall 
respond only to the specific sample items used to make the projection. 
If the committee demonstrates that any apparent errors found among the 
sample items were not errors, the Commission shall make a new projection 
based on the reduced number of errors in the sample.
    (3) Within 30 days of service of the Final Audit Report, the 
committee shall submit a check to the United States Treasury for the 
total amount

[[Page 228]]

of any excessive or prohibited contributions not refunded, reattributed 
or redesignated in a timely manner in accordance with 11 CFR 103.3(b) 
(1), (2) or (3); or take any other action required by the Commission 
with respect to sample-based findings.

[56 FR 35924, July 29, 1991; 56 FR 42380, Aug. 27, 1991; 60 FR 31878, 
June 16, 1995; 64 FR 61780, Nov. 15, 1999]



Sec. 9007.2  Repayments.

    (a) General. (1) A candidate who has received payments from the Fund 
under 11 CFR part 9005 shall pay the United States Treasury any amounts 
which the Commission determines to be repayable under this section. In 
making repayment determinations under this section, the Commission may 
utilize information obtained from audits and examinations conducted 
pursuant to 11 CFR 9007.1 or otherwise obtained by the Commission in 
carrying out its responsibilities under this subchapter.
    (2) The Commission will notify the candidate of any repayment 
determinations made under this section as soon as possible, but not 
later than 3 years after the day of the presidential election. The 
Commission's issuance of the audit report to the candidate under 11 CFR 
9007.1(d) will constitute notification for purposes of this section.
    (3) Once the candidate receives notice of the Commission's repayment 
determination under this section, the candidate should give preference 
to the repayment over all other outstanding obligations of his or her 
committee, except for any federal taxes owed by the committee.
    (4) Repayments may be made only from the following sources: personal 
funds of the candidate (without regard to the limitations of 11 CFR 
9003.2(c)), contributions and federal funds in the committee's 
account(s), and any additional funds raised subject to the limitations 
and prohibitions of the Federal Election Campaign Act of 1971, as 
amended.
    (b) Bases for repayment. The Commission may determine that an 
eligible candidate of a political party who has received payments from 
the Fund must repay the United States Treasury under any of the 
circumstances described below.
    (1) Payments in excess of candidate's entitlement. If the Commission 
determines that any portion of the payments made to the candidate was in 
excess of the aggregate payments to which such candidate was entitled, 
it will so notify the candidate, and such candidate shall pay to the 
United States Treasury an amount equal to such portion.
    (2) Use of funds for non-qualified campaign expenses. (i) If the 
Commission determines that any amount of any payment to an eligible 
candidate from the Fund was used for purposes other than those described 
in paragraphs (b)(2)(i) (A) through (C) of this section, it will notify 
the candidate of the amount so used, and such candidate shall pay to the 
United States Treasury an amount equal to such amount.
    (A) To defray qualified campaign expenses;
    (B) To repay loans, the proceeds of which were used to defray 
qualified campaign expenses; and
    (C) To restore funds (other than contributions which were received 
and expended by minor or new party candidates to defray qualified 
campaign expenses) which were used to defray qualified campaign 
expenses.
    (ii) Examples of Commission repayment determinations under 11 CFR 
9007.2(b)(2) include, but are not limited to the following:
    (A) Determinations that a candidate, a candidate's authorized 
committee(s) or agent(s) have incurred expenses in excess of the 
aggregate payments to which an eligible major party candidate is 
entitled;
    (B) Determinations that amounts spent by a candidate, a candidate's 
authorized committee(s) or agent(s) from the Fund were not documented in 
accordance with 11 CFR 9003.5;
    (C) Determinations that any portion of the payments made to a 
candidate from the Fund was expended in violation of State or Federal 
law; and
    (D) Determinations that any portion of the payments made to a 
candidate from the Fund was used to defray expenses resulting from a 
violation of State or Federal law, such as the payment of fines or 
penalties.

[[Page 229]]

    (iii) In the case of a candidate who has received contributions 
pursuant to 11 CFR 9003.3 (b) or (c), the amount of any repayment sought 
under this section shall bear the same ratio to the total amount 
determined to have been used for non-qualified campaign expenses as the 
amount of payments certified to the candidate from the Fund bears to the 
total deposits, as of December 31 of the Presidential election year. For 
purposes of this section, total deposits means all deposits to all 
candidate accounts minus transfers between accounts, refunds, rebates, 
reimbursements, checks returned for insufficient funds, proceeds of 
loans and other similar amounts.
    (3) Surplus. If the Commission determines that a portion of payments 
from the Fund remains unspent after all qualified campaign expenses have 
been paid, it shall so notify the candidate, and such candidate shall 
pay the United States Treasury that portion of surplus funds.
    (4) Income on investment or other use of payments from the Fund. If 
the Commission determines that a candidate received any income as a 
result of an investment or other use of payments from the fund pursuant 
to 11 CFR 9004.5, it shall so notify the candidate, and such candidate 
shall pay to the United States Treasury an amount equal to the amount 
determined to be income, less any Federal, State or local taxes on such 
income.
    (5) Unlawful acceptance of contributions by an eligible candidate of 
a major party. If the Commission determines that an eligible candidate 
of a major party, the candidate's authorized committee(s) or agent(s) 
accepted contributions to defray qualified campaign expenses (other than 
contributions to make up deficiencies in payments from the Fund, or to 
defray expenses incurred for legal and accounting services in accordance 
with 11 CFR 9003.3(a)), it shall notify the candidate of the amount of 
contributions so accepted, and the candidate shall pay to the United 
States Treasury an amount equal to such amount.
    (c) Repayment determination procedures. The Commission's repayment 
determination will be made in accordance with the procedures set forth 
at paragraphs (c)(1) through (c)(4) of this section.
    (1) Repayment determination. The Commission will provide the 
candidate with a written notice of its repayment determination(s). This 
notice will be included in the Commission's audit report prepared 
pursuant to 11 CFR 9007.1(d) and will set forth the legal and factual 
reasons for such determination(s), as well as the evidence upon which 
any such determination is based. The candidate shall repay to the United 
States Treasury in accordance with paragraph (d) of this section, the 
amount which the Commission has determined to be repayable.
    (2) Administrative review of repayment determination. If a candidate 
disputes the Commission's repayment determination(s), he or she may 
request an administrative review of the determination(s) as set forth in 
paragraph (c)(2)(i) of this section.
    (i) Submission of written materials. A candidate who disputes the 
Commission's repayment determination(s) shall submit in writing, within 
60 calendar days after service of the Commission's notice, legal and 
factual materials demonstrating that no repayment, or a lesser 
repayment, is required. Such materials may be submitted by counsel if 
the candidate so desires. The candidate's failure to timely raise an 
issue in written materials presented pursuant to this paragraph will be 
deemed a waiver of the candidate's right to raise the issue at any 
future stage of proceedings including any petition for review filed 
under 26 U.S.C. 9011(a).
    (ii) Oral hearing. A candidate who submits written materials 
pursuant to paragraph (c)(2)(i) of this section may at the same time 
request in writing that the Commission provide such candidate with an 
opportunity to address the Commission in open session to demonstrate 
that no repayment, or a lesser repayment, is required. The candidate 
should identify in this request the repayment issues he or she wants to 
address at the oral hearing. If the Commission decides by an affirmative 
vote of four (4) of its members to grant the candidate's request, it 
will inform the candidate of the date and time set for the oral hearing. 
At the date and

[[Page 230]]

time set by the Commission, the candidate or candidate's designated 
representative will be allotted an amount of time in which to make an 
oral presentation to the Commission based upon the legal and factual 
materials submitted under paragraph (c)(2)(ii) of this section. The 
candidate or representative will also have the opportunity to answer any 
questions from individual members of the Commission.
    (3) Repayment determination upon review. In deciding whether to 
revise any repayment determination(s) following an administrative review 
pursuant to paragraph (c)(2) of this section, the Commission will 
consider any submission made under paragraph (c)(2)(i) of this section 
and any oral hearing conducted under paragraph (c)(2)(ii) of this 
section, and may also consider any new or additional information from 
other sources. A determination following an administrative review that a 
candidate must repay a certain amount will be accompanied by a written 
statement of reasons supporting the Commission's determination(s). This 
statement will explain the legal and factual reasons underlying the 
Commission's determination(s) and will summarize the results of any 
investigation(s) upon which the determination(s) are based.
    (d) Repayment period. (1) Within 90 calendar days of service of the 
notice of the Commission's repayment determination(s), the candidate 
shall repay to the United States Treasury the amounts which the 
Commission has determined to be repayable. Upon application by the 
candidate, the Commission may grant an extension of up to 90 calendar 
days in which to make repayment.
    (2) If the candidate requests an administrative review of the 
Commission's repayment determination(s) under paragraph (c)(2) of this 
section, the time for repayment will be suspended until the Commission 
has concluded its administrative review of the repayment 
determination(s). Within 30 calendar days after service of the notice of 
the Commission's post-administrative review repayment determination(s), 
the candidate shall repay to the United States Treasury the amounts 
which the Commission has determined to be repayable. Upon application by 
the candidate, the Commission may grant an extension of up to 90 
calendar days in which to make repayment.
    (3) Interest shall be assessed on all repayments made after the 
initial 90-day repayment period established at paragraph (d)(1) of this 
section or the 30-day repayment period established at paragraph (d)(2) 
of this section. The amount of interest due shall be the greater of:
    (i) An amount calculated in accordance with 28 U.S.C. 1961 (a) and 
(b); or
    (ii) The amount actually earned on the funds set aside or to be 
repaid under this section.
    (e) Computation of time. The time periods established by this 
section shall be computed in accordance with 11 CFR 111.2.
    (f) Additional repayments. Nothing in this section will prevent the 
Commission from making additional repayment determinations on one or 
more of the bases set forth at 11 CFR 9007.2(b) after it has made a 
repayment determination on any such basis. The Commission may make 
additional repayment determinations where there exist facts not used as 
the basis for any previous determination. Any such additional repayment 
determination will be made in accordance with the provisions of this 
section.
    (g) Newly-discovered assets. If, after any repayment determination 
made under this section, a candidate or his or her authorized 
committee(s) receives or becomes aware of assets not previously included 
in any statement of net outstanding qualified campaign expenses 
submitted pursuant to 11 CFR 9004.9, the candidate or his or her 
authorized committee(s) shall promptly notify the Commission of such 
newly-discovered assets. Newly-discovered assets may include refunds, 
rebates, late-arriving receivables, and actual receipts for capital 
assets in excess of the value specified in any previously-submitted 
statement of net outstanding qualified campaign expenses. Newly-
discovered assets may serve as a basis for additional repayment 
determinations under 11 CFR 9007.2(f).
    (h) Limit on repayment. No repayment shall be required from the 
eligible candidates of a political party under 11

[[Page 231]]

CFR 9007.2 to the extent that such repayment, when added to other 
repayments required from such candidates under 11 CFR 9007.2, exceeds 
the amount of payments received by such candidates under 11 CFR 9005.2.
    (i) Petitions for rehearing; stays pending appeal. The candidate may 
file a petition for rehearing of a repayment determination in accordance 
with 11 CFR 9007.5(a). The candidate may request a stay of a repayment 
determination in accordance with 11 CFR 9007.5(c) pending the 
candidate's appeal of that repayment determination.

[56 FR 35924, July 29, 1991, as amended at 60 FR 31878, June 16, 1995]



Sec. 9007.3  Extensions of time.

    (a) It is the policy of the Commission that extensions of time under 
11 CFR part 9007 will not be routinely granted.
    (b) Whenever a candidate has a right or is required to take action 
within a period of time prescribed by 11 CFR part 9007 or by notice 
given thereunder, the candidate may apply in writing to the Commission 
for an extension of time in which to exercise such right or take such 
action. The candidate shall demonstrate in the application for extension 
that good cause exists for his or her request.
    (c) An application for extension of time shall be made at least 7 
calendar days prior to the expiration of the time period for which the 
extension is sought. The Commission may, upon a showing of good cause, 
grant an extension of time to a candidate who has applied for such 
extension in a timely manner. The length of time of any extension 
granted hereunder shall be decided by the Commission and may be less 
than the amount of time sought by the candidate in his or her 
application. If a candidate seeks an extension of any 60-day response 
period under 11 CFR part 9007, the Commission may grant no more than one 
extension to that candidate, which extension shall not exceed 15 days.
    (d) If a candidate fails to seek an extension of time, exercise a 
right or take a required action prior to the expiration of a time period 
prescribed by 11 CFR part 9007, the Commission may, on the candidate's 
showing of excusable neglect:
    (1) Permit such candidate to exercise his or her right(s), or take 
such required action(s) after the expiration of the prescribed time 
period; and
    (2) Take into consideration any information obtained in connection 
with the exercise of any such right or taking of any such action before 
making decisions or determinations under 11 CFR part 9007.

[56 FR 35924, July 29, 1991, as amended at 60 FR 31880, June 16, 1995]



Sec. 9007.4  Additional audits.

    In accordance with 11 CFR 104.16(c), the Commission, pursuant to 11 
CFR 111.10, may upon affirmative vote of four members conduct an audit 
and field investigation of any committee in any case in which the 
Commission finds reason to believe that a violation of a statute or 
regulation over which the Commission has jurisdiction has occurred or is 
about to occur.



Sec. 9007.5  Petitions for rehearing; stays of repayment determinations.

    (a) Petitions for rehearing. (1) Following the Commission's 
repayment determination or a final determination that a candidate is not 
entitled to all or a portion of post-election funding under 11 CFR 
9004.9(f), the candidate may file a petition for rehearing setting forth 
the relief desired and the legal and factual basis in support. To be 
considered by the Commission, petitions for rehearing must:
    (i) Be filed within 20 calendar days following service of the 
Commission's repayment determination or final determination;
    (ii) Raise new questions of law or fact that would materially alter 
the Commission's repayment determination or final determination; and
    (iii) Set forth clear and convincing grounds why such questions were 
not and could not have been presented during the original determination 
process.
    (2) If a candidate files a timely petition under this section 
challenging a Commission repayment determination, the time for repayment 
will be suspended until the Commission serves notice on the candidate of 
its determination on the petition. The time periods for making repayment 
under 11 CFR

[[Page 232]]

9007.2(d) shall apply to any amounts determined to be repayable 
following the Commission's consideration of a petition for rehearing 
under this section.
    (b) Effect of failure to raise issues. The candidate's failure to 
raise an argument in a timely fashion during the original determination 
process or in a petition for rehearing under this section, as 
appropriate, shall be deemed a waiver of the candidate's right to 
present such arguments in any future stage of proceedings including any 
petition for review filed under 26 U.S.C. 9011(a). An issue is not 
timely raised in a petition for rehearing if it could have been raised 
earlier in response to the Commission's original determination.
    (c) Stay of repayment determination pending appeal. (1)(i) The 
candidate may apply to the Commission for a stay of all or a portion of 
the amount determined to be repayable under this section or under 11 CFR 
9007.2 pending the candidate's appeal of that repayment determination 
pursuant to 26 U.S.C. 9011(a). The repayment amount requested to be 
stayed shall not exceed the amount at issue on appeal.
    (ii) A request for a stay shall be made in writing and shall be 
filed within 30 calendar days after service of the Commission's decision 
on a petition for rehearing under paragraph (a) of this section or, if 
no petition for rehearing is filed, within 30 calendar days after 
service of the Commission's repayment determination under 11 CFR 
9007.2(c).
    (2) The Commission's approval of a stay request will be conditioned 
upon the candidate's presentation of evidence in the stay request that 
he or she:
    (i) Has placed the entire amount at issue in a separate interest-
bearing account pending the outcome of the appeal and that withdrawals 
from the account may only be made with the joint signatures of the 
candidate or his or her agent and a Commission representative; or
    (ii) Has posted a surety bond guaranteeing payment of the entire 
amount at issue plus interest; or
    (iii) Has met the following criteria:
    (A) He or she will suffer irreparable injury in the absence of a 
stay; and, if so, that
    (B) He or she has made a strong showing of the likelihood of success 
on the merits of the judicial action.
    (C) Such relief is consistent with the public interest; and
    (D) No other party interested in the proceedings would be 
substantially harmed by the stay.
    (3) In determining whether the candidate has made a strong showing 
of the likelihood of success on the merits under paragraph 
(c)(2)(iii)(B) of this section, the Commission may consider whether the 
issue on appeal presents a novel or admittedly difficult legal question 
and whether the equities of the case suggest that the status quo should 
be maintained.
    (4) All stays shall require the payment of interest on the amount at 
issue. The amount of interest due shall be calculated from the date 30 
days after service of the Commission's repayment determination under 11 
CFR 9007.2(c)(4) and shall be the greater of:
    (i) An amount calculated in accordance with 28 U.S.C. 1961 (a) and 
(b); or
    (ii) The amount actually earned on the funds set aside under this 
section.

[56 FR 35924, July 29, 1991, as amended at 60 FR 31880, June 16, 1995]



Sec. 9007.6  Stale-dated committee checks.

    If the committee has checks outstanding to creditors or contributors 
that have not been cashed, the committee shall notify the Commission. 
The committee shall inform the Commission of its efforts to locate the 
payees, if such efforts have been necessary, and its efforts to 
encourage the payees to cash the outstanding checks. The committee shall 
also submit a check for the total amount of such outstanding checks, 
payable to the United States Treasury.



Sec. 9007.7  Administrative record.

    (a) The Commission's administrative record for final determinations 
under 11 CFR 9004.9 and 9005.1, and for repayment determinations under 
11 CFR 9007.2, consists of all documents and materials submitted to the 
Commission for its consideration in making those determinations. The 
administrative record will include the certification of the Commission's 
vote(s), the

[[Page 233]]

audit report that is sent to the committee (for repayment 
determinations), the statement(s) of reasons, and the candidate 
agreement. The committee may include documents or materials in the 
administrative record by submitting them within the time periods set 
forth at 11 CFR 9004.9(f)(2)(ii), 9005.1(b)(2), 9005.1(c)(4), 9007.1(c) 
and 9007.2(c)(2), as appropriate.
    (b) The Commission's administrative record for determinations under 
11 CFR 9004.9, 9005.1 and 9007.2 does not include:
    (1) Documents and materials in the files of individual Commissioners 
or employees of the Commission that do not constitute a basis for the 
Commission's decisions because they were not circulated to the 
Commission and were not referenced in documents that were circulated to 
the Commission;
    (2) Transcripts or audio tapes of Commission discussions other than 
transcripts or audio tapes of oral hearings pursuant to 11 CFR 
9007.2(c)(2), although such transcripts or tapes may be made available 
under 11 CFR parts 4 or 5; or
    (3) Documents properly subject to privileges such as an attorney-
client privilege, or items constituting attorney work product.
    (c) The administrative record identified in paragraph (a) of this 
section is the exclusive record for the Commission's determinations 
under 11 CFR 9004.9, 9005.1 and 9007.2

[60 FR 31880, June 16, 1995]



PART 9008--FEDERAL FINANCING OF PRESIDENTIAL NOMINATING CONVENTIONS--Table of Contents




Subpart A--Expenditures by National Committees and Convention Committees

Sec.
9008.1  Scope.
9008.2  Definitions.
9008.3  Eligibility for payments; registration and reporting.
9008.4  Entitlement to payments from the fund.
9008.5  Adjustment of entitlement.
9008.6  Payment and certification procedures.
9008.7  Use of funds.
9008.8  Limitation of expenditures.
9008.9  Receipt of goods and services from commercial vendors.
9008.10  Documentation of disbursements; net outstanding convention 
          expenses.
9008.11  Examinations and audits.
9008.12  Repayments.
9008.13  Additional audits.
9008.14  Petitions for rehearing: stays of repayment determinations.
9008.15  Extensions of time.
9008.16  Stale-dated committee checks.

 Subpart B--Host Committees Representing a Convention City; Convention 
     Expenditures by Government Agencies and Municipal Corporations

9008.50  Scope.
9008.51  Registration and reports.
9008.52  Receipts and disbursements of host committees.
9008.53  Receipts and disbursements of government agencies and municipal 
          corporations.
9008.54  Examinations and audits.

    Authority: 2 U.S.C. 437, 438(a)(8); 26 U.S.C. 9008, 9009(b).

    Source: 59 FR 33616, June 29, 1994, unless otherwise noted.



Subpart A--Expenditures by National Committees and Convention Committees



Sec. 9008.1  Scope.

    (a) This part interprets 2 U.S.C. 437 and 26 U.S.C. 9008. Under 26 
U.S.C. 9008(b), the national committees of both major and minor parties 
are entitled to public funds to defray expenses incurred with respect to 
a Presidential Nominating convention. Under 26 U.S.C. 9008(d), 
expenditures with regard to such a convention by a national committee 
receiving public funds are limited to $4,000,000, as adjusted by the 
Consumer Price Index. New parties are not entitled to receive any public 
funds to defray convention expenses.
    (b) Under 2 U.S.C. 437, each committee or organization which 
represents a national party in making arrangements for that party's 
presidential nominating convention is required to file disclosure 
reports. This reporting obligation extends to all such committees or 
organizations, regardless of whether or not public funds are used or 
available to defray convention expenses.

[[Page 234]]



Sec. 9008.2  Definitions.

    (a) Commission means the Federal Election Commission, 999 E Street, 
NW., Washington, DC 20463.
    (b) Fund means the Presidential Election Campaign Fund established 
by 26 U.S.C. 9006(a).
    (c) Major party means, with respect to any presidential election, a 
political party whose candidate for the office of President in the 
preceding presidential election received, as the candidate of such 
party, 25 percent or more of the total number of popular votes received 
by all candidates for such office.
    (d) Minor party means, with respect to any presidential election, a 
political party whose candidate for the office of President in the 
preceding presidential election received, as the candidate of such 
party, 5 percent or more, but less than 25 percent, of the total number 
of popular votes received by all candidates for such office.
    (e) National committee means the organization which, by virtue of 
the by-laws of the political party, is responsible for the day to day 
operation of that party at the national level.
    (f) New party means, with respect to any presidential election, a 
political party which is neither a major party nor a minor party.
    (g) Nominating convention means a convention, caucus or other 
meeting which is held by a political party at the national level and 
which chooses the presidential nominee of the party through selection by 
delegates to that convention or through other similar means.
    (h) Secretary means the Secretary of the Treasury of the United 
States.



Sec. 9008.3  Eligibility for payments; registration and reporting.

    (a) Eligibility requirements. (1) To qualify for entitlement under 
11 CFR 9008.4 and 9008.5, the national committee of a major or minor 
political party shall establish a convention committee pursuant to 
paragraph (a)(2) of this section and shall file an application statement 
pursuant to paragraph (a)(3) of this section. The convention committee, 
in conjunction with the national committee, shall file an agreement to 
comply with the conditions set forth at paragraph (a)(4) of this 
section.
    (2) The national committee shall establish a convention committee 
which shall be responsible for conducting the day to day arrangements 
and operations of that party's presidential nominating convention. The 
convention committee shall register with the Commission as a political 
committee pursuant to 11 CFR part 102. The convention committee shall 
receive all public funds to which the national committee is entitled 
under 11 CFR 9008.4 and 9008.5 and all private contributions made for 
the purpose of defraying convention expenses. All expenditures on behalf 
of the national committee for convention expenses shall be made by the 
convention committee.
    (3) The national committee shall file with the Commission an 
application statement. Any changes in the information provided in the 
application statement must be reported to the Commission within 10 days 
following the change. The application statement shall include:
    (i) The name and address of the national committee;
    (ii) The name and address of the convention committee and of the 
officers of that committee;
    (iii) The name of the city where the convention is to be held and 
the approximate dates;
    (iv) The name, address, and position of the convention committee 
officers designated by the national committee to sign requests for 
payments; and
    (v) The name and address of the depository of the convention 
committee.
    (4) The convention committee shall, by letter to the Commission, 
agree to the conditions set forth in paragraph (a)(4) (i) through (viii) 
of this section. This agreement shall also be binding upon the national 
committee.
    (i) The convention committee shall agree to comply with the 
applicable expenditure limitation set forth at 11 CFR 9008.8.
    (ii) The convention committee shall agree to file convention reports 
as required under 2 U.S.C. 437 and 11 CFR 9008.3(b).
    (iii) The convention committee shall agree to establish one or more 
accounts into which all public funds received under 11 CFR 9008.4 and 
9008.5

[[Page 235]]

must be deposited and from which all expenditures for convention 
expenses must be made. Such account(s) shall contain only public funds 
except as provided in 11 CFR 9008.6(a)(3).
    (iv) The convention committee shall agree to keep and furnish to the 
Commission all documentation of convention disbursements made by the 
committee as required under 11 CFR 9008.10. The convention committee has 
the burden of proving that disbursements by the convention committee 
were for purposes of defraying convention expenses as set forth at 11 
CFR 9008.7(a)(4).
    (v) The convention committee shall agree to furnish to the 
Commission any books, records (including bank records for all accounts), 
a copy of any contract which the national committee enters into with a 
host committee or convention city or vendor, a copy of documentation 
provided by commercial vendors in accordance with 11 CFR 9008.9(b), and 
any other information that the Commission may request. If the convention 
committee maintains or uses computerized information containing any of 
the categories of data listed in 11 CFR 9008.10(h)(1) (i) through (iv), 
the convention committee will provide computerized magnetic media, such 
as magnetic tapes or magnetic diskettes, containing the computerized 
information at the times specified in 11 CFR 9008.10(h)(2) that meet the 
requirements of 11 CFR 102.9 and 9008.10 (a) and (b). Upon request, 
documentation explaining the computer system's software capabilities 
shall be provided, and such personnel as are necessary to explain the 
operation of the computer system's software and the computerized 
information prepared or maintained by the convention committee shall 
also be made available.
    (vi) The convention committee shall agree to permit an audit and 
examination pursuant to 26 U.S.C. 9008(g) and 11 CFR 9008.11 of all 
convention expenses; to facilitate such audit by making available office 
space, records, and such personnel as is necessary to the conduct of the 
audit and examination; and to pay any amounts required to be paid under 
26 U.S.C. 9008(h) and 11 CFR 9008.12.
    (vii) The convention committee shall agree to comply with the 
applicable requirements of 2 U.S.C. 431 et seq., 26 U.S.C. 9008, and the 
Commission's regulations at 11 CFR parts 100-116 and 9008.
    (viii) The convention committee shall pay any civil penalties 
included in a conciliation agreement or imposed under 2 U.S.C. 437g.
    (5) The application statement and agreement may be filed at any time 
after June 1 of the calendar year preceding the year in which a 
Presidential nominating convention of the political party is held, but 
no later than the first day of the convention.
    (b) Registration and reports by political parties. (1) Registration. 
(i) Each convention committee established by a national committee under 
paragraph (a)(2) of this section shall register with the Commission on 
FEC Form 1 as a political committee pursuant to 11 CFR part 102 and 
shall file reports with the Commission as required at paragraph (b)(2) 
of this section. Each report filed by the committee shall contain the 
information required by 11 CFR part 104.
    (ii) A State party committee or a subordinate committee of a State 
party committee which only assists delegates and alternates to the 
convention from that State with travel expenses and arrangements, or 
which sponsors caucuses, receptions, and similar activities at the 
convention site, need not register or report under this section.
    (2) Quarterly and post convention reports; content and time of 
filing. Each committee required to register under paragraph (b)(1) of 
this section shall file reports as follows:
    (i) The first quarterly report shall be filed on FEC Form 4 no later 
than 15 days following the end of the calendar quarter in which the 
committee either receives payment under 11 CFR 9008.6, or for parties 
which do not accept public funds, no later than 15 days after the 
calendar quarter in which the committee receives contributions or makes 
expenditures to defray convention expenses. The committee shall continue 
to file reports on a quarterly basis no later than the 15th day 
following the close of each calendar quarter, except that the report for 
the final calendar

[[Page 236]]

quarter of the year shall be filed on January 31 of the following 
calendar year. Quarterly reports shall be completed as of the close of 
the quarter and shall continue to be filed until the committee ceases 
activity in connection with that party's presidential nominating 
convention.
    (ii) Any quarterly report due within 20 days before or after the 
convention shall be suspended and the committee shall in lieu of such 
quarterly report file a post convention report. The post convention 
report shall be filed on the earlier of: 60 days following the last day 
the convention is officially in session; or 20 days prior to the 
presidential general election. The post convention report shall be 
complete as of 15 days prior to the date on which the report must be 
filed.
    (c) Cessation of activity. A convention committee which has received 
payments under 11 CFR 9008.6 shall cease activity no later than 24 
months after the convention, unless the committee has been granted an 
extension of time. The Commission may grant any extension of time it 
deems appropriate upon request of the committee at least 30 days prior 
to the close of the 24 month period.



Sec. 9008.4  Entitlement to payments from the fund.

    (a) Major parties. Subject to the provisions of this part, the 
national committee of a major party shall be entitled to receive 
payments under 11 CFR 9008.6 with respect to any presidential nominating 
convention, in amounts which, in the aggregate, shall not exceed $4 
million, as adjusted by the Consumer Price Index under 11 CFR 9008.5(a).
    (b) Minor parties. Subject to the provisions of this part, the 
national committee of a minor party shall be entitled to payments under 
11 CFR 9008.6 with respect to any presidential nominating convention in 
amounts which, in the aggregate, shall not exceed an amount which bears 
the same ratio to the amount which the national committee of a major 
party is entitled to receive under 11 CFR 9008.5 as the number of 
popular votes received in the preceding presidential election by that 
minor party's presidential candidate bears to the average number of 
popular votes received in the preceding presidential election by all of 
the major party presidential candidates.
    (c) Limitation on payments. Payments to the national committee of a 
major party or a minor party under 11 CFR 9008.6 from the account 
designated for such committee shall be limited to the amounts in such 
account at the time of payment.



Sec. 9008.5  Adjustment of entitlement.

    (a) The entitlements established by 11 CFR 9008.4 shall be adjusted 
on the basis of the Consumer Price Index pursuant to the provisions of 2 
U.S.C. 441a(c).
    (b) The entitlements established by 11 CFR 9008.4 shall be adjusted 
so as not to exceed the difference between the expenditure limitations 
of 11 CFR 9008.8(a) and the amount of private contributions received 
under 11 CFR 9008.6(a) by the national committee of a political party. 
Except as provided in 11 CFR 9008.12(b)(7), in calculating these 
adjustments, amounts expended by Government agencies and municipal 
corporations in accordance with 11 CFR 9008.53; in-kind donations by 
businesses to the national committee or convention committee in 
accordance with 11 CFR 9008.9; expenditures by host committees in 
accordance with 11 CFR 9008.52; expenditures to participate in or attend 
the convention under 11 CFR 9008.8(b)(2); and legal and accounting 
services rendered in accordance with 11 CFR 9008.8(b)(4) will not be 
considered private contributions or expenditures counting against the 
limitation.



Sec. 9008.6  Payment and certification procedures.

    (a) Optional payments; private contributions. (1) The national 
committee of a major or minor party may elect to receive all, part, or 
none of the amounts to which it is entitled under 11 CFR 9008.4 and 
9008.5.
    (2) If a national committee of a major or minor party elects to 
receive part of the amounts to which it is entitled under 11 CFR 9008.4 
and 9008.5, or if the Secretary determines there is a deficiency in the 
Fund under 26 U.S.C. 9008(b)(4), the national committee may

[[Page 237]]

receive and use private contributions, so long as the sum of the 
contributions which are used to defray convention expenses and the 
amount of entitlements elected to be received does not exceed the total 
expenditure limitation under 11 CFR 9008.8.
    (3) All private contributions received by the national committee to 
defray convention expenses shall be subject to all reporting 
requirements, limitations and prohibitions of Title 2, United States 
Code. The convention committee may establish a separate account for 
private contributions or may deposit such contributions with payments 
received from the Fund pursuant to paragraph (d) of this section. The 
account(s) shall be maintained at a State bank, federally chartered 
depository institution or other depository institution, the deposits or 
accounts of which are insured by the Federal Deposit Insurance 
Corporation.
    (b) Increase in certified amount. If the application statement is 
filed before it is possible to determine the cost of living increase for 
the year preceding the convention, that amount determined by the 
increase shall be paid to the national committee promptly after the 
increase has been determined.
    (c) Availability of payments. The national committee of a major or 
minor party may receive payments under this section beginning on July 1 
of the calendar year immediately preceding the calendar year in which a 
Presidential nominating convention of the political party involved is 
held.
    (d) Certification of payment. After a national committee has 
properly submitted its application statement and agreement as required 
under 11 CFR 9008.3(a) (3) and (4), and upon receipt of a written 
request, payment of the committee's entitlement will be certified by the 
Commission to the Secretary of the Treasury.



Sec. 9008.7  Use of funds.

    (a) Permissible uses. Any payment made under 11 CFR 9008.6 shall be 
used only for the following purposes:
    (1) Such payment may be used to defray convention expenses 
(including the payment of deposits) incurred by or on behalf of the 
national committee receiving such payments; or
    (2) Such payment may be used to repay the principal and interest, at 
a commercially reasonable rate, on loans the proceeds of which were used 
to defray convention expenses; or
    (3) Such payment may be used to restore funds (including advances 
from the national committee to the convention committee), other than 
contributions to the committee for the purpose of defraying convention 
expenses, where such funds were used to defray convention expenses.
    (4) ``Convention expenses'' include all expenses incurred by or on 
behalf of a political party's national committee or convention committee 
with respect to and for the purpose of conducting a presidential 
nominating convention or convention-related activities. Such expenses 
include, but are not limited to:
    (i) Expenses for preparing, maintaining, and dismantling the 
physical site of the convention, including rental of the hall, platforms 
and seating, decorations, telephones, security, convention hall 
utilities, and other related costs;
    (ii) Salaries and expenses of convention committee employees, 
volunteers and similar personnel, whose responsibilities involve 
planning, management or otherwise conducting the convention;
    (iii) Salary or portion of the salary of any national committee 
employee for any period of time during which, as a major responsibility, 
that employee performs services related to the convention;
    (iv) Expenses of national committee employees, volunteers or other 
similar personnel if those expenses were incurred in the performance of 
services for the convention in addition to the services normally 
rendered to the national committee by such personnel;
    (v) Expenses for conducting meetings of or related to committees 
dealing with the conduct and operation of the convention, such as rules, 
credentials, platform, site, contests, call, arrangements and permanent 
organization committees, including printing materials and rental costs 
for meeting space.
    (vi) Expenses incurred in securing a convention city and facility;

[[Page 238]]

    (vii) Expenses incurred in providing a transportation system in the 
convention city for use by delegates and other persons attending or 
otherwise connected with the convention;
    (viii) Expenses for entertainment activities which are part of the 
official convention activity sponsored by the national committee, 
including but not limited to dinners, concerts, and receptions; except 
that expenses for the following activities are excluded:
    (A) Entertainment activities sponsored by or on behalf of candidates 
for nomination to the office of President or Vice President, or State 
delegations;
    (B) Entertainment activities sponsored by the national committee if 
the purpose of the activity is primarily for national committee 
business, such as fund-raising events, or selection of new national 
committee officers;
    (C) Entertainment activities sponsored by persons other than the 
national committee; and
    (D) Entertainment activities prohibited by law;
    (ix) Expenses for printing convention programs, a journal of 
proceedings, agendas, tickets, badges, passes, and other similar 
publications;
    (x) Administrative and office expenses for conducting the 
convention, including stationery, office supplies, office machines, and 
telephone charges; but excluded from these expenses are the cost of any 
services supplied by the national committee at its headquarters or 
principal office if such services are incidental to the convention and 
not utilized primarily for the convention;
    (xi) Payment of the principal and interest, at a commercially 
reasonable rate, on loans the proceeds of which were used to defray 
convention expenses;
    (xii) Expenses for gifts or monetary bonuses for national committee 
or convention committee employees, volunteers and convention officials 
in recognition for convention-related activities or services, provided 
that the gifts and bonuses do not exceed $150 total per individual, and 
the total for all gifts and bonuses does not exceed $20,000; and
    (xiii) Expenses for producing biographical films, or similar 
materials, for use at the convention, about candidates for nomination or 
election to the office of President or Vice President, but any other 
political committee(s) that use part or all of the biographical films or 
materials shall pay the convention committee for the reasonably 
allocated cost of the biographical films or materials used.
    (5) Any investment of public funds or any other use of public funds 
to generate income is permissible only if the income so generated is 
used to defray convention expenses. Such income, less any tax paid on 
it, shall be repaid to the United States Treasury as provided under 11 
CFR 9008.12(b)(6).
    (b) Prohibited uses. (1) No part of any payment made under 11 CFR 
9008.6 shall be used to defray the expenses of any candidate, delegate, 
or alternate delegate who is participating in any presidential 
nominating convention except that the expenses of a person participating 
in the convention as official personnel of the national party may be 
defrayed with public funds even though that person is simultaneously 
participating as a delegate or candidate to the convention. This part 
shall not prohibit candidates, delegates or alternate delegates who are 
participating in a presidential nominating convention from attending 
official party convention activities including but not limited to 
dinners, concerts and receptions, where such activities are paid for 
with public funds.
    (2) Public funds shall not be used to defray any expense the 
incurring or payment of which violates any law of the United States or 
any law of the State in which such expense is incurred or paid, or any 
regulation prescribed under federal or State laws.
    (3) Public funds shall not be used to pay civil or criminal 
penalties required or agreed to be paid pursuant to 2 U.S.C. 437g. Any 
amounts received or expended by the national committee or convention 
committee of a political party to pay such penalties shall not be 
considered contributions or expenditures, except that such amounts shall 
be reported in accordance with 11 CFR part 104 and shall be subject to 
the prohibitions of 11 CFR 110.4 and parts 114 and 115.
    (c) Lost, misplaced, or stolen items. The cost of lost, misplaced, 
or stolen items

[[Page 239]]

may not be defrayed with public funds under certain circumstances. 
Factors considered by the Commission in making this determination shall 
include, but not be limited to, whether the committee demonstrates that 
it made conscientious efforts to safeguard the missing equipment; 
whether the committee sought or obtained insurance on the items; whether 
the committee filed a police report; the type of equipment involved; and 
the number and value of items that were lost.

[59 FR 33616, June 29, 1994 as amended at 64 FR 49363, Sept. 13, 1999]



Sec. 9008.8  Limitation of expenditures.

    (a) National party limitations. (1) Major parties. Except as 
provided by paragraph (a)(3) of this section, the national committee of 
a major party may not incur convention expenses with respect to a 
Presidential nominating convention which, in the aggregate, exceed the 
amount to which such committee is entitled under 11 CFR 9008.4 and 
9008.5.
    (2) Minor parties. Except as provided by paragraph (a)(3) of this 
section, the national committee of a minor party may not incur 
convention expenses with respect to a Presidential nominating convention 
which, in the aggregate, exceed the amount to which the national 
committee of a major party is entitled under 11 CFR 9008.4 and 9008.5.
    (3) Authorization to exceed limitation. The Commission may authorize 
the national committee of a major party or minor party to make 
expenditures for convention expenses, which expenditures exceed the 
limitation established by paragraph (a) (1) or (2) of this section. This 
authorization shall be based upon a determination by the Commission 
that, due to extraordinary and unforeseen circumstances, the 
expenditures are necessary to assure the effective operation of the 
Presidential nominating convention by the committee. Examples of 
``extraordinary and unforeseen circumstances'' include, but are not 
limited to, a natural disaster or a catastrophic occurrence at the 
convention site. In no case, however, will such authorization entitle a 
national committee to receive public funds greater than the entitlement 
specified under 11 CFR 9008.4 and 9008.5. All private contributions 
received to defray expenditures under this paragraph shall be subject to 
all reporting requirements, limitations (except for limitations imposed 
by paragraphs (a) (1) and (2) of this section) and prohibitions of the 
Federal Election Campaign Act (2 U.S.C. 431 et seq.).
    (b) Payments not subject to limit. (1) Host committee expenditures. 
Expenditures made by the host committee shall not be considered 
expenditures by the national committee and shall not count against the 
expenditure limitations of this section provided the funds are spent in 
accordance with 11 CFR 9008.52.
    (2) Expenditures by government agencies and municipal corporations. 
Expenditures made by government agencies and municipal corporations 
shall not be considered expenditures by the national committee and shall 
not count against the expenditure limitations of this section if the 
funds are spent in accordance with the requirements of 11 CFR 9008.53.
    (3) Expenditures to participate in or attend convention. 
Expenditures made by presidential candidates from campaign accounts, by 
delegates, or by any other individual from his or her personal funds for 
the purpose of attending or participating in the convention or 
convention related activities, including, but not limited to the costs 
of transportation, lodging and meals, or by State or local committees of 
a political party on behalf of such delegates or individuals shall not 
be considered expenditures made by or on behalf of the national party, 
and shall therefore not be subject to the overall expenditure 
limitations of this section.
    (4) Legal and accounting services. (i) The payment of compensation 
to an individual by his or her regular employer for legal and accounting 
services rendered to or on behalf of the national committee shall not be 
considered an expenditure and shall not count against the expenditure 
limitations of this section.
    (ii) The payment by the national committee of compensation to any 
individual for legal and accounting services rendered to or on behalf of 
the national committee in connection with

[[Page 240]]

the presidential nominating convention or convention-related activities 
shall not be considered an expenditure and shall not count against the 
expenditure limitations of this section provided that:
    (A) The legal and accounting services relate solely to compliance 
with the Federal Election Campaign Act (2 U.S.C. 431, et seq.) and the 
Presidential Election Campaign Fund Act (26 U.S.C. Chapter 95); and
    (B) The contributions raised to pay for the legal and accounting 
services comply with the limitations and prohibitions of 11 CFR parts 
110, 114 and 115. These contributions, when aggregated with other 
contributions from the same contributor to the political committees 
established and maintained by the national political party, shall not 
exceed $20,000 per person, and $15,000 per multicandidate political 
committee in any calendar year.
    (iii) The convention committee shall report contributions received 
to pay for legal and accounting services on a separate Schedule A, and 
shall report payments for legal and accounting services on a separate 
Schedule B, attached to its reports.
    (5) Computerized information. Payments to defray the costs of 
producing, delivering and explaining the computerized information and 
materials provided pursuant to 11 CFR 9008.10(h), and explaining the 
operation of the computer system's software, shall not be considered 
expenditures and shall not count against the expenditure limitations of 
this section, provided that the contributions raised to pay these 
expenses comply with the limitations and prohibitions of 11 CFR parts 
110, 114 and 115.



Sec. 9008.9  Receipt of goods and services from commercial vendors.

    Commercial vendors may sell, lease, rent or provide their goods or 
services to the national committee with respect to a presidential 
nominating convention at reduced or discounted rates, or at no charge, 
provided that the requirements of either paragraph (a), paragraph (b), 
or paragraph (c) of this section are met. For purposes of this section, 
commercial vendor shall have the same meaning as provided in 11 CFR 
116.1(c).
    (a) Standard reductions or discounts. A commercial vendor may 
provide reductions or discounts in the ordinary course of business. A 
reduction or discount shall be considered in the ordinary course of 
business if the commercial vendor has an established practice of 
providing the same reductions or discounts for the same amount of its 
goods or services to non-political clients, or if the reduction or 
discount is consistent with established practice in the commercial 
vendor's trade or industry. Examples of reductions or discounts made in 
the ordinary course of business include standard volume discounts and 
reduced rates for corporate, governmental or preferred customers. 
Reductions or discounts provided under paragraph (a) of this section 
need not be reported.
    (b) Items provided for promotional consideration.
    (1) A commercial vendor may provide goods or services in exchange 
for promotional consideration provided that doing so is in the ordinary 
course of business.
    (2) The provision of goods or services shall be considered in the 
ordinary course of business under this paragraph:
    (i) If the commercial vendor has an established practice of 
providing goods or services on a similar scale and on similar terms to 
non-political clients, or
    (ii) If the terms and conditions under which the goods or services 
are provided are consistent with established practice in the commercial 
vendor's trade or industry in similar circumstances.
    (3) In all cases, the value of the goods or services provided shall 
not exceed the commercial benefit reasonably expected to be derived from 
the unique promotional opportunity presented by the national nominating 
convention.
    (4) The convention committee shall maintain documentation showing: 
the goods or services provided; the date(s) on which the goods or 
services were provided, the terms and conditions of the arrangement; and 
what promotional consideration was provided. In addition, the convention 
committee

[[Page 241]]

shall disclose in its report covering the period the goods or services 
are received, in a memo entry, a description of the goods or services 
provided for promotional consideration, the name and address of the 
commercial vendor, and the dates on which the goods or services were 
provided (e.g., ``Generic Motor Co., Detroit, Michigan--ten automobiles 
for use 7/15-7/20, received on 7/14'', or ``Workers Inc., New York, New 
York--five temporary secretarial assistants for use 8/1-8/30, received 
on 8/1'').
    (c) Items of de minimis value. Commercial vendors (including banks) 
may sell at nominal cost, or provide at no charge, items of de minimis 
value, such as samples, discount coupons, maps, pens, pencils, or other 
items included in tote bags for those attending the convention. The 
items of de minimis value may be distributed by or with the help of 
persons employed by the commercial vendor, or employed by or 
volunteering for the national party or a host committee. The value of 
the items of de minimis value provided under this paragraph need not be 
reported.
    (d) Expenditure Limits. The value of goods or services provided 
pursuant to this section will not count toward the national party's 
expenditure limitation under 11 CFR 9008.8(a).



Sec. 9008.10  Documentation of disbursements; net outstanding convention expenses.

    The convention committee must include as part of the evidence of 
convention expenses the following documentation:
    (a) For disbursements in excess of $200 to a payee, either:
    (1) A receipted bill from the payee that states the purpose of the 
disbursement; or
    (2) If such a receipted bill is not available, the following 
documents;
    (i) A canceled check negotiated by the payee; plus
    (ii) One of the following documents generated by the payee--a bill, 
invoice, voucher or contemporaneous memorandum that states the purpose 
of the disbursement;
    (iii) Where the documents specified at paragraph (a)(2)(ii) of this 
section are not available, a voucher or contemporaneous memorandum from 
the committee that states the purpose of the disbursement;
    (3) If neither a receipted bill nor the supporting documentation 
specified in paragraph (a)(2) (ii) or (iii) of this section is 
available, a canceled check negotiated by the payee that states the 
purpose of the disbursement.
    (4) Where the supporting documentation required above is not 
available, the committee may present a canceled check and collateral 
evidence to document the convention expense. Such collateral evidence 
may include but is not limited to:
    (i) Evidence demonstrating that the disbursement is part of an 
identifiable program or project which is otherwise sufficiently 
documented, such as a disbursement which is one of a number of 
documented disbursements relating to the operation of a committee 
office;
    (ii) Evidence that the disbursement is covered by a preestablished 
written committee policy, such as a daily travel expense policy.
    (b) For all other disbursements:
    (1) If from the petty cash fund, a record that states the full name 
and mailing address of the payee and the amount, date and purpose of the 
disbursement; or
    (2) A canceled check which has been negotiated by the payee and 
states the identification of the payee, and the amount and date of the 
disbursement.
    (c) For purposes of this section, payee means the person who 
provides the goods or services to the committee in return for the 
disbursement, except that an individual will be considered a payee under 
this section if he or she receives $2,000 or less advanced for travel 
and/or subsistence and if he or she is the recipient of the goods or 
services purchased.
    (d) For purposes of this section, the term purpose means the full 
name and mailing address of the payee, the date and amount of the 
disbursement, and a brief description of the goods or services 
purchased.
    (e) Upon the request of the Commission the convention committee 
shall supply an explanation of the connection between the disbursement 
and the convention.

[[Page 242]]

    (f) The committee shall retain records with respect to each 
disbursement and receipt, including bank records, vouchers, worksheets, 
receipts, bills and accounts, journals, ledgers, fundraising 
solicitation material, accounting systems documentation, and any related 
material documenting campaign receipts and disbursements, for a period 
of three years pursuant to 11 CFR 102.9(c), and shall present these 
records to the Commission on request.
    (g) Net outstanding convention expenses. A convention committee that 
is eligible to receive payments under 11 CFR 9008.3 shall file, no later 
than sixty days after the last day of the convention, a statement of 
that committee's net outstanding convention expenses. The convention 
committee shall file a revised statement of net outstanding convention 
expenses which shall reflect the financial position of the convention 
committee as of the end of the ninth month following the last day of the 
convention. The revised statement shall be filed no later than 30 
calendar days after the end of the ninth month following the last day of 
the convention, and shall be accompanied by the interim repayment, if 
required under 11 CFR 9008.12(b)(5)(ii). The committee's net outstanding 
convention expenses under this section equal the difference between 
paragraphs (g) (1) and (2) of this section:
    (1) The total of:
    (i) All outstanding obligations for convention expenses as of 45 
days after the last day of the convention; plus
    (ii) An estimate of the amount of convention expenses that will be 
incurred after the 45th day and before the end of the ninth month 
following the last day of the convention; plus
    (iii) An estimate of necessary winding down costs; less
    (2) The total of:
    (i) Cash on hand as of 45 days after the last day of the convention, 
including: all receipts dated on or before that date; currency; balances 
on deposit in banks, savings and loan institutions, and other depository 
institutions; traveler's checks; certificates of deposit; treasury 
bills; and any other committee investments valued at fair market value;
    (ii) The fair market value of capital assets and other assets on 
hand; and
    (iii) Amounts owed to the committee in the form of credits, refunds 
of deposits, returns, receivables, or rebates of convention expenses; or 
a commercially reasonable amount based on the collectibility of those 
credits, returns, receivables or rebates.
    (3) The amount submitted as the total of outstanding convention 
obligations under paragraph (g)(1) of this section shall not include any 
accounts payable for non-convention expenses nor any amounts determined 
or anticipated to be required as a repayment under 11 CFR 9008.12 or any 
amounts paid to secure a surety bond under 11 CFR 9008.14(c).
    (4) Capital assets. For purposes of this section, the term capital 
asset means any property used in the operation of the convention whose 
purchase price exceeded $2000 when acquired by the committee. Property 
that must be valued as capital assets under this section includes, but 
is not limited to, office equipment, furniture, vehicles and fixtures 
acquired for use in the operation of the convention, but does not 
include property defined as ``other assets'' under 11 CFR 9008.10(g)(5). 
A list of all capital assets shall be maintained by the committee, which 
shall include a brief description of each capital asset, the purchase 
price, the date it was acquired, the method of disposition and the 
amount received in disposition. The fair market value of capital assets 
may be considered to be the total original cost of such items when 
acquired less 40%, to account for depreciation. If the committee wishes 
to claim a higher depreciation percentage for an item, it must list that 
capital asset on the statement separately and demonstrate, through 
documentation, the fair market value of each such asset.
    (5) Other assets. The term other assets means any property acquired 
by the committee for use in raising funds or as collateral for loans. 
``Other assets'' must be included on the committee's statement of net 
outstanding convention expenses if the aggregate value of such assets 
exceeds $5000. The value of ``other assets'' shall be determined by the 
fair market value of each item as

[[Page 243]]

of 45 days after the last day of the convention, unless the item is 
acquired after this date, in which case the item shall be valued on the 
date it is acquired. A list of other assets shall be maintained by the 
committee, which shall include a brief description of each such asset, 
the fair market value of each asset, the method of disposition and the 
amount received in disposition.
    (6) Collectibility of accounts receivable. If the committee 
determines that an account receivable of $500 or more, including any 
credit, refund, return or rebate, is not collectible in whole or in 
part, the committee shall demonstrate through documentation that the 
determination was commercially reasonable. The documentation shall 
include records showing the original amount of the account receivable, 
copies of correspondence and memoranda of communications with the debtor 
showing attempts to collect the amount due, and an explanation of how 
the lesser amount or full write-off was determined.
    (7) Winding down costs. The term winding down costs means:
    (i) Costs associated with the termination of the convention such as 
complying with the post-convention requirements of the Act and other 
necessary administrative costs associated with winding down the 
convention, including office space rental, staff salaries and office 
supplies; and
    (ii) Costs incurred by the convention committee prior to 45 days 
after the last day of the convention for which written arrangements or 
commitment was made on or before that date.
    (8) Review of convention committee statement. The Commission will 
review the statement filed by each convention committee under this 
section. The Commission may request further information with respect to 
statements filed pursuant to 11 CFR 9008.10 during the audit of that 
committee under 11 CFR 9008.11.
    (h) Production of computer information--(1) Categories of 
computerized information to be provided. If the convention committee 
maintains or uses computerized information containing any of the 
categories of data listed in paragraphs (h)(1)(i) through (h)(1)(iv) of 
this section, the committee shall provide computerized magnetic media, 
such as magnetic tapes or magnetic diskettes, containing the 
computerized information at the times specified in paragraph (h)(2) of 
this section:
    (i) Information required by law to be maintained regarding the 
committee's receipts or disbursements;
    (ii) Records used to reconcile bank statements;
    (iii) Records relating to the acquisition, use and disposition of 
capital assets; and
    (iv) Any other information that may be used during the Commission's 
audit to review the committee's receipts, disbursements, loans, debts, 
obligations, or bank reconciliations.
    (2) Time for Production. If the committee maintains or uses 
computerized information containing any of the data listed in paragraph 
(h)(1) of this section, the Commission generally will request such 
information prior to commencement of audit fieldwork. Such request will 
be made in writing. The committee shall produce the computerized 
information no later than 15 calendar days after service of such 
request. During or after audit fieldwork, the Commission may request 
additional or updated computerized information which expands the 
coverage dates of computerized information previously provided. During 
or after audit fieldwork, the Commission may also request additional 
computerized information which was created by or becomes available to 
the committee that is of assistance in the Commission's audit. The 
committee shall produce the additional or updated computerized 
information no later than 15 calendar days after service of the 
Commission's request.
    (3) Organization of computerized information and technical 
specifications. The computerized magnetic media shall be prepared and 
delivered at the committee's expense and shall conform to the technical 
specifications, including file requirements, described in the Federal 
Election Commission's Computerized Magnetic Media Requirements for Title 
26 Candidates/Committees Receiving Federal Funding. The data contained 
in the computerized magnetic media provided to the Commission shall be 
organized in the order specified by the

[[Page 244]]

Computerized Magnetic Media Requirements.
    (4) Additional materials and assistance. Upon request, the committee 
shall produce documentation explaining the computer system's software 
capabilities, such as user guides, technical manuals, formats, layouts 
and other materials for processing and analyzing the information 
request. Upon request, the committee shall also make available such 
personnel as are necessary to explain the operation of the computer 
system's software and the computerized information prepared or 
maintained by the committee.



Sec. 9008.11  Examinations and audits.

    The Commission shall conduct an examination and audit of the 
convention committee no later than December 31 of the calendar year of 
the convention and may at any time conduct other examinations and audits 
as it deems necessary. The Commission will follow the same procedures 
during the audit, and will afford the committee the same right to 
respond, as are provided for audits of publicly funded candidates under 
11 CFR 9007.1 and 9038.1.



Sec. 9008.12  Repayments.

    (a) General. (1) A national committee that has received payments 
from the Fund under 11 CFR part 9008 shall pay the United States 
Treasury any amounts which the Commission determines to be repayable 
under this section. In making repayment determinations under this 
section, the Commission may utilize information obtained from audits and 
examinations conducted pursuant to 11 CFR 9008.11 or otherwise obtained 
by the Commission in carrying out its responsibilities under this 
subchapter.
    (2) The Commission will notify the committee of any repayment 
determinations made under this section as soon as possible, but not 
later than 3 years after the last day of the Presidential nominating 
convention. The Commission's issuance of an audit report to the 
committee will constitute notification for purposes of the three year 
period.
    (3) Once the committee receives notice of the Commission's final 
repayment determination under this section, the committee should give 
preference to the repayment over all other outstanding obligations of 
the committee, except for any federal taxes owed by the committee.
    (b) Bases for repayment. The Commission may determine that the 
national committee of a political party that has received payments from 
the Fund must repay the United States Treasury under any of the 
circumstances described below.
    (1) Excess payments. If the Commission determines that any portion 
of the payments to the national committee or convention committee under 
11 CFR 9008.6(b) was in excess of the aggregate payments to which the 
national committee was entitled under 11 CFR 9008.4 and 9008.5, it shall 
so notify the national committee, and the national committee shall pay 
to the Secretary an amount equal to such portion.
    (2) Excessive expenditures. If the Commission determines that the 
national committee or convention committee incurred convention expenses 
in excess of the limitations under 11 CFR 9008.8(a), it shall notify the 
national committee of the amount of such excessive expenditures, and the 
national committee shall pay to the Secretary an amount equal to the 
amount specified.
    (3) Excessive contributions. If the Commission determines that the 
national committee accepted contributions to defray convention expenses 
which, when added to the amount of payments received, exceeds the 
expenditure limitation of such party, it shall notify the national 
committee of the amount of the contributions so accepted, and the 
national committee shall pay to the Secretary an amount equal to the 
amount specified.
    (4) Improper usage or documentation. If the Commission determines 
that any amount of any payment to the national committee or convention 
committee under 11 CFR 9008.6(b) was used for any purposes other than 
the purposes authorized at 11 CFR 9008.7 or was not documented in 
accordance with 11 CFR 9008.10, it shall notify the national committee 
of the amount improperly used or documented and the national committee 
shall pay to the Secretary

[[Page 245]]

an amount equal to the amount specified.
    (5) Unspent funds. (i) If any portion of the payment under 11 CFR 
9008.4 remains unspent after all convention expenses have been paid, 
that portion shall be returned to the Secretary of the Treasury.
    (ii) The national committee or convention committee shall make an 
interim repayment of unspent funds based on the financial position of 
the committee as of the end of the ninth month following the last day of 
the convention, allowing for a reasonable amount as determined by the 
Commission to be withheld for unanticipated contingencies. The interim 
repayment shall be made no later than 30 calendar days after the end of 
the ninth month following the last day of the convention. If, after 
written request by the national committee or convention committee, the 
Commission determines, upon review of evidence presented by either 
committee, that amounts previously refunded are needed to defray 
convention expenses, the Commission shall certify such amount for 
payment.
    (iii) All unspent funds shall be repaid to the U.S. Treasury no 
later than 24 months after the last day of the convention, unless the 
national committee has been granted an extension of time. The Commission 
may grant any extension of time it deems appropriate upon request of the 
national committee.
    (6) Income on investments of payments from the Fund. If the 
Commission determines that the national committee or the convention 
committee received any income as a result of investment or other use of 
payments from the Fund pursuant to 11 CFR 9008.7(a)(5), it shall so 
notify the committee and the committee shall pay to the United States 
Treasury an amount equal to the amount determined to be income, less any 
Federal, State or local taxes on such income.
    (7) The Commission may seek repayment, or may initiate an 
enforcement action, if the convention committee knowingly helps, assists 
or participates in the making of a convention expenditure by the host 
committee, government agency or municipal corporation which is not in 
accordance with 11 CFR 9008.52 or 9008.53, or the acceptance of a 
contribution by the host committee or government agency or municipal 
corporation from an impermissible source, such as a nonlocal business.
    (c) Repayment determination procedures. The Commission will follow 
the same repayment determination procedures, and the committee has the 
same rights and obligations as are provided for repayment determinations 
involving publicly funded candidates under 11 CFR 9007.2 (c) through 
(h).

[59 FR 33616, June 29, 1994, as amended at 60 FR 31880, June 16, 1995]



Sec. 9008.13  Additional audits.

    In accordance with 11 CFR 104.16(c), the Commission, pursuant to 11 
CFR 111.10, may upon affirmative vote of four members conduct an audit 
and field investigation of any committee in any case in which the 
Commission finds reason to believe that a violation of a statute or 
regulation over which the Commission has jurisdiction has occurred or is 
about to occur.



Sec. 9008.14  Petitions for rehearing; stays of repayment determinations.

    Petitions for rehearing following the Commission's repayment 
determination and requests for stays of repayment determinations will be 
governed by the procedures set forth at 11 CFR 9007.5 and 9038.5. The 
Commission will afford convention committees the same rights as are 
provided to publicly funded candidates under 11 CFR 9007.5 and 9038.5.

[64 FR 49363, Sept. 13, 1999]



Sec. 9008.15  Extensions of time.

    (a) It is the policy of the Commission that extensions of time under 
11 CFR part 9008 will not be routinely granted.
    (b) Whenever a committee has a right or is required to take action 
within a period of time prescribed by 11 CFR part 9008 or by notice 
given thereunder, the committee may apply in writing to the Commission 
for an extension of time in which to exercise such right or take such 
action. The committee shall demonstrate in the application for extension 
that good cause exists for its request.

[[Page 246]]

    (c) An application for extension of time shall be made at least 7 
calendar days prior to the expiration of the time period for which the 
extension is sought. The Commission may, upon a showing of good cause, 
grant an extension of time to a committee that has applied for such 
extension in a timely manner. The length of time of any extension 
granted hereunder shall be decided by the Commission and may be less 
than the amount of time sought by the committee in its application.
    (d) If a committee fails to seek an extension of time, exercise a 
right or take a required action prior to the expiration of a time period 
prescribed by 11 CFR part 9008, the Commission may, on the committee's 
showing of excusable neglect:
    (1) Permit such committee to exercise its right(s), or take such 
required action(s) after the expiration of the prescribed time period; 
and
    (2) Take into consideration any information obtained in connection 
with the exercise of any such right or taking of any such action before 
making decisions or determinations under 11 CFR part 9008.



Sec. 9008.16  Stale-dated committee checks.

    If the committee has checks outstanding that have not been cashed, 
the committee shall notify the Commission. The committee shall inform 
the Commission of its efforts to locate the payees, if such efforts have 
been necessary, and its efforts to encourage the payees to cash the 
outstanding checks. The committee shall also submit a check for the 
total amount of such outstanding checks, payable to the United States 
Treasury.



 Subpart B--Host Committees Representing a Convention City; Convention 
     Expenditures by Government Agencies and Municipal Corporations



Sec. 9008.50  Scope.

    Subpart B governs registration and reporting by host committees 
representing convention cities and by government agencies and 
municipalities. Unsuccessful efforts to attract a convention need not be 
reported by any city, committee or other organization. Subpart B also 
describes permissible sources of funds and other permissible donations 
to host committees, government agencies and municipal corporations. In 
addition, subpart B describes permissible expenditures by government 
agencies, municipal corporations and host committees to defray 
convention expenses and to promote the convention city and its commerce.



Sec. 9008.51  Registration and reports.

    (a) Registration by host committees. (1) Each committee, including a 
host committee, 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 with the Commission on the Convention Registration Form within 
10 days of the date on which such party chooses the convention city. The 
following information shall be required of the registrant: the name and 
address; the name and address of its officers; and a list of the 
activities which the registering entity plans to undertake in connection 
with the convention.
    (2) Any such committee, organization or group which is unsuccessful 
in its efforts to attract the convention to a city need not register 
under this section.
    (b) Post-convention and quarterly reports by host committees; 
content and time of filing. (1) Each committee, organization or group 
required to register under this section shall file a post convention 
report with the Commission on FEC Form 4. The report shall be filed on 
the earlier of: 60 days following the last day the convention is 
officially in session; or 20 days prior to the presidential general 
election. This report shall disclose all receipts and disbursements, 
including in-kind contributions, made with respect to a presidential 
nominating convention.
    (2) If such committee, organization or group has receipts or makes 
disbursements after the completion date of the post convention report, 
it shall begin to file quarterly reports no later

[[Page 247]]

than 15 days after the end of the following calendar quarter. This 
report shall disclose all transactions completed as of the close of that 
calendar quarter. Quarterly reports shall be filed thereafter until the 
committee, organization or group ceases all activity which must be 
reported under this section.
    (3) Such committee, organization or group shall file a final report 
with the Commission not later than 10 days after it ceases activity 
which must be reported under this section, unless such status is 
reflected in either the post convention report or a quarterly report.
    (c) Registration and post-convention statements by municipalities 
and local government agencies. Each 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 file, by letter, a statement with the Commission 
reporting the total amount spent to provide facilities and services for 
the convention under 11 CFR 9008.53(c), a list of the categories of 
facilities and services the municipality or government agency provided 
for the convention, the total amount spent for each category of 
facilities and services provided, the total amount defrayed from general 
revenues, and the total amount of all private donations received to 
defray these expenses. This statement shall be filed on the earlier of: 
60 days following the last day the convention is officially in session; 
or 20 days prior to the presidential general election. Categories of 
facilities and services may include construction, security, 
communications, transportation, utilities, clean up, meeting rooms and 
accommodations.



Sec. 9008.52  Receipts and disbursements of host committees.

    (a) Definition of host committee. A host committee includes any 
local organization, such as a local civic association, business league, 
chamber of commerce, real estate board, board of trade, or convention 
bureau: Which is not organized for profit; whose net earnings do not 
inure to the benefit of any private shareholder or individual; and whose 
principal objective is the encouragement of commerce in the convention 
city, as well as the projection of a favorable image of the city to 
convention attendees. A host committee must register in accordance with 
11 CFR 9008.51.
    (b) Receipt of goods or services from commercial vendors. Host 
committees may accept goods or services from commercial vendors under 
the same terms and conditions (including reporting requirements) set 
forth at 11 CFR 9008.9 for convention committees.
    (c) Receipt of donations from local businesses and organizations. 
(1) Local businesses (including banks), local labor organizations, and 
other local organizations or individuals who maintain a local residence 
or who work for a local business, local labor organization, or local 
organization may donate funds or make in-kind donations to a host 
committee to be used for the following purposes:
    (i) To defray those expenses incurred for the purpose of promoting 
the suitability of the city as a convention site;
    (ii) To defray those expenses incurred for welcoming the convention 
attendees to the city, such as expenses for information booths, 
receptions, and tours;
    (iii) To defray those expenses incurred in facilitating commerce, 
such as providing the convention and attendees with shopping and 
entertainment guides and distributing the samples and promotional 
material specified in 11 CFR 9008.9(c);
    (iv) To defray the administrative expenses incurred by the host 
committee, such as salaries, rent, travel, and liability insurance;
    (v) To provide the national committee use of an auditorium or 
convention center and to provide construction and convention related 
services for that location such as: construction of podiums; press 
tables; false floors, camera platforms; additional seating; lighting, 
electrical, air conditioning and loudspeaker systems; offices; office 
equipment; and decorations;
    (vi) To defray the costs of various local transportation services, 
including the provision of buses and automobiles;

[[Page 248]]

    (vii) To defray the costs of law enforcement services necessary to 
assure orderly conventions;
    (viii) To defray the cost of using convention bureau personnel to 
provide central housing and reservation services;
    (ix) To provide hotel rooms at no charge or a reduced rate on the 
basis of the number of rooms actually booked for the convention;
    (x) To provide accommodations and hospitality for committees of the 
parties responsible for choosing the sites of the conventions; and
    (xi) To provide other similar convention-related facilities and 
services.
    (2) For purposes of this section, any business (including a branch 
of a national or regional chain, a franchise, or a licensed dealer) or 
labor organization or other organization with offices or facilities 
located within the Metropolitan Area (MA) of the convention city shall 
be considered local. There shall be a rebuttable presumption that any 
such entity located outside the MA is not local. This presumption may be 
rebutted by a showing that the volume of business or activity in an area 
lying outside the MA would be directly affected by the presence of the 
convention.

[59 FR 33616, June 29, 1994, as amended at 64 FR 49363, Sept. 13, 1999]



Sec. 9008.53  Receipts and disbursements of government agencies and municipal corporations.

    (a) Receipt of goods and services provided by commercial vendors. 
Government agencies and municipal corporations may accept goods or 
services from commercial vendors for convention uses under the same 
terms and conditions (except reporting requirements) set forth at 11 CFR 
9008.9 for convention committees.
    (b) Receipt of donations to a separate fund or account. (1) Local 
businesses (including banks), local labor organizations, and other local 
organizations or individuals who maintain a local residence or who work 
for a local business, local labor organization, or local organization 
may donate funds or make in-kind donations to a separate fund or account 
of a government agency or municipality to pay for expenses listed in 11 
CFR 9008.52(c), provided that:
    (i) The fund or account is not restricted to use in connection with 
any particular convention; and
    (ii) Donations to the fund or account are unrestricted and are not 
solicited or designated for use in connection with any particular 
convention, event or activity.
    (2) For purposes of this section, any business (including a branch 
of a national or regional chain, a franchise, or a licensed dealer) or 
labor organization or other organization with offices or facilities 
located within the Metropolitan Area (MA) of the convention city shall 
be considered local. There shall be a rebuttable presumption that any 
such entity located outside the MA is not local. This presumption may be 
rebutted by a showing that the volume of business of activity in an area 
lying outside the MA would be directly affected by the presence of the 
convention.

[59 FR 33616, June 29, 1994, as amended at 64 FR 49363, Sept. 13, 1999]



Sec. 9008.54  Examinations and audits.

    The Commission shall conduct an examination and audit of each host 
committee registered under 11 CFR 9008.51. The Commission will follow 
the same procedures during the audit, and will afford the committee the 
same right to respond, as are provided for audits of publicly funded 
candidates under 11 CFR 9007.1 and 9038.1, except that the Commission 
will not make any repayment calculations under this section.

                       PARTS 9009-9011 [RESERVED]



PART 9012--UNAUTHORIZED EXPENDITURES AND CONTRIBUTIONS--Table of Contents




Sec.
9012.1  Excessive expenses.
9012.2  Unauthorized acceptance of contributions.
9012.3  Unlawful use of payments received from the Fund.
9012.4  Unlawful misrepresentations and falsification of statements, 
          records or other evidence to the Commission; refusal to 
          furnish books and records.
9012.5  Kickbacks and illegal payments.


[[Page 249]]


    Authority: 26 U.S.C. 9012.

    Source: 56 FR 35928, July 29, 1991, unless otherwise noted.



Sec. 9012.1  Excessive expenses.

    (a) It shall be unlawful for an eligible candidate of a political 
party for President and Vice President in a Presidential election or the 
candidate's authorized committee(s) knowingly and willfully to incur 
qualified campaign expenses in excess of the aggregate payments to which 
the eligible candidates of a major party are entitled under 11 CFR part 
9004 with respect to such election.
    (b) It shall be unlawful for the national committee of a major or 
minor party knowingly and willfully to incur expenses with respect to a 
presidential nominating convention in excess of the expenditure 
limitation applicable with respect to such committee under 11 CFR part 
9008, unless the incurring of such expenses is authorized by the 
Commission under 11 CFR 9008.7(a)(3).



Sec. 9012.2  Unauthorized acceptance of contributions.

    (a) It shall be unlawful for an eligible candidate of a major party 
in a Presidential election or any of his or her authorized committees 
knowingly and willfully to accept any contribution to defray qualified 
campaign expenses, except to the extent necessary to make up any 
deficiency in payments received from the Fund due to the application of 
11 CFR 9005.2(b), or to defray expenses which would be qualified 
campaign expenses but for 11 CFR 9002.11(a)(3).
    (b) It shall be unlawful for an eligible candidate of a political 
party (other than a major party) in a Presidential election or any of 
his or her authorized committees knowingly and willfully to accept and 
expend or retain contributions to defray qualified campaign expenses in 
an amount which exceeds the qualified campaign expenses incurred in that 
election by that eligible candidate or his or her authorized 
committee(s).



Sec. 9012.3  Unlawful use of payments received from the Fund.

    (a) It shall be unlawful for any person who receives any payment 
under 11 CFR part 9005, or to whom any portion of any payment so 
received is transferred, knowingly and willfully to use, or authorize 
the use of, such payment or any portion thereof for any purpose other 
than--
    (1) To defray the qualified campaign expenses with respect to which 
such payment was made; or
    (2) To repay loans the proceeds of which were used, or otherwise to 
restore funds (other than contributions to defray qualified campaign 
expenses which were received and expended) which were used, to defray 
such qualified campaign expenses.
    (b) It shall be unlawful for the national committee of a major or 
minor party which receives any payment under 11 CFR part 9008 to use, or 
authorize the use of, such payment for any purpose other than a purpose 
authorized by 11 CFR 9008.6.



Sec. 9012.4  Unlawful misrepresentations and falsification of statements, records or other evidence to the Commission; refusal to furnish books and records.

    It shall be unlawful for any person knowingly and willfully--
    (a) To furnish any false, fictitious, or fraudulent evidence, books 
or information to the Commission under 11 CFR parts 9001-9008, or to 
include in any evidence, books or information so furnished any 
misrepresentation of a material fact, or to falsify or conceal any 
evidence, books or information relevant to a certification by the 
Commission or any examination and audit by the Commission under 11 CFR 
parts 9001 et seq.; or
    (b) To fail to furnish to the Commission any records, books or 
information requested by the Commission for purposes of 11 CFR parts 
9001 et seq.



Sec. 9012.5  Kickbacks and illegal payments.

    (a) It shall be unlawful for any person knowingly and willfully to 
give or accept any kickback or any illegal payment in connection with 
any qualified campaign expenses of any eligible candidate or his or her 
authorized committee(s).
    (b) It shall be unlawful for the national committee of a major or 
minor party knowingly and willfully to give or accept any kickback or 
any illegal

[[Page 250]]

payment in connection with any expense incurred by such committee with 
respect to a Presidential nominating convention.

[[Page 251]]





SUBCHAPTER F--PRESIDENTIAL ELECTION CAMPAIGN FUND: PRESIDENTIAL PRIMARY 
                              MATCHING FUND



PART 9031--SCOPE--Table of Contents




    Authority: 26 U.S.C. 9031 and 9039(b).



Sec. 9031.1  Scope.

    This subchapter governs entitlement to and use of funds certified 
from the Presidential Primary Matching Payment Account under 26 U.S.C. 
9031 et seq. The definitions, restrictions, liabilities and obligations 
imposed by this subchapter are in addition to those imposed by sections 
431-455 of title 2, United States Code, and regulations prescribed 
thereunder (11 CFR part 100 through 116). Unless expressly stated to the 
contrary, this subchapter does not alter the effect of any definitions, 
restrictions, obligations and liabilities imposed by sections 431-455 of 
title 2, United States Code, or regulations prescribed thereunder (11 
CFR parts 100 through 116).

[56 FR 35929, July 29, 1991]



PART 9032--DEFINITIONS--Table of Contents




Sec.
9032.1  Authorized committee.
9032.2  Candidate.
9032.3  Commission.
9032.4  Contribution.
9032.5  Matching payment account.
9032.6  Matching payment period.
9032.7  Primary election.
9032.8  Political committee.
9032.9  Qualified campaign expense.
9032.10  Secretary.
9032.11  State.

    Authority: 26 U.S.C. 9032 and 9039(b).

    Source: 56 FR 35929, July 29, 1991, unless otherwise noted.



Sec. 9032.1  Authorized committee.

    (a) Notwithstanding the definition at 11 CFR 100.5, authorized 
committee means with respect to candidates (as defined at 11 CFR 9032.2) 
seeking the nomination of a political party for the office of President, 
any political committee that is authorized by a candidate to solicit or 
receive contributions or to incur expenditures on behalf of the 
candidate. The term authorized committee includes the candidate's 
principal campaign committee designated in accordance with 11 CFR 
102.12, any political committee authorized in writing by the candidate 
in accordance with 11 CFR 102.13, and any political committee not 
disavowed by the candidate in writing pursuant to 11 CFR 100.3(a)(3).
    (b) Any withdrawal of an authorization shall be in writing and shall 
be addressed and filed in the same manner provided for at 11 CFR 102.12 
or 102.13.
    (c) For the purposes of this subchapter, references to the 
``candidate'' and his or her responsibilities under this subchapter 
shall also be deemed to refer to the candidate's authorized 
committee(s).
    (d) An expenditure by an authorized committee on behalf of the 
candidate who authorized the committee cannot qualify as an independent 
expenditure.
    (e) A delegate committee, as defined in 11 CFR 100.5(e)(5), is not 
an authorized committee of a candidate unless it also meets the 
requirements of 11 CFR 9032.1(a). Expenditures by delegate committees on 
behalf of a candidate may count against that candidate's expenditure 
limitation under the circumstances set forth in 11 CFR 110.14.



Sec. 9032.2  Candidate.

    Candidate means an individual who seeks nomination for election to 
the office of President of the United States. An individual is 
considered to seek nomination for election if he or she--
    (a) Takes the action necessary under the law of a State to qualify 
for a caucus, convention, primary election or run-off election;
    (b) Receives contributions or incurs qualified campaign expenses;
    (c) Gives consent to any other person to receive contributions or to 
incur qualified campaign expenses on his or her behalf; or
    (d) Receives written notification from the Commission that any other 
person is receiving contributions or

[[Page 252]]

making expenditures on the individual's behalf and fails to disavow that 
activity by letter to the Commission within 30 calendar days after 
receipt of notification.



Sec. 9032.3  Commission.

    Commission means the Federal Election Commission, 999 E Street NW., 
Washington, DC 20463.



Sec. 9032.4  Contribution.

    For purposes of this subchapter, contribution has the same meaning 
given the term under 2 U.S.C. 431(8)(A) and 11 CFR 100.7, except as 
provided at 11 CFR 9034.4(b)(4).



Sec. 9032.5  Matching payment account.

    Matching payment account means the Presidential Primary Matching 
Payment Account established by the Secretary of the Treasury under 26 
U.S.C. 9037(a).



Sec. 9032.6  Matching payment period.

    Matching payment period means the period beginning January 1 of the 
calendar year in which a Presidential general election is held and may 
not exceed one of the following dates:
    (a) For a candidate seeking the nomination of a party which 
nominates its Presidential candidate at a national convention, the date 
on which the party nominates its candidate.
    (b) For a candidate seeking the nomination of a party which does not 
make its nomination at a national convention, the earlier of--
    (1) The date the party nominates its Presidential candidate, or
    (2) The last day of the last national convention held by a major 
party in the calendar year.



Sec. 9032.7  Primary election.

    (a) Primary election means an election held by a State or a 
political party, including a run-off election, or a nominating 
convention or a caucus--
    (1) For the selection of delegates to a national nominating 
convention of a political party;
    (2) For the expression of a preference for the nomination of 
Presidential candidates;
    (3) For the purposes stated in both paragraphs (a) (1) and (2) of 
this section; or
    (4) To nominate a Presidential candidate.
    (b) If separate primary elections are held in a State by the State 
and a political party, the primary election for the purposes of this 
subchapter will be the election held by the political party.



Sec. 9032.8  Political committee.

    Political committee means any committee, club, association, 
organization or other group of persons (whether or not incorporated) 
which accepts contributions or incurs qualified campaign expenses for 
the purpose of influencing, or attempting to influence, the nomination 
of any individual for election to the office of President of the United 
States.



Sec. 9032.9  Qualified campaign expense.

    (a) Qualified campaign expense means a purchase, payment, 
distribution, loan, advance, deposit, or gift of money or anything of 
value--
    (1) Incurred by or on behalf of a candidate or his or her authorized 
committees from the date the individual becomes a candidate through the 
last day of the candidate's eligibility as determined under 11 CFR 
9033.5;
    (2) Made in connection with his or her campaign for nomination; and
    (3) Neither the incurrence nor payment of which constitutes a 
violation of any law of the United States or of any law of any State in 
which the expense is incurred or paid, or of any regulation prescribed 
under such law of the United States or of any State, except that any 
State law which has been preempted by the Federal Election Campaign Act 
of 1971, as amended, will not be considered a State law for purposes of 
this subchapter.
    (b) An expenditure is made on behalf of a candidate, including a 
Vice Presidential candidate, if it is made by--
    (1) An authorized committee or any other agent of the candidate for 
purposes of making an expenditure;
    (2) Any person authorized or requested by the candidate, an 
authorized committee of the candidate, or an agent of the candidate to 
make the expenditure; or

[[Page 253]]

    (3) A committee which has been requested by the candidate, by an 
authorized committee of the candidate, or by an agent of the candidate 
to make the expenditure, even though such committee is not authorized in 
writing.
    (c) Except as provided in 11 CFR 9034.4(e), expenditures incurred 
either before the beginning of the expenditure report period or after 
the last day of a candidate's eligibility will be considered qualified 
campaign expenses if they meet the provisions of 11 CFR 9034.4(a). 
Expenditures described under 11 CFR 9034.4(b) will not be considered 
qualified campaign expenses.

[56 FR 35929, July 29, 1991, as amended at 60 FR 31880, June 16, 1995]



Sec. 9032.10  Secretary.

    For purposes of this subchapter, Secretary means the Secretary of 
the Treasury.



Sec. 9032.11  State.

    State means each State of the United States, Puerto Rico, American 
Samoa, the Virgin Islands, the District of Columbia, and Guam.

[64 FR 49363, Sept. 13, 1999]



PART 9033--ELIGIBILITY FOR PAYMENTS--Table of Contents




Sec.
9033.1  Candidate and committee agreements.
9033.2  Candidate and committee certifications; threshold submission.
9033.3  Expenditure limitation certification.
9033.4  Matching payment eligibility threshold requirements.
9033.5  Determination of ineligibility date.
9033.6  Determination of inactive candidacy.
9033.7  Determination of active candidacy.
9033.8  Reestablishment of eligibility.
9033.9  Failure to comply with disclosure requirements or expenditure 
          limitations.
9033.10  Procedures for initial and final determinations.
9033.11  Documentation of disbursements.
9033.12  Production of computerized information.

    Authority: 26 U.S.C. 9003(e), 9033 and 9039(b).

    Source: 56 FR 35930, July 29, 1991, unless otherwise noted.



Sec. 9033.1  Candidate and committee agreements.

    (a) General. (1) A candidate seeking to become eligible to receive 
Presidential primary matching fund payments shall agree in a letter 
signed by the candidate to the Commission that the candidate and the 
candidate's authorized committee(s) will comply with the conditions set 
forth in 11 CFR 9033.1(b). The candidate may submit the letter 
containing the agreements required by this section at any time after 
January 1 of the year immediately preceding the Presidential election 
year.
    (2) The Commission will not consider a candidate's threshold 
submission until the candidate has submitted a candidate agreement that 
meets the requirements of this section.
    (b) Conditions. The candidate shall agree that:
    (1) The candidate has the burden of proving that disbursements by 
the candidate or any authorized committee(s) or agents thereof are 
qualified campaign expenses as defined at 11 CFR 9032.9.
    (2) The candidate and the candidate's authorized committee(s) will 
comply with the documentation requirements set forth in 11 CFR 9033.11.
    (3) The candidate and the candidate's authorized committee(s) will 
provide an explanation, in addition to complying with the documentation 
requirements, of the connection between any disbursements made by the 
candidate or authorized committee(s) of the candidate and the campaign 
if requested by the Commission.
    (4) The candidate and the candidate's authorized committee(s) will 
keep and furnish to the Commission all documentation for matching fund 
submissions, any books, records (including bank records for all 
accounts), and supporting documentation and other information that the 
Commission may request.
    (5) The candidate and the candidate's authorized committee(s) will 
keep and furnish to the Commission all documentation relating to 
disbursements and receipts including any books, records (including bank 
records for all accounts), all documentation required by this section 
(including those required to be maintained under 11 CFR

[[Page 254]]

9033.11), and other information that the Commission may request. If the 
candidate or the candidate's authorized committee maintains or uses 
computerized information containing any of the categories of data listed 
in 11 CFR 9033.12(a), the committee will provide computerized magnetic 
media, such as magnetic tapes or magnetic diskettes, containing the 
computerized information at the times specified in 11 CFR 9038.1(b)(1) 
that meet the requirements of 11 CFR 9033.12(b). Upon request, 
documentation explaining the computer system's software capabilities 
shall be provided, and such personnel as are necessary to explain the 
operation of the computer system's software and the computerized 
information prepared or maintained by the committee shall be made 
available.
    (6) The candidate and the candidate's authorized committee(s) will 
obtain and furnish to the Commission upon request all documentation 
relating to funds received and disbursements made on the candidate's 
behalf by other political committees and organizations associated with 
the candidate.
    (7) The candidate and the candidate's authorized committee(s) will 
permit an audit and examination pursuant to 11 CFR part 9038 of all 
receipts and disbursements including those made by the candidate, all 
authorized committee(s) and any agent or person authorized to make 
expenditures on behalf of the candidate or committee(s). The candidate 
and the candidate's authorized committee(s) shall also provide any 
material required in connection with an audit, investigation, or 
examination conducted pursuant to 11 CFR part 9039. The candidate and 
authorized committee(s) shall facilitate the audit by making available 
in one central location, office space, records and such personnel as are 
necessary to conduct the audit and examination, and shall pay any 
amounts required to be repaid under 11 CFR parts 9038 and 9039.
    (8) The candidate and the candidate's authorized committee(s) will 
submit the name and mailing address of the person who is entitled to 
receive matching fund payments on behalf of the candidate and the name 
and address of the campaign depository designated by the candidate as 
required by 11 CFR part 103 and 11 CFR 9037.3. Changes in the 
information required by this paragraph shall not be effective until 
submitted to the Commission in a letter signed by the candidate or the 
Committee treasurer.
    (9) The candidate and the candidate's authorized committee(s) will 
prepare matching fund submissions in accordance with the Federal 
Election Commission's Guideline for Presentation in Good Order.
    (10) The candidate and the candidate's authorized committee(s) will 
comply with the applicable requirements of 2 U.S.C. 431 et seq.; 26 
U.S.C. 9031 et seq. and the Commission's regulations at 11 CFR parts 
100-116, and 9031-9039.
    (11) The candidate and the candidate's authorized committee(s) will 
pay an civil penalties included in a conciliation agreement or otherwise 
imposed under 2 U.S.C. 437g against the candidate, any authorized 
committees of the candidate or any agent thereof.
    (12) Any television commercial prepared or distributed by the 
candidate or the candidate's authorized committee(s) will be prepared in 
a manner which ensures that the commercial contains or is accompanied by 
closed captioning of the oral content of the commercial to be broadcast 
in line 21 of the vertical blanking interval, or is capable of being 
viewed by deaf and hearing impaired individuals via any comparable 
successor technology to line 21 of the vertical blanking interval.

[56 FR 35930, July 29, 1991, as amended at 60 FR 31880, June 16, 1995; 
63 FR 45680, Aug. 27, 1998, 65 FR 38424, June 21, 2000]



Sec. 9033.2  Candidate and committee certifications; threshold submission.

    (a) General. (1) A candidate seeking to become eligible to receive 
Presidential primary matching fund payments shall make the 
certifications set forth in 11 CFR 9033.2(b) to the Commission in a 
written statement signed by the candidate. The candidate may submit the 
letter containing the required certifications at any time after January 
1 of the year immediately preceding the Presidential election year.

[[Page 255]]

    (2) The Commission will not consider a candidate's threshold 
submission until the candidate has submitted candidate certifications 
that meet the requirements of this section.
    (b) Certifications. (1) The candidate shall certify that he or she 
is seeking nomination by a political party to the Office of President in 
more than one State. For purposes of this section, in order for a 
candidate to be deemed to be seeking nomination by a political party to 
the office of President, the party whose nomination the candidate seeks 
must have a procedure for holding a primary election, as defined in 11 
CFR 9032.7, for nomination to that office. For purposes of this section, 
the term political party means an association, committee or organization 
which nominates an individual for election to the office of President. 
The fact that an association, committee or organization qualifies as a 
political party under this section does not affect the party's status as 
a national political party for purposes of 2 U.S.C. 441a(a)(1)(B) and 
441a(a)(2)(B).
    (2) The candidate and the candidate's authorized committee(s) shall 
certify that they have not incurred and will not incur expenditures in 
connection with the candidate's campaign for nomination, which 
expenditures are in excess of the limitations under 11 CFR part 9035.
    (3) The candidate and the candidate's authorized committee(s) shall 
certify:
    (i) That they have received matchable contributions totaling more 
than $5,000 in each of at least 20 States; and
    (ii) That the matchable contributions are from individuals who are 
residents of the State for which their contributions are submitted.
    (iii) A maximum of $250 of each individual's aggregate contributions 
will be considered as matchable contributions for the purpose of meeting 
the thresholds of this section.
    (iv) For purposes of this section, contributions of an individual 
who maintains residences in more than one State may only be counted 
toward the $5,000 threshold for the State from which the earliest 
contribution was made by that contributor.
    (c) Threshold submission. To become eligible to receive matching 
payments, the candidate shall submit documentation of the contributions 
described in 11 CFR 9033.2(b)(3) to the Commission for review. The 
submission shall follow the format and requirements of 11 CFR 9036.1.



Sec. 9033.3  Expenditure limitation certification.

    (a) If the Commission makes an initial determination that a 
candidate or the candidate's authorized committee(s) have knowingly and 
substantially exceeded the expenditure limitations at 11 CFR part 9035 
prior to that candidate's application for certification, the Commission 
may make an initial determination that the candidate is ineligible to 
receive matching funds.
    (b) The Commission will notify the candidate of its initial 
determination, in accordance with the procedures outlined in 11 CFR 
9033.10(b). The candidate may submit, within 20 calendar days after 
service of the Commission's notice, written legal or factual materials, 
in accordance with 11 CFR 9033.10(b), demonstrating that he or she has 
not knowingly and substantially exceeded the expenditure limitations at 
11 CFR part 9035.
    (c) A final determination of the candidate's ineligibility will be 
made by the Commission in accordance with the procedures outlined in 11 
CFR 9033.10(c).
    (d) A candidate who receives a final determination of ineligibility 
under 11 CFR 9033.3(c) shall be ineligible to receive matching fund 
payments under 11 CFR 9034.1.



Sec. 9033.4  Matching payment eligibility threshold requirements.

    (a) The Commission will examine the submission made under 11 CFR 
9033.1 and 9033.2 and either--
    (1) Make a determination that the candidate has satisfied the 
minimum contribution threshold requirements under 11 CFR 9033.2(c); or
    (2) Make an initial determination that the candidate has failed to 
satisfy the matching payment threshold requirements. The Commission will 
notify the candidate of its initial determination in accordance with the 
procedures outlined in 11 CFR 9033.10(b). The

[[Page 256]]

candidate may, within 30 calendar days after service of the Commission's 
notice, satisfy the threshold requirements or submit in accordance with 
11 CFR 9033.10(b) written legal or factual materials to demonstrate that 
he or she has satisfied those requirements. A final determination by the 
Commission that the candidate has failed to satisfy threshold 
requirements will be made in accordance with the procedures outlined in 
11 CFR 9033.10(c).
    (b) The Commission will make its examination and determination under 
this section as soon as practicable. During the Presidential election 
year, the Commission will generally complete its review and make its 
determination within 15 business days.

[56 FR 35930, July 29, 1991, as amended at 60 FR 31881, June 16, 1995]



Sec. 9033.5  Determination of ineligibility date.

    The candidate's date of ineligibility shall be whichever date by 
operation of 11 CFR 9033.5 (a), (b), or (c) occurs first. After the 
candidate's date of ineligibility, he or she may only receive matching 
payments to the extent that he or she has net outstanding campaign 
obligations as defined in 11 CFR 9034.5.
    (a) Inactive candidate. The ineligibility date shall be the day on 
which an individual ceases to be a candidate because he or she is not 
actively conducting campaigns in more than one State in connection with 
seeking the Presidential nomination. This date shall be the earliest 
of--
    (1) The date the candidate publicly announces that he or she will 
not be actively conducting campaigns in more than one State; or
    (2) The date the candidate notifies the Commission by letter that he 
or she is not actively conducting campaigns in more than one State; or
    (3) The date which the Commission determines under 11 CFR 9033.6 to 
be the date that the candidate is not actively seeking election in more 
than one State.
    (b) Insufficient votes. The ineligibility date shall be the 30th day 
following the date of the second consecutive primary election in which 
such individual receives less than 10 percent of the number of popular 
votes cast for all candidates of the same party for the same office in 
that primary election, if the candidate permitted or authorized his or 
her name to appear on the ballot, unless the candidate certifies to the 
Commission at least 25 business days prior to the primary that he or she 
will not be an active candidate in the primary involved.
    (1) The Commission may refuse to accept the candidate's 
certification if it determines under 11 CFR 9033.7 that the candidate is 
an active candidate in the primary involved.
    (2) For purposes of this paragraph, if the candidate is running in 
two primary elections in different States on the same date, the highest 
percentage of votes the candidate receives in any one State will govern. 
Separate primary elections held in more than one State on the same date 
are not deemed to be consecutive primaries. If two primary elections are 
held on the same date in the same State (e.g., a primary to select 
delegates to a national nominating convention and a primary for the 
expression of preference for the nomination of candidates for election 
to the office of President), the highest percentage of votes a candidate 
receives in either election will govern. If two or more primaries are 
held in the same State on different dates, the earliest primary will 
govern.
    (3) If the candidate certifies that he or she will not be an active 
candidate in a particular primary, and the Commission accepts the 
candidate's certification, the primary involved shall not be counted in 
determining the candidate's date of ineligibility under paragraph (b) of 
this section, regardless of the percentage of popular votes cast for the 
candidate in that primary.
    (c) End of matching payment period. The ineligibility date shall be 
the last day of the matching payment period for the candidate as 
specified in 11 CFR 9032.6.
    (d) Reestablishment of eligibility. If the Commission has determined 
that a candidate is ineligible under 11 CFR 9033.5 (a) or (b), the 
candidate may reestablish eligibility to receive matching funds under 11 
CFR 9033.8.

[[Page 257]]



Sec. 9033.6  Determination of inactive candidacy.

    (a) General. The Commission may, on the basis of the factors listed 
in 11 CFR 9033.6(b) below, make a determination that a candidate is no 
longer actively seeking nomination for election in more than one State. 
Upon a final determination by the Commission that a candidate is 
inactive, that candidate will become ineligible as provided in 11 CFR 
9033.5.
    (b) Factors considered. In making its determination of inactive 
candidacy, the Commission may consider, but is not limited to 
considering, the following factors:
    (1) The frequency and type of public appearances, speeches, and 
advertisements;
    (2) Campaign activity with respect to soliciting contributions or 
making expenditures for campaign purposes;
    (3) Continued employment of campaign personnel or the use of 
volunteers;
    (4) The release of committed delegates;
    (5) The candidate urges his or her delegates to support another 
candidate while not actually releasing committed delegates;
    (6) The candidate urges supporters to support another candidate.
    (c) Initial determination. The Commission will notify the candidate 
of its initial determination in accordance with the procedures outlined 
in 11 CFR 9033.10(b) and will advise the candidate of the date on which 
active campaigning in more than one State ceased. The candidate may, 
within 15 business days after service of the Commission's notice, submit 
in accordance with 11 CFR 9033.10(b) written legal or factual materials 
to demonstrate that he or she is actively campaigning in more than one 
State.
    (d) Final determination. A final determination of inactive candidacy 
will be made by the Commission in accordance with the procedures 
outlined in 11 CFR 9033.10(c).



Sec. 9033.7  Determination of active candidacy.

    (a) Where a candidate certifies to the Commission under 11 CFR 
9033.5(b) that he or she will not be an active candidate in an upcoming 
primary, the Commission may, nevertheless, on the basis of factors 
listed in 11 CFR 9033.6(b), make an initial determination that the 
candidate is an active candidate in the primary involved.
    (b) The Commission will notify the candidate of its initial 
determination within 10 business days of receiving the candidate's 
certification under 11 CFR 9033.5(b) or, if the timing of the activity 
does not permit notice during the 10 day period, as soon as practicable 
following campaign activity by the candidate in the primary state. The 
Commission's initial determination will be made in accordance with the 
procedures outlined in 11 CFR 9033.10(b). Within 10 business days after 
service of the Commission's notice the candidate may submit, in 
accordance with 11 CFR 9033.10(b), written legal or factual materials to 
demonstrate that he or she is not an active candidate in the primary 
involved.
    (c) A final determination by the Commission that the candidate is 
active will be made in accordance with the procedures outlined in 11 CFR 
9033.10(c).



Sec. 9033.8  Reestablishment of eligibility.

    (a) Candidates found to be inactive. A candidate who has become 
ineligible under 11 CFR 9033.5(a) on the basis that he or she is not 
actively campaigning in more than one State may reestablish eligibility 
for matching payments by submitting to the Commission evidence of active 
campaigning in more than one State. In determining whether the candidate 
has reestablished eligibility, the Commission will consider, but is not 
limited to considering, the factors listed in 11 CFR 9033.6(b). The day 
the Commission determines to be the day the candidate becomes active 
again will be the date on which eligibility is reestablished.
    (b) Candidates receiving insufficient votes. A candidate determined 
to be ineligible under 11 CFR 9033.5(b) by failing to obtain the 
required percentage of votes in two consecutive primaries may have his 
or her eligibility reestablished if the candidate receives at least 20 
percent of the total number of votes cast for candidates of the same 
party

[[Page 258]]

for the same office in a primary election held subsequent to the date of 
the election which rendered the candidate ineligible.
    (c) The Commission will make its determination under 11 CFR 9033.8 
(a) or (b) without requiring the individual to reestablish eligibility 
under 11 CFR 9033.1 and 2. A candidate whose eligibility is 
reestablished under this section may submit, for matching payment, 
contributions received during ineligibility. Any expenses incurred 
during the period of ineligibility that would have been considered 
qualified campaign expenses if the candidate had been eligible during 
that time may be defrayed with matching payments.



Sec. 9033.9  Failure to comply with disclosure requirements or expenditure limitations.

    (a) If the Commission receives information indicating that a 
candidate or his or her authorized committee(s) has knowingly and 
substantially failed to comply with the disclosure requirements of 2 
U.S.C. 434 and 11 CFR part 104, or that a candidate has knowingly and 
substantially exceeded the expenditure limitations at 11 CFR part 9035, 
the Commission may make an initial determination to suspend payments to 
that candidate.
    (b) The Commission will notify the candidate of its initial 
determination in accordance with the procedures outlined in 11 CFR 
9033.10(b). The candidate will be given an opportunity, within 20 
calendar days after service of the Commission's notice, to comply with 
the above cited provisions or to submit in accordance with 11 CFR 
9033.10(b) written legal or factual materials to demonstrate that he or 
she is not in violation of those provisions.
    (c) Suspension of payments to a candidate will occur upon a final 
determination by the Commission to suspend payments. Such final 
determination will be made in accordance with the procedures outlined in 
11 CFR 9033.10(c).
    (d)(1) A candidate whose payments have been suspended for failure to 
comply with reporting requirements may become entitled to receive 
payments if he or she subsequently files the required reports and pays 
or agrees to pay any civil or criminal penalties resulting from failure 
to comply.
    (2) A candidate whose payments are suspended for exceeding the 
expenditure limitations shall not be entitled to receive further 
matching payments under 11 CFR 9034.1.



Sec. 9033.10  Procedures for initial and final determinations.

    (a) General. The Commission will follow the procedures set forth in 
this section when making an initial or final determination based on any 
of the following reasons.
    (1) The candidate has knowingly and substantially exceeded the 
expenditure limitations of 11 CFR part 9035 prior to the candidate's 
application for certification, as provided in 11 CFR 9033.3;
    (2) The candidate has failed to satisfy the matching payment 
threshold requirements, as provided in 11 CFR 9033.4;
    (3) The candidate is no longer actively seeking nomination in more 
than one state, as provided in 11 CFR 9033.6;
    (4) The candidate is an active candidate in an upcoming primary 
despite the candidate's assertion to the contrary, as provided in 11 CFR 
9033.7;
    (5) The Commission receives information indicating that the 
candidate has knowingly and substantially failed to comply with the 
disclosure requirements or exceeded the expenditure limits, as provided 
in 11 CFR 9033.9; or
    (6) The Commission receives information indicating that substantial 
assets of the candidate's authorized committee have been undervalued or 
not included in the candidate's statement of net outstanding campaign 
obligations or that the amount of outstanding campaign obligations has 
been otherwise overstated in relation to committee assets, as provided 
in 11 CFR 9034.5(g).
    (b) Initial determination. If the Commission makes an initial 
determination that a candidate may not receive matching funds for one or 
more of the reasons indicated in 11 CFR 9033.10(a), the Commission will 
notify the candidate of its initial determination. The notification will 
give the legal and factual reasons for the determination and advise the 
candidate of the evidence on

[[Page 259]]

which the Commission's initial determination is based. The candidate 
will be given an opportunity to comply with the requirements at issue or 
to submit, within the time provided by the relevant section as referred 
to in 11 CFR 9033.10(a), written legal or factual materials to 
demonstrate that the candidate has satisfied those requirements. Such 
materials may be submitted by counsel if the candidate so desires.
    (c) Final determination. The Commission will consider any written 
legal or factual materials timely submitted by the candidate before 
making its final determination. A final determination that the candidate 
has failed to satisfy the requirements at issue will be accompanied by a 
written statement of reasons for the Commission's action. This statement 
will explain the legal and factual reasons underlying the Commission's 
determination and will summarize the results of any investigation upon 
which the determination is based.
    (d) Effect on other determinations. If the Commission makes an 
initial determination under this section, but decides to take no further 
action at that time, the Commission may use the legal and factual bases 
on which the initial determination was based in any future repayment 
determination under 11 CFR part 9038 or 9039. A determination by the 
Commission under this section may be independent of any Commission 
decision to institute an enforcement proceeding under 2 U.S.C. 437g.
    (e) Petitions for rehearing. Following a final determination under 
this section, the candidate may file a petition for rehearing in 
accordance with 11 CFR 9038.5(a).



Sec. 9033.11  Documentation of disbursements.

    (a) Burden of proof. Each candidate shall have the burden of proving 
that disbursements made by the candidate or his or her authorized 
committee(s) or persons authorized to make expenditures on behalf of the 
candidate or authorized committee(s) are qualified campaign expenses as 
defined in 11 CFR 9032.9. The candidate and his or her authorized 
committee(s) shall obtain and furnish to the Commission on request any 
evidence regarding qualified campaign expenses made by the candidate, 
his or her authorized committees and agents or persons authorized to 
make expenditures on behalf of the candidate or committee(s) as provided 
in paragraph (b) of this section.
    (b) Documentation required. (1) For disbursements in excess of $200 
to a payee, the candidate shall present a canceled check negotiated by 
the payee and either:
    (i) A receipted bill from the payee that states the purpose of the 
disbursement; or
    (ii) If such a receipt is not available,
    (A) One of the following documents generated by the payee: a bill, 
invoice, or voucher that states the purpose of the disbursement; or
    (B) Where the documents specified in paragraph (b)(1)(ii)(A) of this 
section are not available, a voucher or contemporaneous memorandum from 
the candidate or the committee that states the purpose of the 
disbursement; or
    (iii) Where the supporting documentation required in paragraphs 
(b)(1) (i) or (ii) of this section is not available, the candidate or 
committee may present collateral evidence to document the qualified 
campaign expense. Such collateral evidence may include, but is not 
limited to:
    (A) Evidence demonstrating that the expenditure is part of an 
identifiable program or project which is otherwise sufficiently 
documented such as a disbursement which is one of a number of documented 
disbursements relating to a campaign mailing or to the operation of a 
campaign office; or
    (B) Evidence that the disbursement is covered by a pre-established 
written campaign committee policy, such as a daily travel expense 
policy.
    (iv) If the purpose of the disbursement is not stated in the 
accompanying documentation, it must be indicated on the canceled check 
negotiated by the payee.
    (2) For all other disbursements, the candidate shall present:
    (i) A record disclosing the full name and mailing address of the 
payee, the amount, date and purpose of the disbursement, if made from a 
petty cash fund; or

[[Page 260]]

    (ii) A canceled check negotiated by the payee that states the full 
name and mailing address of the payee, and the amount, date and purpose 
of the disbursement.
    (3) For purposes of this section:
    (i) Payee means the person who provides the goods or services to the 
candidate or committee in return for the disbursement; except that an 
individual will be considered a payee under this section if he or she 
receives $1000 or less advanced for travel and/or subsistence and if the 
individual is the recipient of the goods or services purchased.
    (ii) Purpose means the full name and mailing address of the payee, 
the date and amount of the disbursement, and a brief description of the 
goods or services purchased. Examples of acceptable and unacceptable 
descriptions of goods and services purchased are listed at 11 CFR 
104.3(b)(3)(i)(B).
    (c) Retention of records. The candidate shall retain records with 
respect to each disbursement and receipt, including bank records, 
vouchers, worksheets, receipts, bills and accounts, journals, ledgers, 
fundraising solicitation material, accounting systems documentation, and 
any related materials documenting campaign receipts and disbursements, 
for a period of three years pursuant to 11 CFR 102.9(c), and shall 
present these records to the Commission on request.
    (d) List of capital and other assets--(1) Capital assets. The 
candidate or committee shall maintain a list of all capital assets whose 
purchase price exceeded $2000 when acquired by the campaign. The list 
shall include a brief description of each capital asset, the purchase 
price, the date it was acquired, the method of disposition and the 
amount received in disposition. For purposes of this section, ``capital 
asset'' shall be defined in accordance with 11 CFR 9034.5(c)(1).
    (2) Other assets. The candidate or committee shall maintain a list 
of other assets acquired for use in fundraising or as collateral for 
campaign loans, if the aggregate value of such assets exceeds $5000. The 
list shall include a brief description of each such asset, the fair 
market value of each asset, the method of disposition and the amount 
received in disposition. The fair market value of other assets shall be 
determined in accordance with 11 CFR 9034.5(c)(2).

[60 FR 31881, June 16, 1995, as amended at 64 FR 49363, Sept. 13, 1999]



Sec. 9033.12  Production of computerized information.

    (a) Categories of computerized information to be provided. If the 
candidate or the candidate's authorized committee maintains or uses 
computerized information containing any of the categories of data listed 
in paragraphs (a)(1) through (a)(9) of this section, the committee shall 
provide computerized magnetic media, such as magnetic tapes or magnetic 
diskettes, containing the computerized information at the times 
specified in 11 CFR 9038.1(b)(1):
    (1) Information required by law to be maintained regarding the 
committee's receipts or disbursements;
    (2) Records of allocations of expenditures to particular state 
expenditure limits and to the overall expenditure limit;
    (3) Disbursements for exempt fundraising and exempt compliance 
costs, including the allocation of salaries and overhead expenditures;
    (4) Records of allocations of expenditures for the purchase of 
broadcast media;
    (5) Records used to prepare statements of net outstanding campaign 
obligations;
    (6) Records used to reconcile bank statements;
    (7) Disbursements made and reimbursements received for the cost of 
transportation, ground services and facilities made available to media 
personnel, including records relating to how costs charged to media 
personnel were determined;
    (8) Records relating to the acquisition, use and disposition of 
capital assets or other assets; and
    (9) Any other information that may be used during the Commission's 
audit to review the committee's receipts, disbursements, loans, debts, 
obligations, bank reconciliations or statements of net outstanding 
campaign obligations.
    (b) Organization of computerized information and technical 
specifications. The

[[Page 261]]

computerized magnetic media shall be prepared and delivered at the 
committee's expense and shall conform to the technical specifications, 
including file requirements, described in the Federal Election 
Commission's Computerized Magnetic Media Requirements for title 26 
Candidates/Committees Receiving Federal Funding. The data contained in 
the computerized magnetic media provided to the Commission shall be 
organized in the order specified by the Computerized Magnetic Media 
Requirements.
    (c) Additional materials and assistance. Upon request, the committee 
shall provide documentation explaining the computer system's software 
capabilities, such as user guides, technical manuals, formats, layouts 
and other materials for processing and analyzing the information 
requested. Upon request, the committee shall also make available such 
personnel as are necessary to explain the operation of the computer 
system's software and the computerized information prepared or 
maintained by the committee.



PART 9034--ENTITLEMENTS--Table of Contents




Sec.
9034.1  Candidate entitlements.
9034.2  Matchable contributions.
9034.3  Non-matchable contributions.
9034.4  Use of contributions and matching payments.
9034.5  Net outstanding campaign obligations.
9034.6  Expenditures for transportation and services made available to 
          media personnel; reimbursements.
9034.7  Allocation of travel expenditures.
9034.8  Joint fundraising.
9034.9  Sale of assets acquired for fundraising purposes.

    Authority: 26 U.S.C. 9034 and 9039(b).

    Source: 56 FR 34132, July 25, 1991 and 56 FR 35934, July 29, 1991, 
unless otherwise noted.



Sec. 9034.1  Candidate entitlements.

    (a) A candidate who has been notified by the Commission under 11 CFR 
9036.1 that he or she has successfully satisfied eligibility and 
certification requirements is entitled to receive payments under 26 
U.S.C. 9037 and 11 CFR part 9037 in an amount equal to the amount of 
each matchable campaign contribution received by the candidate, except 
that a candidate who has become ineligible under 11 CFR 9033.5 may not 
receive further matching payments regardless of the date of deposit of 
the underlying contributions if he or she has no net outstanding 
campaign obligations as defined in 11 CFR 9034.5. See also 26 CFR parts 
701 and 702 regarding payments by the Department of the Treasury.
    (b) If on the date of ineligibility a candidate has net outstanding 
campaign obligations as defined under 11 CFR 9034.5, that candidate may 
continue to receive matching payments for matchable contributions 
received and deposited on or before December 31 of the Presidential 
election year provided that on the date of payment there are remaining 
net outstanding campaign obligations, i.e., the sum of the contributions 
received on or after the date of ineligibility plus matching funds 
received on or after the date of ineligibility is less than the 
candidate's net outstanding campaign obligations. This entitlement will 
be equal to the lesser of:
    (1) The amount of contributions submitted for matching; or
    (2) The remaining net outstanding campaign obligations.
    (c) A candidate whose eligibility has been reestablished under 11 
CFR 9033.8 or who after suspension of payments has met the conditions 
set forth at 11 CFR 9033.9(d) is entitled to receive payments for 
matchable contributions for which payments were not received during the 
ineligibility or suspension period.
    (d) The total amount of payments to a candidate under this section 
shall not exceed 50% of the total expenditure limitation applicable 
under 11 CFR part 9035.

[56 FR 34132, July 25, 1991 and 56 FR 35934, July 29, 1991]



Sec. 9034.2  Matchable contributions.

    (a) Contributions meeting the following requirements will be 
considered matchable campaign contributions.
    (1) The contribution shall be a gift of money made: By an 
individual; by a written instrument and for the purpose of influencing 
the result of a primary election.

[[Page 262]]

    (2) Only a maximum of $250 of the aggregate amount contributed by an 
individual may be matched.
    (3) Before a contribution may be submitted for matching, it must 
actually be received by the candidate or any of the candidate's 
authorized committees and deposited in a designated campaign depository 
maintained by the candidate's authorized committee.
    (4) The written instrument used in making the contribution must be 
dated, physically received and deposited by the candidate or authorized 
committee on or after January l of the year immediately preceding the 
calendar year of the Presidential election, but no later than December 
31 following the matching payment period as defined under 11 CFR 9032.6. 
Donations received by an individual who is testing the waters pursuant 
to 11 CFR 100.7(b)(1) and 100.8(b)(1) may be matched when the individual 
becomes a candidate if such donations meet the requirements of this 
section.
    (b) For purposes of this section, the term written instrument means 
a check written on a personal, escrow or trust account representing or 
containing the contributor's personal funds; a money order; any similar 
negotiable instrument; or, for contributions by credit or debit card, a 
paper record, or an electronic record that can be reproduced on paper, 
of the transaction. For purposes of this section, the term written 
instrument also means, in the case of a contribution by a credit card or 
debit card, either a transaction slip or other writing signed by the 
cardholder, or in the case of such a contribution made over the 
Internet, an electronic record of the transaction created and 
transmitted by the cardholder, and including the name of the cardholder 
and the card number, which can be maintained electronically and 
reproduced in a written form by the recipient candidate or candidate's 
committee.
    (c) The written instrument shall be: Payable on demand; and to the 
order of, or specifically endorsed without qualification to, the 
Presidential candidate, or his or her authorized committee. The written 
instrument shall contain: The full name and signature of the 
contributor(s); the amount and date of the contribution; and the mailing 
address of the contributor(s). For purposes of this section, the term 
signature means, in the case of a contribution by a credit card or debit 
card, either an actual signature by the cardholder who is the donor on a 
transaction slip or other writing, or in the case of such a contribution 
made over the Internet, the full name and card number of the cardholder 
who is the donor, entered and transmitted by the cardholder.
    (1) In cases of a check drawn on a joint checking account, the 
contributor is considered to be the owner whose signature appears on the 
check.
    (i) To be attributed equally to other joint tenants of the account, 
the check or other accompanying written document shall contain the 
signature(s) of the joint tenant(s). If a contribution on a joint 
account is to be attributed other than equally to the joint tenants, the 
check or other written documentation shall also indicate the amount to 
be attributed to each joint tenant.
    (ii) In the case of a check for a contribution attributed to more 
than one person, where it is not apparent from the face of the check 
that each contributor is a joint tenant of the account, a written 
statement shall accompany the check stating that the contribution was 
made from each individual's personal funds in the amount so attributed 
and shall be signed by each contributor.
    (iii) In the case of a contribution reattributed to a joint tenant 
of the account, the reattribution shall comply with the requirements of 
11 CFR 110.1(k) and the documentation described in 11 CFR 110.1 (1), 
(3), (5) and (6) shall accompany the reattributed contribution.
    (2) Contributions in the form of checks drawn on an escrow or trust 
account are matchable contributions, provided that:
    (i) The contributor has equitable ownership of the account; and
    (ii) The check is accompanied by a statement, signed by each 
contributor to whom all or a portion of the contribution is being 
attributed, together with the check number, amount and date of 
contribution. This statement shall specify that the contributor has 
equitable ownership of the account and

[[Page 263]]

the account represents the personal funds of the contributor.
    (3) Contributions in the form of checks written on partnership 
accounts or accounts of unincorporated associations or businesses are 
matchable contributions, so long as:
    (i) The check is accompanied by a statement, signed by each 
contributor to whom all or a portion of the contribution is being 
attributed, together with the check number, amount and date of 
contribution. This statement shall specify that the contribution is made 
with the contributor's personal funds and that the account on which the 
contribution is drawn is not maintained or controlled by an incorporated 
entity; and
    (ii) The aggregate amount of the contributions drawn on a 
partnership or unincorporated association or business does not exceed 
$1,000 to any one Presidential candidate seeking nomination.
    (4) Contributions in the form of money orders, cashier's checks, or 
other similar negotiable instruments are matchable contributions, 
provided that:
    (i) At the time it is initially submitted for matching, such 
instrument is signed by each contributor and is accompanied by a 
statement which specifies that the contribution was made in the form of 
a money order, cashier's check, traveler's check, or other similar 
negotiable instrument, with the contributor's personal funds;
    (ii) Such statement identifies the date and amount of the 
contribution made by money order, cashier's check, traveler's check, or 
other similar negotiable instrument, the check or serial number, and the 
name of the issuer of the negotiable instrument; and
    (iii) Such statement is signed by each contributor.
    (5) Contributions in the form of the purchase price paid for the 
admission to any activity that primarily confers private benefits in the 
form of entertainment to the contributor (i.e., concerts, motion 
pictures) are matchable. The promotional material and tickets for the 
event shall clearly indicate that the ticket purchase price represents a 
contribution to the Presidential candidate.
    (6) Contributions in the form of a purchase price paid for admission 
to an activity that is essentially political are matchable. An 
``essentially political'' activity is one the principal purpose of which 
is political speech or discussion, such as the traditional political 
dinner or reception.
    (7) Contributions received from a joint fundraising activity 
conducted in accordance with 11 CFR 9034.8 are matchable, provided that 
such contributions are accompanied by a copy of the joint fundraising 
agreement when they are submitted for matching.
    (8) Contributions by credit or debit card are matchable 
contributions, provided that:
    (i) The requirements of paragraph (b) of this section concerning a 
written instrument and of paragraph (c) of this section concerning a 
signature are satisfied. Contributions by credit card or debit card 
where the cardholder's name and card number are given to the recipient 
candidate or candidate's committee only orally are not matchable.
    (ii) Evidence is submitted by the committee that the contributor has 
affirmed that the contribution is from personal funds and not from funds 
otherwise prohibited by law.

[56 FR 34132, July 25, 1991, as amended at 56 FR 35934, July 29, 1991; 
64 FR 32397, June 17, 1999]



Sec. 9034.3  Non-matchable contributions.

    A contribution to a candidate other than one which meets the 
requirements of 11 CFR 9034.2 is not matchable. Contributions which are 
not matchable include, for example:
    (a) In-kind contributions of real or personal property;
    (b) A subscription, loan, advance, or deposit of money, or anything 
of value;
    (c) A contract, promise, or agreement, whether or not legally 
enforceable, such as a pledge card to make a contribution for any such 
purposes (but a gift of money by written instrument is not rendered 
unmatchable solely because the contribution was preceded by a promise or 
pledge);
    (d) Funds from a corporation, labor organization, government 
contractor, political committee as defined in 11 CFR 100.5 or any group 
of persons other than those under 11 CFR 9034.2(c)(3);

[[Page 264]]

    (e) Contributions which are made or accepted in violation of 2 
U.S.C. 441a, 441b, 441c, 441e, 441f, or 441g;
    (f) Contributions in the form of a check drawn on the account of a 
committee, corporation, union or government contractor even though the 
funds represent personal funds earmarked by a contributing individual to 
a Presidential candidate;
    (g) Contributions in the form of the purchase price paid for an item 
with significant intrinsic and enduring value, such as a watch;
    (h) Contributions in the form of the purchase price paid for or 
other otherwise induced by a chance to participate in a raffle, lottery, 
or a similar drawing for valuable prizes;
    (i) Contributions which are made by persons without the necessary 
donative intent to make a gift or made for any purpose other than to 
influence the result of a primary election;
    (j) Contributions of currency of the United States or currency of 
any foreign country; and
    (k) Contributions redesignated for a different election or 
redesignated for a legal and accounting compliance fund pursuant to 11 
CFR 9003.3.

[56 FR 34132, July 5, 1991; 56 FR 35934, July 29, 1991, as amended at 64 
FR 32397, June 17, 1999]



Sec. 9034.4  Use of contributions and matching payments.

    (a) Qualified campaign expenses--(1) General. Except as provided in 
paragraph (b)(3) of this section, all contributions received by an 
individual from the date he or she becomes a candidate and all matching 
payments received by the candidate shall be used only to defray 
qualified campaign expenses or to repay loans or otherwise restore funds 
(other than contributions which were received and expended to defray 
qualified campaign expenses), which were used to defray qualified 
campaign expenses.
    (2) Testing the waters. Even though incurred prior to the date an 
individual becomes a candidate, payments made in accordance with the 11 
CFR 100.8(b)(1) for the purpose of determining whether an individual 
should become a candidate shall be considered qualified campaign 
expenses if the individual subsequently becomes a candidate and shall 
count against that candidate's limits under 2 U.S.C. 441a(b).
    (3) Winding down costs and continuing to campaign. (i) Costs 
associated with the 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, shall be considered qualified campaign expenses. A candidate 
may receive and use matching funds for these purposes either after he or 
she has notified the Commission in writing of his or her withdrawal from 
the campaign for nomination or after the date of the party's nominating 
convention, if he or she has not withdrawn before the convention.
    (ii) If the candidate continues to campaign after becoming 
ineligible due to the operation of 11 CFR 9033.5(b), the candidate may 
only receive matching funds based on net outstanding campaign 
obligations as of the candidate's date of ineligibility. The statement 
of net outstanding campaign obligations shall only include costs 
incurred before the candidate's date of ineligibility for goods and 
services to be received before the date of ineligibility and for which 
written arrangement or commitment was made on or before the candidate's 
date of ineligibility, and shall not include winding down costs until 
the date on which the candidate qualifies to receive winding down costs 
under paragraph (a)(3)(i) of this section. Contributions received after 
the candidate's date of ineligibility may be used to continue to 
campaign, and may be submitted for matching fund payments. The candidate 
shall be entitled to receive the same proportion of matching funds to 
defray net outstanding campaign obligations as the candidate received 
before his or her date of ineligibility. Payments from the matching 
payment account that are received after the candidate's date of 
ineligibility may be used to defray the candidate's net outstanding 
campaign obligations, but shall not be used to defray any costs 
associated with

[[Page 265]]

continuing to campaign unless the candidate reestablishes eligibility 
under 11 CFR 9033.8.
    (iii) In the case of a candidate who does not receive public funding 
for the general election, for purposes of the expenditure limitations 
set forth in 11 CFR 9035.1, 100% of salary, overhead and computer 
expenses incurred after a candidate's date of ineligibility may be 
treated as exempt legal and accounting compliance expenses beginning 
with the first full reporting period after the candidate's date of 
ineligibility. For candidates who continue to campaign or re-establish 
eligibility, this paragraph shall not apply to expenses incurred during 
the period between the date of ineligibility and the date on which the 
candidate either re-establishes eligibility or ceases to continue to 
campaign. For purposes of the expenditure limitations set forth in 11 
CFR 9035.1, candidates who receive public funding for the general 
election must wait until the end of the expenditure report period 
described in 11 CFR 9002.12 before they may treat 100% of salary, 
overhead and computer expenses as exempt legal and accounting compliance 
expenses.
    (4) Taxes. Federal income taxes paid by the committee on non-exempt 
function income, such as interest, dividends and sale of property, shall 
be considered qualified campaign expenses. These expenses shall not, 
however, count against the state or overall expenditure limits of 11 CFR 
9035.1(a).
    (5) Gifts and monetary bonuses. Gifts and monetary bonuses shall be 
considered qualified campaign expenses, provided that:
    (i) Gifts for committee employees, consultants and volunteers in 
recognition for campaign-related activities or services do not exceed 
$150 total per individual and the total of all gifts does not exceed 
$20,000; and
    (ii) All monetary bonuses for committee employees and consultants in 
recognition for campaign-related activities or services:
    (A) Are provided for pursuant to a written contract made prior to 
the date of ineligibility; and
    (B) Are paid no later than thirty days after the date of 
ineligibility.
    (b) Non-qualified campaign expenses--(1) General. The following are 
examples of disbursements that are not qualified campaign expenses.
    (2) Excessive expenditures. An expenditure which is in excess of any 
of the limitations under 11 CFR part 9035 shall not be considered a 
qualified campaign expense. The Commission will calculate the amount of 
expenditures attributable to the limitations in accordance with 11 CFR 
9035.1(a)(2).
    (3) General election and post-ineligibility expenditures. Any 
expenses incurred after a candidate's date of ineligibility, as 
determined under 11 CFR 9033.5, are not qualified campaign expenses 
except to the extent permitted under 11 CFR 9034.4(a)(3). In addition, 
any expenses incurred before the candidate's date of ineligibility for 
goods and services to be received after the candidate's date of 
ineligibility, or for property, services, or facilities used to benefit 
the candidate's general election campaign, are not qualified campaign 
expenses.
    (4) Civil or criminal penalties. Civil or criminal penalties paid 
pursuant to the Federal Election Campaign Act are not qualified campaign 
expenses and cannot be defrayed from contributions or matching payments. 
Any amounts received or expended to pay such penalties shall not be 
considered contributions or expenditures but all amounts so received 
shall be subject to the prohibitions of the Act. Amounts received and 
expended under this section shall be reported in accordance with 11 CFR 
part 104.
    (5) Payments to candidate. Payments made to the candidate by his or 
her committee, other than to reimburse funds advanced by the candidate 
for qualified campaign expenses, are not qualified campaign expenses.
    (6) Payments to other authorized committees. Payments, including 
transfers and loans, to other committees authorized by the same 
candidate for a different election are not qualified campaign expenses.
    (7) Allocable expenses. Payments for expenses subject to state 
allocation under 11 CFR 106.2 are not qualified campaign expenses if the 
records retained are not sufficient to permit allocation to any state, 
such as the failure

[[Page 266]]

to keep records of the date on which the expense is incurred.
    (8) Lost, misplaced, or stolen items. The cost of lost, misplaced, 
or stolen items may be considered a nonqualified campaign expense. 
Factors considered by the Commission in making this determination shall 
include, but not be limited to, whether the committee demonstrates that 
it made conscientious efforts to safeguard the missing equipment; 
whether the committee sought or obtained insurance on the items; whether 
the committee filed a police report; the type of equipment involved; and 
the number and value of items that were lost.
    (c) [Reserved]
    (d) Transfers to other campaigns--(1) Other Federal offices. If a 
candidate has received matching funds and is simultaneously seeking 
nomination or election to another Federal office, no transfer of funds 
between his or her principal campaign committees or authorized 
committees may be made. See 2 U.S.C. 441a(a)(5)(C) and 11 CFR 
110.3(c)(5) and 110.8(d). A candidate will be considered to be 
simultaneously seeking nomination or election to another Federal office 
if he or she is seeking nomination or election to such Federal office 
under 11 CFR 110.3(c)(5).
    (2) General election. If a candidate has received matching funds, 
all transfers from the candidate's primary election account to a legal 
and accounting compliance fund established for the general election must 
be made in accordance with 11 CFR 9003.3(a)(1).
    (e) Attribution of expenditures between the primary and the general 
election spending limits. The following rules apply to candidates who 
receive public funding in either the primary or the general election, or 
both.
    (1) General rule. Any expenditure for goods or services that are 
used for the primary election campaign, other than those listed in 
paragraphs (e)(2) through (e)(7) of this section, shall be attributed to 
the limits set forth at 11 CFR 9035.1. Any expenditure for goods or 
services that are used for the general election campaign, other than 
those listed in paragraphs (e)(2) through (e)(7) of this section, shall 
be attributed to the limits set forth at 11 CFR 110.8(a)(2), as adjusted 
under 11 CFR 110.9(c).
    (2) Polling expenses. Polling expenses shall be attributed according 
to when the results of the poll are received. If the results are 
received on or before the date of the candidate's nomination, the 
expenses shall be considered primary election expenses. If results are 
received from a single poll both before and after the date of the 
candidate's nomination, the costs shall be allocated between the primary 
and the general election limits based on the percentage of results 
received during each period.
    (3) State or national campaign offices. Prior to the date of the 
last primary election in a Presidential election year, overhead and 
salary costs incurred in connection with state or national campaign 
offices shall be attributed to the primary election. With regard to 
overhead and salary costs incurred on or after June 1 of the 
Presidential election year, but before or on the date of nomination, the 
committee may attribute to the general election an amount not to exceed 
15% of the limitation on primary-election expenditures set forth at 11 
CFR 110.8(a)(1). Overhead and payroll costs associated with winding down 
the campaign and compliance activities shall be governed by paragraph 
(a)(3) of this section.
    (4) Campaign materials. Expenditures for campaign materials, 
including bumper stickers, campaign brochures, buttons, pens and similar 
items, that are purchased by the primary election campaign committee and 
later transferred to and used by the general election committee shall be 
attributed to the general election limits. Materials transferred to but 
not used by the general election committee shall be attributed to the 
primary election limits.
    (5) Media production costs. For media communications that are 
broadcast or published both before and after the date of the candidate's 
nomination, 50% of the media production costs shall be attributed to the 
primary election limits, and 50% to the general election limits. 
Distribution costs, including such costs as air time and advertising 
space in newspapers, shall be paid for 100% by the primary or general 
election campaign depending on when the

[[Page 267]]

communication is broadcast or distributed.
    (6) Campaign Communications.
    (i) Solicitations and fundraising costs. The costs of fundraising, 
including that of events and solicitation costs, shall be attributed to 
the primary election or to the GELAC, depending on the purposes of the 
fundraising. If a candidate raises funds for both the primary election 
and for the GELAC in a single communication or through a single 
fundraising event, the allocation of fundraising costs and the 
distribution of net proceeds will be made in the same manner as 
described in 11 CFR 9034.8(c)(8)(i) and (ii).
    (ii) Other communications. Except as provided in paragraph (e)(5) of 
this section, the costs of a campaign communication that does not 
include a solicitation shall be attributed to the primary or general 
election limits based on the date on which the communication is 
broadcast, published or mailed. The cost of a communication that is 
broadcast, published or mailed before the date of the candidate's 
nomination shall be attributed to the primary election limits.
    (7) Travel costs. Expenditures for campaign-related transportation, 
food, and lodging by any individual, including a candidate, shall be 
attributed according to when the travel occurs. If the travel occurs on 
or before the date of the candidate's nomination, the cost is a primary 
election expense. Travel to and from the convention shall be attributed 
to the primary election. Travel by a person who is working exclusively 
on general election campaign preparations shall be considered a general 
election expense even if the travel occurs before the candidate's 
nomination.

[56 FR 35934, July 29, 1991, as amended at 60 FR 31881, June 16, 1995; 
60 FR 57537, 57538, Nov. 16, 1995; 64 FR 49364, Sept. 13, 1999; 64 FR 
61781, Nov. 15, 1999]



Sec. 9034.5  Net outstanding campaign obligations.

    (a) Within 15 calendar days after the candidate's date of 
ineligibility, as determined under 11 CFR 9033.5, the candidate shall 
submit a statement of net outstanding campaign obligations. The 
candidate's net outstanding campaign obligations under this section 
equal the difference between paragraphs (a) (1) and (2) of this section:
    (1) The total of all outstanding obligations for qualified campaign 
expenses as of the candidate's date of ineligibility as determined under 
11 CFR 9033.5, plus estimated necessary winding down costs as defined 
under 11 CFR 9034.4(a)(3), less
    (2) The total of:
    (i) Cash on hand as of the close of business on the last day of 
eligibility (including all contributions dated on or before that date 
whether or not submitted for matching; currency; balances on deposit in 
banks; savings and loan institutions; and other depository institutions; 
traveler's checks; certificates of deposit; treasury bills; and any 
other committee investments valued at fair market value);
    (ii) The fair market value of capital assets and other assets on 
hand; and
    (iii) Amounts owed to the committee in the form of credits, refunds 
of deposits, returns, receivables, or rebates of qualified campaign 
expenses; or a commercially reasonable amount based on the 
collectibility of those credits, returns, receivables or rebates.
    (b) Liabilities. (1) The amount submitted as the total of 
outstanding campaign obligations under paragraph (a)(1) of this section 
shall not include any accounts payable for non-qualified campaign 
expenses nor any amounts determined or anticipated to be required as 
repayment under 11 CFR part 9038 or any amounts paid to secure a surety 
bond under 11 CFR 9038.5.
    (2) The amount submitted as estimated necessary winding down costs 
under paragraph (a)(1) of this section shall be broken down by expense 
category and quarterly or monthly time period. This breakdown shall 
include estimated costs for office space rental, staff salaries, legal 
expenses, accounting expenses, office supplies, equipment rental, 
telephone expenses, postage and other mailing costs, printing and 
storage. The breakdown shall estimate the costs that will be incurred in 
each category from the time the statement is submitted until the 
expected termination of the committee's political activity.

[[Page 268]]

    (c) (1) Capital assets. For purposes of this section, the term 
capital assets means any property used in the operation of the campaign 
whose purchase price exceeded $2000 when received by the committee. 
Property that must be valued as capital assets under this section 
includes, but is not limited to, office equipment, furniture, vehicles 
and fixtures acquired for use in the operation of the candidate's 
campaign, but does not include property defined as ``other assets'' 
under paragraph (c)(2) of this section. Capital assets include items 
such as computer systems and telecommunications systems, if the 
equipment is used together and if the total cost of all components that 
are used together exceeds $2000. A list of all capital assets shall be 
maintained by the committee in accordance with 11 CFR 9033.11(d). The 
fair market value of capital assets shall be considered to be 60% of the 
total original cost of such items when acquired, except that items 
received after the date of ineligibility must be valued at their fair 
market value on the date received. A candidate may claim a lower fair 
market value for a capital asset by listing that capital asset on the 
statement separately and demonstrating, through documentation, the lower 
fair market value. If the candidate receives public funding for the 
general election, a lower fair market value shall not be claimed under 
this section for any capital assets transferred or sold to the 
candidate's general election committee.
    (2) Other assets. The term other assets means any property acquired 
by the committee for use in raising funds or as collateral for campaign 
loans. ``Other assets'' must be included on the candidate's statement of 
net outstanding campaign obligations if the aggregate value of such 
assets exceeds $5000. The value of ``other assets'' shall be determined 
by the fair market value of each item on the candidate's date of 
ineligibility or on the date the item is acquired if acquired after the 
date of ineligibility. A list of other assets shall be maintained by the 
committee in accordance with 11 CFR 9033.11(d)(2).
    (d) Collectibility of accounts receivable. If the committee 
determines that an account receivable of $500 or more, including any 
credit, refund, return or rebate, is not collectible in whole or in 
part, the committee shall demonstrate through documentation that the 
determination was commercially reasonable. The documentation shall 
include records showing the original amount of the account receivable, 
copies of correspondence and memoranda of communications with the debtor 
showing attempts to collect the amount due, and an explanation of how 
the lesser amount or full writeoff was determined.
    (e) Contributions received from joint fundraising activities 
conducted under 11 CFR 9034.8 may be used to pay a candidate's 
outstanding campaign obligations.
    (1) Such contributions shall be deemed monies available to pay 
outstanding campaign obligations as of the date these funds are received 
by the fundraising representative committee and shall be included in the 
candidate's statement of net outstanding campaign obligations.
    (2) The amount of money deemed available to pay a candidate's net 
outstanding campaign obligations will equal either--
    (i) An amount calculated on the basis of the predetermined 
allocation formula, as adjusted for 2 U.S.C. 441a limitations; or
    (ii) If a candidate receives an amount greater than that calculated 
under 11 CFR 9034.5(e)(2)(i), the amount actually received.
    (f)(1) With each submission for matching fund payments filed after 
the candidate's date of ineligibility, the candidate shall certify that, 
as of the close of business on the last business day preceding the date 
of submission for matching funds, his or her remaining net outstanding 
campaign obligations equal or exceed the amount submitted for matching.
    (2) A candidate who makes a submission for matching fund payments 
after his or her date of ineligibility shall also submit a revised 
statement of net outstanding campaign obligations. This revised 
statement shall be due before the next regularly scheduled payment date, 
on a date to be determined and published by the Commission. This 
statement shall reflect the financial

[[Page 269]]

status of the campaign as of the close of business three business days 
before the due date of the statement. The revised statement shall also 
contain a brief explanation of each change in the committee's assets and 
obligations from the previous statement.
    (3) After a candidate's date of ineligibility, if the candidate does 
not receive the entire amount of matching funds on a regularly scheduled 
payment date due to a shortfall in the matching payment account, the 
candidate shall also submit a revised statement of net outstanding 
campaign obligations. The revised statement shall be filed on a date to 
be determined and published by the commission, which will be before the 
next regularly scheduled payment date.
    (g)(1) If the Commission receives information indicating that 
substantial assets of the candidate's authorized committee(s) have been 
undervalued or not included in the statement or that the amount of 
outstanding campaign obligations has been otherwise overstated in 
relation to committee assets, the Commission may decide to temporarily 
suspend further matching payments pending a final determination whether 
the candidate is entitled to receive all or a portion of the matching 
funds requested.
    (2) In making a determination under 11 CFR 9034.5(g)(1), the 
Commission will follow the procedures for initial and final 
determinations under 11 CFR 9033.10 (b) and (c). The Commission will 
notify the candidate of its initial determination within 15 business 
days after receipt of the candidate's statement of net outstanding 
campaign obligations. Within 15 business days after service of the 
Commission's notice, the candidate may submit written legal or factual 
materials to demonstrate that he or she has net outstanding campaign 
obligations that entitle the campaign to further matching payments.
    (3) If the candidate demonstrates that the amount of outstanding 
campaign obligations still exceeds committee assets, he or she may 
continue to receive matching payments.
    (4) Following a final determination under this section, the 
candidate may file a petition for rehearing in accordance with 11 CFR 
9038.5(a).

[56 FR 34132, July 25, 1991 and 56 FR 35934, July 29, 1991; 56 FR 42380, 
Aug. 27, 1991; 60 FR 31883, June 16, 1995; 64 FR 49364, Sept. 13, 1999]



Sec. 9034.6  Expenditures for transportation and services made available to media personnel; reimbursements.

    (a) General. (1) Expenditures by an authorized committee for 
transportation, ground services or facilities (including air travel, 
ground transportation, housing, meals, telephone service, typewriters, 
and computers) provided to media personnel, Secret Service personnel or 
national security staff will be considered qualified campaign expenses, 
and, except for costs relating to Secret Service personnel or national 
security staff, will be subject to the overall expenditure limitations 
of 11 CFR 9035.1(a).
    (2) Subject to the limitations in paragraphs (b) and (c) of this 
section, committees may seek reimbursement from the media for the 
expenses described in paragraph (a)(3) of this section, and may deduct 
reimbursements received from media representatives from the amount of 
expenditures subject to the overall expenditure limitation of 11 CFR 
9035.1(a). Expenses for which the committee receives no reimbursement 
will be considered qualified campaign expenses, and, with the exception 
of those expenses relating to Secret Service personnel and national 
security staff, will be subject to the overall expenditure limitation.
    (3) Committees may seek reimbursement from the media only for the 
billable items specified in the White House Press Corps Travel Policies 
and Procedures issued by the White House Travel Office.
    (b) Reimbursement limits; billing. (1) The amount of reimbursement 
sought from a media representative under paragraph (a)(2) of this 
section shall not exceed 110% of the media representative's pro rata 
share (or a reasonable estimate of the media representative's pro rata 
share) of the actual cost of the transportation and services made 
available. Any reimbursement received in excess of this

[[Page 270]]

amount shall be disposed of in accordance with paragraph (d)(1) of this 
section.
    (2) For the purposes of this section, a media representative's pro 
rata share shall be calculated by dividing the total actual cost of the 
transportation and services provided by the total number of individuals 
to whom such transportation and services are made available. For 
purposes of this calculation, the total number of individuals shall 
include committee staff, media personnel, Secret Service personnel, 
national security staff and any other individuals to whom such 
transportation and services are made available, except that, when 
seeking reimbursement for transportation costs paid by the committee 
under 11 CFR 9034.7(b)(5)(i)(C), the total number of individuals shall 
not include national security staff.
    (3) No later than sixty (60) days of the campaign trip or event, the 
committee shall provide each media representative attending the event 
with an itemized bill that specifies the amounts charged for air and 
ground transportation for each segment of the trip, housing, meals, 
telephone service, and other billable items specified in the White House 
Press Corps Travel Policies and Procedures issued by the White House 
Travel Office. Payments shall be due sixty (60) days from the date of 
the bill, unless the media representative disputes the charges.
    (c) Deduction of reimbursements from expenditures subject to the 
overall expenditure limitation. (1) The Committee may deduct from the 
amount of expenditures subject to the overall expenditure limitation:
    (i) The amount of reimbursements received from media representatives 
in payment for the transportation and services described in paragraph 
(a) of this section, up to the actual cost of the transportation and 
services provided to media representatives; and
    (ii) An additional amount of the reimbursements received from media 
representatives, representing the administrative costs incurred by the 
committee in providing these services to the media representatives and 
seeking reimbursement for them, equal to:
    (A) Three percent of the actual cost of transportation and services 
provided to the media representatives under this section; or
    (B) An amount in excess of 3% representing the administrative costs 
actually incurred by the committee in providing services to the media 
representatives, provided that the committee is able to document the 
total amount of administrative costs actually incurred.
    (2) For the purposes of this paragraph, ``administrative costs'' 
includes all costs incurred by the committee in making travel 
arrangements and seeking reimbursement, whether these services are 
performed by committee staff or by independent contractors.
    (d) Disposal of excess reimbursements. If the committee receives 
reimbursements in excess of the amount deductible under paragraph (c) of 
this section, it shall dispose of the excess amount in the following 
manner:
    (1) Any reimbursement received in excess of 110% of the actual pro 
rata cost of the transportation and services made available to a media 
representative shall be returned to the media representative.
    (2) Any amount in excess of the amount deductible under paragraph 
(c) of this section that is not required to be returned to the media 
representative under paragraph (d)(1) of this section shall be paid to 
the Treasury.
    (e) Reporting. The total amount paid by an authorized committee for 
the services and facilities described in paragraph (a)(1) of this 
section, plus the administrative costs incurred by the committee in 
providing these services and facilities and seeking reimbursement for 
them, shall be reported as an expenditure in accordance with 11 CFR 
104.3(b)(2)(i). Any reimbursement received by such committee under 
paragraph (b)(1) of this section shall be reported in accordance with 11 
CFR 104.3(a)(3)(ix).

[60 FR 31883, June 16, 1995; 60 FR 57537, Nov. 16, 1995; 64 FR 42583, 
Aug. 5, 1999]



Sec. 9034.7  Allocation of travel expenditures.

    (a) Notwithstanding the provisions of 11 CFR 106.3, expenditures for 
travel relating to the campaign of a candidate seeking nomination for 
election to the office of President by any individual,

[[Page 271]]

including a candidate, shall, pursuant to the provisions of paragraph 
(b) of this section, be qualified campaign expenses and be reported by 
the candidate's authorized committee(s) as expenditures.
    (b)(1) For a trip which is entirely campaign-related, the total cost 
of the trip shall be a qualified campaign expense and a reportable 
expenditure.
    (2) For a trip which includes campaign-related and non-campaign 
related stops, that portion of the cost of the trip allocable to 
campaign activity shall be a qualified campaign expense and a reportable 
expenditure. Such portion shall be determined by calculating what the 
trip would have cost from the point of origin of the trip to the first 
campaign-related stop and from that stop through each subsequent 
campaign-related stop, back to the point of origin. If any campaign 
activity, other than incidental contacts, is conducted at a stop, that 
stop shall be considered campaign-related. Campaign activity includes 
soliciting, making, or accepting contributions, and expressly advocating 
the election or defeat of the candidate. Other factors, including the 
setting, timing and statements or expressions of the purpose of an event 
and the substance of the remarks or speech made, will also be considered 
in determining whether a stop is campaign-related.
    (3) For each trip, an itinerary shall be prepared and such itinerary 
shall be made available by the committee for Commission inspection. The 
itinerary shall show the time of arrival and departure and the type of 
event held.
    (4) For trips by government conveyance or by charter, a list of all 
passengers on such trip, along with a designation of which passengers 
are and which are not campaign-related, shall be made available for 
Commission inspection. When required to be created, a copy of the 
government's or the charter company's official manifest shall also be 
maintained and made available by the committee.
    (5)(i) If any individual, including a candidate, uses a government 
airplane for campaign-related travel, the candidate's authorized 
committee shall pay the appropriate government entity an amount equal 
to:
    (A) The lowest unrestricted and non-discounted first class 
commercial air fare available for the time traveled, in the case of 
travel to a city served by a regularly scheduled commercial airline 
service; or
    (B) The lowest unrestricted and non-discounted coach commercial air 
fare available for the time traveled, in the case of travel to a city 
served by regularly scheduled coach airline service, but not regularly 
scheduled first class airline service; or
    (C) In the case of travel to a city not served by a regularly 
scheduled commercial airline service, the commercial charter rate for an 
airplane sufficient in size to accommodate the campaign-related 
travelers, including the candidate, plus the news media and the Secret 
Service.
    (ii) If a government airplane is flown to a campaign-related stop 
where it will pick up passengers, or from a campaign-related stop where 
it left off passengers, the candidate's authorized committee shall pay 
the appropriate government entity an amount equal to the greater of the 
amount billed or the amount required under paragraph (b)(5)(i) of this 
section for one passenger.
    (iii) If any individual, including a candidate, uses a government 
conveyance, other than an airplane, for campaign-related travel, the 
candidate's authorized committee shall pay the appropriate government 
entity an amount equal to the commercial rental rate for a conveyance 
sufficient in size to accommodate the campaign-related travelers, 
including the candidate, plus the news media and the Secret Service.
    (iv) If any individual, including a candidate, uses accommodations, 
including lodging and meeting rooms, during campaign-related travel, and 
the accommodations are paid for by a government entity, the candidate's 
authorized committee shall pay the appropriate government entity an 
amount equal to the usual and normal charge for the accommodations, and 
shall maintain documentation supporting the amount paid.
    (v) For travel by airplane, the committee shall maintain 
documentation of the lowest unrestricted nondiscounted air fare 
available for the time

[[Page 272]]

traveled, including the airline, the flight number and travel service 
providing that fare or the charter rate, as appropriate. For travel by 
other conveyances, the committee shall maintain documentation of the 
commercial rental rate for a conveyance of sufficient size, including 
the provider of the conveyance and the size, model and make of the 
conveyance.
    (6) Travel expenses of a candidate's spouse and family when 
accompanying the candidate on campaign-related travel may be treated as 
qualified campaign expenses and reportable expenditures. If the spouse 
or family members conduct campaign-related activities, their travel 
expenses will be treated as qualified campaign expenses and reportable 
expenditures.
    (7) If any individual, including a candidate, incurs expenses for 
campaign-related travel, other than by use of government conveyance or 
accommodations, an amount equal to that portion of the actual cost of 
the conveyance or accommodations which is allocable to all passengers, 
including the candidate, who are traveling for campaign purposes will be 
a qualified campaign expense and shall be reported by the committee as 
an expenditure.
    (i) If the trip is by charter, the actual cost for each passenger 
shall be determined by dividing the total operating cost for the charter 
by the total number of passengers transported. The amount which is a 
qualified campaign expense and a reportable expenditure shall be 
calculated in accordance with the formula set forth at 11 CFR 
9034.7(b)(2) on the basis of the actual cost per passenger multiplied by 
the number of passengers traveling for campaign purposes.
    (ii) If the trips is by non-charter commercial transportation, the 
actual cost shall be calculated in accordance with the formula set forth 
at 11 CFR 9034.7(b)(2) on the basis of the commercial fare. Such actual 
cost shall be a qualified campaign expense and a reportable expenditure.
    (8) Travel on corporate airplanes and other corporate conveyances is 
governed by 11 CFR 114.9(e).

[60 FR 31884, June 16, 1995]



Sec. 9034.8  Joint fundraising.

    (a) General--(1) Permissible participants. Presidential primary 
candidates who receive matching funds under this subchapter may engage 
in joint fundraising with other candidates, political committees or 
unregistered committees or organizations.
    (2) Use of funds. Contributions received as a result of a 
candidate's participation in a joint fundraising activity under this 
section may be--
    (i) Submitted for matching purposes in accordance with the 
requirements of 11 CFR 9034.2 and the Federal Election Commission's 
Guideline for Presentation in Good Order;
    (ii) Used to pay a candidate's net outstanding campaign obligations 
as provided in 11 CFR 9034.5;
    (iii) Used to defray qualified campaign expenses;
    (iv) Used to defray exempt legal and accounting costs; or
    (v) If in excess of a candidate's net outstanding campaign 
obligations or expenditure limit, used in any manner consistent with 11 
CFR 113.2, including repayment of funds under 11 CFR part 9038.
    (b) Fundraising representatives--(1) Establishment or selection of 
fundraising representative. 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. 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.
    (2) Separate fundraising committee as fundraising representative. A 
separate fundraising committee established by the participants to act as 
fundraising representative for all participants shall--
    (i) Be established as a reporting political committee under 11 CFR 
100.5;
    (ii) Collect contributions;

[[Page 273]]

    (iii) Pay fundraising costs from gross proceeds and funds advanced 
by participants; and
    (iv) Disburse net proceeds to each participant.
    (3) Participating committee as fundraising representative. A 
participant selected to act as fundraising representative for all 
participants shall--
    (i) Be a political committee as defined in 11 CFR 100.5;
    (ii) Collect contributions; however, other participants may also 
collect contributions and then forward them to the fundraising 
representative as required by 11 CFR 102.8;
    (iii) Pay fundraising costs from gross proceeds and funds advanced 
by participants; and
    (iv) Disburse net proceeds to each participant.
    (4) Independent fundraising agent. The participants or the 
fundraising representative may hire a commercial fundraising firm or 
other agent to assist in conducting the joint fundraising activity. In 
that case, however, the fundraising representative shall still be 
responsible for ensuring that the recordkeeping, reporting and 
documentation requirements set forth in this subchapter are met.
    (c) Joint fundraising procedures. Any joint fundraising activity 
under this section shall be conducted in accordance with the following 
requirements:
    (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) Funds advanced for fundraising costs. (i) Except as provided in 
11 CFR 9034.8(c)(2)(ii), the amount of funds advanced by each 
participant for fundraising costs shall be in proportion to the 
allocation formula agreed upon under 11 CFR 9034.8(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), part 110, and 9034.4(b)(6).
    (3) 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;
    (B) The allocation formula to be used for distributing joint 
fundraising proceeds;
    (C) A statement informing contributors that, notwithstanding the 
stated allocation formula, they may designate their contributions for a 
particular participant or participants; and
    (D) A statement informing contributors that the allocation formula 
may change if a contributor makes a contribution which would exceed the 
amount that contributor may give to any participant.
    (ii) If one or more participants engage in the joint fundraising 
activity solely to satisfy outstanding debts, the notice shall also 
contain a statement informing contributors that the allocation formula 
may change if a participant receives sufficient funds to pay its 
outstanding debts.
    (4) 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 title 2, United States 
Code. Each political committee shall amend its Statement of Organization 
to reflect the account as an additional depository.

[[Page 274]]

    (ii) The fundraising representative shall deposit all joint 
fundraising proceeds in the separate depository account within ten days 
of receipt as required by 11 CFR 103.3. The fundraising representative 
may delay distribution of the fundraising proceeds to the participants 
until all contributions are received and all expenses are paid.
    (iii) For contribution reporting and limitation purposes, the date 
of receipt of a contribution by a participating political committee is 
the date that the contribution is received by the fundraising 
representative. The fundraising representative shall report 
contributions in the reporting period in which they are received. 
Participating political committees shall report joint fundraising 
proceeds in accordance with 11 CFR 9034.8(c)(9) when such funds are 
received from the fundraising representative.
    (5) 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.
    (iii) The fundraising representative shall retain the records 
required under 11 CFR 9033.11 regarding fundraising disbursements for a 
period of three years. Commercial fundraising firms or agents shall 
forward such information to the fundraising representative.
    (6) 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.
    (7) Allocation of gross proceeds. (i) The fundraising representative 
shall allocate proceeds according to the formula stated in the 
fundraising agreement. Each contribution received shall be allocated 
among the participants in accordance with the allocation formula, unless 
the circumstances described in paragraphs (c)(7) (ii), (iii) or (iv) of 
this section apply. Funds may not be distributed or reallocated so as to 
maximize the matchability of the contributions.
    (ii) If distribution according to the allocation formula 
extinguishes the debts of one or more participants or if distribution 
under the formula results in a violation of the contribution limits of 
11 CFR 110.1(b), the fundraising representative may reallocate the 
surplus funds. The fundraising representative shall not reallocate funds 
so as to allow candidates seeking to extinguish outstanding debts to 
rely on the receipt of matching funds to pay the remainder of their 
debts; rather, all funds to which a participant is entitled under the 
allocation formula shall be deemed funds available to pay the 
candidate's outstanding campaign obligations as provided in 11 CFR 
9034.5(c).
    (iii) Reallocation shall be based upon the remaining participant's 
proportionate shares under the allocation formula. If reallocation 
results in a violation of a contributor's limit under 11 CFR 110.1, the 
fundraising representative shall return to the contributor the amount of 
the contribution that exceeds the limit.
    (iv) Earmarked contributions which exceed the contributor's limit to 
the designated participant under 11 CFR part 110 may not be reallocated 
by the fundraising representative without the prior written permission 
of the contributor. A written instrument made payable to one of the 
participants shall be considered an earmarked contribution unless a 
written statement by the contributor indicates that it is intended for 
inclusion in the general proceeds of the fundraising activity.
    (8) 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:

[[Page 275]]

    (A) After gross contributions are allocated among the participants 
under 11 CFR 9034.8(c)(7), the fundraising representative shall 
calculate each participant's share of expenses based on the percentage 
of the total receipts each participant had been allocated. To calculate 
each participant's net proceeds, the fundraising representative shall 
subtract the participant's share of expenses from the amount that 
participant has been allocated from gross proceeds.
    (B) A participant may only pay expenses on behalf of another 
participant subject to the contribution limits of 11 CFR part 110. See 
also 11 CFR 9034.4(b)(6).
    (C) The expenses from a series of fundraising events or activities 
shall be allocated among the participants on a per-event basis 
regardless of whether the participants change or remain the same 
throughout the series.
    (ii) If participating committees are affiliated as defined in 11 CFR 
110.3 prior to the joint fundraising activity or if participants are 
party committees of the same political party, expenses need not be 
allocated among those participants. Payment of such expenses by an 
unregistered committee or organization on behalf of an affiliated 
political committee may cause the unregistered organization to become a 
political committee.
    (iii) Payment of expenses may be made from gross proceeds by the 
fundraising representative.
    (9) 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. 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. 
Each participant shall report in a memo Schedule B his or her total 
allocated share of these disbursements in the same reporting period in 
which net proceeds are distributed and reported and include the amount 
on page 4 of Form 3-P, under ``Expenditures Subject to Limit.''

[56 FR 35934, July 29, 1991; 56 FR 42380, Aug. 27, 1991]



Sec. 9034.9  Sale of assets acquired for fundraising purposes.

    (a) General. A candidate may sell assets donated to the candidate's 
authorized committee(s) or otherwise acquired for fundraising purposes 
(See 11 CFR 9034.5(c)(2)), subject to the limitations and prohibitions 
of title 2, United States Code and 11 CFR parts 110 and 114.
    (b) Sale after end of matching payment period. A candidate whose 
outstanding debts exceed his or her cash on hand after the end of the 
matching payment period as determined under 11 CFR 9032.6 may dispose of 
assets acquired for fundraising purposes in a sale to a wholesaler or 
other intermediary who will in turn sell such assets to the public, 
provided that the sale to the wholesaler or intermediary is an arms-
length transaction. Sales made under this subsection will not be subject 
to the limitations and prohibitions of title 2, United States Code and 
11 CFR parts 110 and 114.



PART 9035--EXPENDITURE LIMITATIONS--Table of Contents




Sec.
9035.1  Campaign expenditure limitation; compliance and fundraising 
          exemptions.
9035.2  Limitation on expenditures from personal or family funds.
9035.3  Contributions to and expenditures by Vice Presidential 
          candidates.

    Authority: 26 U.S.C. 9035 and 9039(b).

    Source: 56 FR 35491, July 29, 1991, unless otherwise noted.

[[Page 276]]



Sec. 9035.1  Campaign expenditure limitation; compliance and fundraising exemptions.

    (a) Spending limit. (1) No candidate or his or her authorized 
committee(s) shall knowingly incur expenditures in connection with the 
candidate's campaign for nomination, which expenditures, in the 
aggregate, exceed $10,000,000 (as adjusted under 2 U.S.C. 441a(c)), 
except that the aggregate expenditures by a candidate in any one State 
shall not exceed the greater of: 16 cents (as adjusted under 2 U.S.C. 
441a(c)) multiplied by the voting age population of the State (as 
certified under 2 U.S.C. 441a(e)); or $200,000 (as adjusted under 2 
U.S.C. 441a(c)).
    (2) The Commission will calculate the amount of expenditures 
attributable to the overall expenditure limit or to a particular state 
using the full amounts originally charged for goods and services 
rendered to the committee and not the amounts for which such obligations 
were settled and paid, unless the committee can demonstrate that the 
lower amount paid reflects a reasonable settlement of a bona fide 
dispute with the creditor.
    (b) Allocation of expenditures. Each candidate receiving or 
expecting to receive matching funds under this subchapter shall also 
allocate his or her expenditures in accordance with the provisions of 11 
CFR 106.2.
    (c) Compliance and fundraising exemptions. (1) A candidate may 
exclude from the overall expenditure limitation set forth in paragraph 
(a) of this section an amount equal to 15% of the overall expenditure 
limitation as exempt legal and accounting compliance costs under 11 CFR 
100.8(b)(15).
    (2) A candidate may exclude from the overall expenditure limitation 
of 11 CFR 9035.1 the amount of exempt fundraising costs specified in 11 
CFR 100.8(b)(21)(iii).
    (d) Candidates not receiving matching funds. The expenditure 
limitations of 11 CFR 9035.1 shall not apply to a candidate who does not 
receive matching funds at any time during the matching payment period.

[64 FR 49364, Sept. 13, 1999]



Sec. 9035.2  Limitation on expenditures from personal or family funds.

    (a)(1) No candidate who has accepted matching funds shall knowingly 
make expenditures from his or her personal funds, or funds of his or her 
immediate family, in connection with his or her campaign for nomination 
for election to the office of President which exceed $50,000, in the 
aggregate. This section shall not operate to prohibit any member of the 
candidate's immediate family from contributing his or her personal funds 
to the candidate, subject to the limitations of 11 CFR part 110. The 
provisions of this section also shall not limit the candidate's 
liability for, nor the candidate's ability to pay, any repayments 
required under 11 CFR part 9038. If the candidate or his or her 
committee knowingly incurs expenditures in excess of the limitations of 
11 CFR 110.8(a), the Commission may seek civil penalties under 11 CFR 
part 111 in addition to any repayment determinations made on the basis 
of such excessive expenditures.
    (2) Expenditures made using a credit card for which the candidate is 
jointly or solely liable will count against the limits of this section 
to the extent that the full amount due, including any finance charge, is 
not paid by the committee within 60 days after the closing date of the 
billing statement on which the charges first appear. For purposes of 
this section, the closing date shall be the date indicated on the 
billing statement which serves as the cutoff date for determining which 
charges are included on that billing statement.
    (b) For purposes of this section, the term immediate family means a 
candidate, spouse, and any child, parent, grandparent, brother, half-
brother, sister, or half-sister of the candidate, and the spouses of 
such persons.
    (c) For purposes of this section, personal funds has the same 
meaning as specified in 11 CFR 110.10.



Sec. 9035.3  Contributions to and expenditures by Vice Presidential candidates.

    (a) Aggregation of contributions and expenditures. For purposes of 
the limitations on contributions and expenditures of this part and part 
110, contributions to, and expenditures by, the

[[Page 277]]

authorized committee of a candidate who becomes the nominee of a 
political party for the office of Vice President of the United States 
shall be aggregated with contributions to and expenditures by the 
publicly funded primary candidate who obtains that political party's 
nomination for the office of President of the United States, provided 
that the contributions to or expenditures by the authorized committee of 
the Vice Presidential candidate were made on or after the date on 
which--
    (1) The Presidential or Vice Presidential candidate publicly 
indicates that the two candidates intend to run on the same ticket;
    (2) The candidate for the office of Vice President accepts an offer 
by the publicly funded primary candidate for the office of President, or 
by the Presidential candidate's agent(s), to run on the same ticket; or
    (3) The Presidential and Vice Presidential committees become 
affiliated pursuant to 11 CFR 100.5(g)(4)(i) or (ii).
    (b) Exceptions. The following expenditures, if incurred by the 
authorized committee of a candidate who subsequently becomes the nominee 
of a political party for the office of Vice President of the United 
States, will not be aggregated under paragraph (a) of this section:
    (1) The cost of attendance by the candidate, the candidate's family, 
and the candidate's authorized committee's staff at a political party's 
national nominating convention, including the cost of transportation, 
lodging, and subsistence;
    (2) The cost of legal and accounting services associated with 
background checks during the Vice Presidential selection process; and
    (3) The cost of raising funds for the expenses listed in paragraphs 
(b)(1) and (b)(2) of this section.

[64 FR 61781, Nov. 15, 1999]



PART 9036--REVIEW OF MATCHING FUND SUBMISSIONS AND CERTIFICATION OF PAYMENTS BY COMMISSION--Table of Contents




Sec.
9036.1  Threshold submission.
9036.2  Additional submissions for matching fund payments.
9036.3  Submission errors and insufficient documentation.
9036.4  Commission review of submissions.
9036.5  Resubmissions.
9036.6  Continuation of certification.

    Authority: 26 U.S.C. 9036 and 9039(b).

    Source: 56 FR 34132, July 25, 1991 and 56 FR 35941, July 29, 1991, 
unless otherwise noted.



Sec. 9036.1  Threshold submission.

    (a) Time for submission of threshold submission. At any time after 
January 1 of the year immediately preceding the Presidential election 
year, the candidate may submit a threshold submission for matching fund 
payments in accordance with the format for such submissions set forth in 
11 CFR 9036.1(b). The candidate may submit the threshold submission 
simultaneously with or subsequent to his or her submission of the 
candidate agreement and certifications required by 11 CFR 9033.1 and 
9033.2.
    (b) Format for threshold submission. (1) For each State in which the 
candidate certifies that he or she has met the requirements of the 
certifications in 11 CFR 9033.2(b), the candidate shall submit an 
alphabetical list of contributors showing:
    (i) Each contributor's full name and residential address;
    (ii) The occupation and name of employer for individuals whose 
aggregate contributions exceed $200 in the calendar year;
    (iii) The date of deposit of each contribution into the designated 
campaign depository;
    (iv) The full dollar amount of each contribution submitted for 
matching purposes;
    (v) The matchable portion of each contribution submitted for 
matching purposes;
    (vi) The aggregate amount of all matchable contributions from that 
contributor submitted for matching purposes;
    (vii) A notation indicating which contributions were received as a 
result of joint fundraising activities.
    (2) For each list of contributors generated directly or indirectly 
from computerized files or computerized records, the candidate shall 
submit computerized magnetic media, such as magnetic

[[Page 278]]

tapes or magnetic diskettes, containing the information required by 11 
CFR 9036.1(b)(1) in accordance with 11 CFR 9033.12.
    (3) The candidate shall submit a full-size photocopy of each check 
or written instrument and of supporting documentation in accordance with 
11 CFR 9034.2 for each contribution that the candidate submits to 
establish eligibility for matching funds. For purposes of the threshold 
submission, the photocopies shall be segregated alphabetically by 
contributor within each State, and shall be accompanied by and 
referenced to copies of the relevant deposit slips. In lieu of 
submitting photocopies, the candidate may submit digital images of 
checks and other materials in accordance with the procedures specified 
in 11 CFR 9036.2(b)(1)(vi). Digital images of contributions do not need 
to be segregated alphabetically by contributor within each State.
    (4) The candidate shall submit bank documentation, such as bank-
validated deposit slips or unvalidated deposit slips accompanied by the 
relevant bank statements, which indicate that the contributions 
submitted were deposited into a designated campaign depository.
    (5) For each State in which the candidate certifies that he or she 
has met the requirements to establish eligibility, the candidate shall 
submit a listing, alphabetically by contributor, of all checks returned 
by the bank to date as unpaid (e.g., stop payments, non-sufficient 
funds) regardless of whether the contribution was submitted for 
matching. This listing shall be accompanied by a full-size photocopy of 
each unpaid check, and copies of the associated debit memo and bank 
statement.
    (6) For each State in which the candidate certifies that he or she 
has met the requirements to establish eligibility, the candidate shall 
submit a listing, in alphabetical order by contributor, of all 
contributions that were refunded to the contributor, regardless of 
whether the contributions were submitted for matching. For each refunded 
contribution, the listing shall state the contributor's full name and 
address, the deposit date and batch number, an indication of which 
matching fund submission the contribution was included in, if any, and 
the amount and date of the refund. The listing shall be accompanied by a 
full-sized photocopy of each refunded contributor check.
    (7) In the case of a contribution made by a credit or debit card, 
including one made over the Internet, the candidate shall provide 
sufficient documentation to the Commission to insure that each such 
contribution was made by a lawful contributor who manifested an 
intention to make the contribution to the candidate or authorized 
committee that submits it for matching fund payments. Additional 
information on the documentation required to accompany such 
contributions is found in the Commission's Guideline for Presentation in 
Good Order. See 11 CFR 9033.1(b)(9).
    (8) The candidate shall submit all contributions in accordance with 
the Federal Election Commission's Guideline for Presentation in Good 
Order.
    (9) Contributions that are not submitted in compliance with this 
section shall not count toward the threshold amount.
    (c) Threshold certification by Commission. (1) After the Commission 
has determined under 11 CFR 9033.4 that the candidate has satisfied the 
eligibility and certification requirements of 11 CFR 9033.1 and 9033.2, 
the Commission will notify the candidate in writing that the candidate 
is eligible to receive primary matching fund payments as provided in 11 
CFR part 9034.
    (2) If the Commission makes a determination of a candidate's 
eligibility under 11 CFR 9036.1(a) in a Presidential election year, the 
Commission shall certify to the Secretary, within 10 calendar days after 
the Commission has made its determination, the amount to which the 
candidate is entitled.
    (3) If the Commission makes a determination of a candidate's 
eligibility under 11 CFR 9036.1(a) in the year preceding the 
Presidential election year, the Commission will notify the candidate 
that he or she is eligible to receive matching fund payments; however, 
the Commission's determination will not result in a payment of funds to 
the candidate until after January 1 of the Presidential election year.

[56 FR 34132, July 25, 1991, as amended at 56 FR 35941, July 29, 1991; 
64 FR 42585, Aug. 5, 1999; 64 FR 49365, Sept. 13, 1999]

[[Page 279]]



Sec. 9036.2  Additional submissions for matching fund payments.

    (a) Time for submission of additional submissions. The candidate may 
submit additional submissions for payments to the Commission on dates to 
be determined and published by the Commission. On the last two 
submission dates in the year prior to the election year and on each 
submission date after the beginning of the matching payment period, the 
candidate may not make more than one additional submission, and either 
one resubmission under 11 CFR 9036.5 or one corrected submission under 
11 CFR 9036.2(c) or (d)(2), as appropriate.
    (b) Format for additional submissions. The candidate may obtain 
additional matching fund payments subsequent to the Commission's 
threshold certification and payment of primary matching funds to the 
candidate by filing an additional submission for payment. All additional 
submissions for payments filed by the candidate shall be made in 
accordance with the Federal Election Commission's Guideline for 
Presentation in Good Order.
    (1) The first submission for matching funds following the 
candidate's threshold submission shall contain all the matchable 
contributions included in the threshold submission and any additional 
contributions to be submitted for matching in that submission. This 
submission shall contain all the information required for the threshold 
submission except that:
    (i) The candidate is not required to resubmit the candidate 
agreement and certifications of 11 CFR 9033.1 and 9033.2;
    (ii) The candidate is required to submit an alphabetical list of 
contributors (either solely in magnetic media from or in both printed 
and magnetic media forms), but not segregated by State as required in 
the threshold submission;
    (iii) The candidate is required to submit a listing, alphabetical by 
contributor, of all checks returned unpaid, but not segregated by State 
as required in the threshold submission;
    (iv) The candidate is required to submit a listing, in alphabetical 
order by contributor, of all contributions refunded to the contributor 
but not segregated by State as required in the threshold submission.
    (v) The occupation and employer's name need not be disclosed on the 
contributor list for individuals whose aggregate contributions exceed 
$200 in the calendar year, but such information is subject to the 
recordkeeping and reporting requirements of 2 U.S.C. 432(c)(3), 
434(b)(3)(A) and 11 CFR 102.9(a)(2), 104.3(a)(4)(i); and
    (vi) The photocopies of each check or written instrument and of 
supporting documentation shall either be alphabetized and referenced to 
copies of the relevant deposit slip, but not segregated by State as 
required in the threshold submission; or such photocopies may be batched 
in deposits of 50 contributions or less and cross-referenced by deposit 
number and sequence number within each deposit on the contributor list. 
In lieu of submitting photocopies, the candidate may submit digital 
images of checks, written instruments and deposit slips as specified in 
the Computerized Magnetic Media Requirements. The candidate may also 
submit digital images of contributor redesignations, reattributions and 
supporting statements and materials needed to verify the matchability of 
contributions. The candidate shall provide the computer equipment and 
software needed to retrieve and read the digital images, if necessary, 
at no cost to the Commission, and shall include digital images of every 
contribution received and imaged on or after the date of the previous 
matching fund request. Contributions and other documentation not imaged 
shall be submitted in photocopy form. The candidate shall maintain the 
originals of all contributor redesignations, reattributions and 
supporting statements and materials that are submitted for matching as 
digital images.
    (vii) In the case of a contribution made by a credit or debit card, 
including one made over the Internet, the candidate shall provide 
sufficient documentation to the Commission to insure that each such 
contribution was made by a lawful contributor who manifested an 
intention to make the contribution to the candidate or authorized 
committee that submits it for matching fund payments. Additional 
information

[[Page 280]]

on the documentation required to accompany such contributions is found 
in the Commission's Guideline for Presentation in Good Order. See 11 CFR 
9033.1(b)(9).
    (2) Following the first submission under 11 CFR 9036.2(b)(1), 
candidates may request additional matching funds on dates prescribed by 
the Commission by making a full submission as required under 11 CFR 
9036.2(b)(1). The amount requested for matching may include 
contributions received up to the last business day preceding the date of 
the request.
    (c) Additional submissions submitted in non-Presidential election 
year. The candidate may submit additional contributions for review 
during the year preceding the presidential election year; however, the 
amount of each submission made during this period must exceed $50,000. 
Additional submissions filed by a candidate in a non-Presidential 
election year will not result in payment of matching funds to the 
candidate until after January 1 of the Presidential election year. If 
the projected dollar value of the nonmatchable contributions exceeds 15% 
of the amount requested, the procedures described in 11 CFR 9036.2(d)(2) 
shall apply, unless the submission was made on the last submission date 
in December of the year before the Presidential election year.
    (d) Certification of additional payments by Commission. (1) When a 
candidate who is eligible under 11 CFR 9033.4 submits an additional 
submission for payment in the Presidential election year, and before the 
candidate's date of ineligibility, the Commission will review the 
additional submission and will certify to the Secretary at least once a 
month on dates to be determined and published by the Commission, an 
amount to which the candidate is entitled in accordance with 11 CFR 
9034.1(b). See 11 CFR 9036.4 for Commission procedures for certification 
of additional payments.
    (2) After a candidate's date of ineligibility, the Commission will 
review each additional submission and resubmission, and will certify to 
the Secretary, at least once a month on dates to be determined and 
published by the Commission, an amount to which the ineligible candidate 
is entitled in accordance with 11 CFR 9034.1(b), unless the projected 
dollar value of the nonmatchable contributions contained in the 
submission or resubmission exceeds 15% of the amount requested. In the 
latter case, the Commission will return the additional submission or 
resubmission to the candidate and request that it be corrected, unless 
the resubmission was made on the last date for resubmissions in 
September of the year following the Presidential election year. 
Corrected submissions and resubmissions will be reviewed by the 
Commission in accordance with 11 CFR 9036.4 and 9036.5. Submissions and 
resubmissions will not be considered to be corrected unless the 
projected dollar value of nonmatchable contributions has been reduced to 
no more than 15% of the amount requested.

[56 FR 34132, July 25, 1991; 56 FR 41891, Aug. 23, 1991; 60 FR 31885, 
June 16, 1995; 64 FR 42585, Aug. 5, 1999; 64 FR 49365, Sept. 13, 1999]



Sec. 9036.3  Submission errors and insufficient documentation.

    Contributions which are otherwise matchable may be rejected for 
matching purposes because of submission errors or insufficient 
supporting documentation. Contributions, other than those defined in 11 
CFR 9034.3 or in the form of money orders, cashier's checks, or similar 
negotiable instruments, may become matchable if there is a proper 
resubmission in accordance with 11 CFR 9036.5 and 9036.6. Insufficient 
documentation or submission errors include but are not limited to:
    (a) Discrepancies in the written instrument, such as:
    (1) Instruments drawn on other than personal accounts of 
contributors and not signed by the contributing individual;
    (2) Signature discrepancies; and
    (3) Lack of the contributor's signature, the amount or date of the 
contribution, or the listing of the committee or candidate as payee.
    (b) Discrepancies between listed contributions and the written 
instrument or supporting documentation, such as:
    (1) The listed amount requested for matching exceeds the amount 
contained on the written instrument;

[[Page 281]]

    (2) A written instrument has not been submitted to support a listed 
contribution;
    (3) The submitted written instrument cannot be associated either by 
accountholder identification or signature with the listed contributor; 
or
    (4) A discrepancy between the listed contribution and the supporting 
bank documentation or the bank documentation is omitted.
    (c) Discrepancies within or between contributor lists submitted, 
such as:
    (1) The address of the contributor is omitted or incomplete or the 
contributor's name is alphabetized incorrectly, or more than one 
contributor is listed per item;
    (2) A discrepancy in aggregation within or between submissions which 
results in a request that more than $250 be matched for that 
contributor, or a listing of a contributor more than once within the 
same submission; or
    (3) A written instrument has been previously submitted and matched 
in full or is listed twice in the same submission.
    (d) The omission of information, supporting statements, or 
documentation required by 11 CFR 9034.2.



Sec. 9036.4  Commission review of submissions.

    (a) Non-acceptance of submission for review of matchability. (1) The 
Commission will make an initial review of each submission made under 11 
CFR part 9036 to determine if it substantially meets the format 
requirements of 11 CFR 9036.1(b) and 9036.2(b) and the Federal Election 
Commission's Guideline for Presentation in Good Order. If the Commission 
determines that a submission does not substantially meet these 
requirements, it will not review the matchability of the contributions 
contained therein.
    (2) For submissions made in the year before the Presidential 
election year (other than submissions made on the last submission date 
in that year), and submissions made after the candidate's date of 
ineligibility, the Commission will stop reviewing the submission once 
the projected dollar value of nonmatchable contributions exceeds 15% of 
the amount requested, as provided in 11 CFR 9036.2 (c) or (d), as 
applicable.
    (3) Under either paragraphs (a)(1) or (a)(2) of this section, the 
Commission will return the submission to the candidate and request that 
it be corrected in accordance with the applicable requirements. If the 
candidate makes a corrected submission within 5 business days after the 
Commission's return of the original, the Commission will review the 
corrected submission prior to the next regularly scheduled submission 
date, and will certify to the Secretary the amount to which the 
candidate is entitled on the regularly scheduled certification date for 
the original submission. Corrected submissions made after this five-day 
period will be reviewed subsequent to the next regularly scheduled 
submission date, and the Commission will certify to the Secretary the 
amount to which the candidate is entitled on the next regularly 
scheduled certification date. Each corrected submission shall only 
contain contributions previously submitted for matching in the returned 
submission and no new or additional contributions.
    (b) Acceptance of submission for review of matchability. If the 
Commission determines that a submission made under 11 CFR part 9036 
satisfies the requirements of 11 CFR 9036.1(b) and 9036.2 (b), (c) and 
(d), and the Federal Election Commission's Guideline for Presentation in 
Good Order, it will review the matchability of the contributions 
contained therein. The Commission, in conducting its review, may utilize 
statistical sampling techniques. Based on the results of its review, the 
Commission may calculate a matchable amount for the submission which is 
less than the amount requested by the candidate. If the Commission 
certifies for payment to the Secretary an amount that is less than the 
amount requested by the candidate in a particular submission, or reduces 
the amount of a subsequent certification to the Secretary by adjusting a 
previous certification made under 11 CFR 9036.2(c)(1), the Commission 
will notify the candidate in writing of the following:
    (1) The amount of the difference between the amount requested and 
the amount to be certified by the Commission;

[[Page 282]]

    (2) The amount of each contribution and the corresponding 
contributor's name for each contribution that the Commission has 
rejected as nonmatchable and the reason that it is not matchable; or if 
statistical sampling is used, the estimated amount of contributions by 
type and the reason for rejection;
    (3) The amount of contributions that have been determined to be 
matchable and that the Commission will certify to the Secretary for 
payment; and
    (4) A statement that the candidate may supply the Commission with 
additional documentation or other information in the resubmission of any 
rejected contribution under 11 CFR 9036.5 in order to show that a 
rejected contribution is matchable under 11 CFR 9034.2.
    (c) Adjustment of amount to be certified by Commission. (1) The 
candidate shall notify the Commission as soon as possible if the 
candidate or the candidate's authorized committee(s) has knowledge that 
a contribution submitted for matching does not qualify under 11 CFR 
9034.2 as a matchable contribution, such as a check returned to the 
committee for insufficient funds or a contribution that has been 
refunded, so that the Commission may properly adjust the amount to be 
certified for payment.
    (2) After the candidate's date of ineligibility, if the candidate 
does not receive the entire amount of matching funds on a regularly 
scheduled payment date due to a shortfall in the matching payment 
account, prior to each subsequent payment date on which the candidate 
receives payments from any previous certification, the Commission may 
revise the amount previously certified for payment pursuant to 11 CFR 
9034.5(f). The Commission will promptly notify the Secretary and the 
candidate of any revision to the amount certified.
    (d) Commission audit of submissions. The Commission may determine, 
for the reasons stated in 11 CFR part 9039, that an audit and 
examination of contributions submitted for matching payment is 
warranted. The audit and examination shall be conducted in accordance 
with the procedures of 11 CFR part 9039.

[56 FR 34133, July 25, 1991]



Sec. 9036.5  Resubmissions.

    (a) Alternative resubmission methods. Upon receipt of the 
Commission's notice of the results of the submission review pursuant to 
11 CFR 9036.4(b), or of an inquiry pursuant to 11 CFR 9039.3 that 
results in a downward adjustment to the amount of certified matching 
funds, a candidate may choose to:
    (1) Resubmit the entire submission; or
    (2) Make a written request for the identification of the specific 
contributions that were rejected for matching, and resubmit those 
specific contributions.
    (b) Time for presentation of resubmissions. If the candidate chooses 
to resubmit any contributions under 11 CFR 9036.5(a), the contributions 
shall be resubmitted on dates to be determined and published by the 
Commission. The candidate may not make any resubmissions later than the 
first Tuesday in September of the year following the Presidential 
election year.
    (c) Format for resubmissions. All resubmissions filed by the 
candidate shall be made in accordance with the Federal Election 
Commission's Guideline for Presentation in Good Order. In making a 
presentation of resubmitted contributions, the candidate shall follow 
the format requirements as specified in 11 CFR 9036.2(b)(1), except 
that:
    (1) The candidate need not provide photocopies of written 
instruments, supporting documentation and bank documentation unless it 
is necessary to supplement the original documentation.
    (2) Each resubmitted contribution shall be referenced to the 
submission in which it was first presented.
    (3) Each list of resubmitted contributions shall reflect the 
aggregate amount of contributions submitted for matching from each 
contributor as of the date of the original submission.
    (4) Each list of resubmitted contributions shall reflect the 
aggregate amount of contributions submitted for matching from each 
contributor as of the date of the resubmission.

[[Page 283]]

    (5) Each list of resubmitted contributions shall only contain 
contributions previously submitted for matching and no new or additional 
contributions.
    (6) Each resubmission shall be accompanied by a statement that the 
candidate has corrected his or her contributor records (including the 
data base for those candidates maintaining their contributor list on 
computer).
    (d) Certification of resubmitted contributions. Contributions that 
the Commission determines to be matchable will be certified to the 
Secretary at least once a month on dates to be determined and published 
by the Commission. If the candidate chooses to request the specific 
contributions rejected for matching pursuant to 11 CFR 9036.5(a)(2), the 
amount certified shall equal only the matchable amount of the particular 
contribution that meets the standards on resubmission, rather than the 
amount projected as being nonmatchable based on that contribution due to 
the sampling techniques used in reviewing the original submission.
    (e) Initial determinations. If the candidate resubmits a 
contribution for matching and the Commission determines that the 
rejected contribution is still non-matchable, the Commission will notify 
the candidate in writing of its determination. The Commission will 
advise the candidate of the legal and factual reasons for its 
determination and of the evidence on which that determination is based. 
The candidate may submit written legal or factual materials to 
demonstrate that the contribution is matchable within 30 calendar days 
after service of the Commission's notice. Such materials may be 
submitted by counsel if the candidate so desires.
    (f) Final determinations. The Commission will consider any written 
legal or factual materials timely submitted by the candidate in making 
its final determination. A final determination by the Commission that a 
contribution is not matchable will be accompanied by a written statement 
of reasons for the Commission's action. This statement will explain the 
reasons underlying the Commission's determination and will summarize the 
results of any investigation upon which the determination is based.

[56 FR 34134, July 25, 1991 and 56 FR 35941, July 29, 1991; 60 FR 31885, 
June 16, 1995]



Sec. 9036.6  Continuation of certification.

    Candidates who have received matching funds and who are eligible to 
continue to receive such funds may continue to submit additional 
submissions for payment to the Commission on dates specified in the 
Federal Election Commission's Guideline for Presentation in Good Order. 
The last date for first-time submissions will be the first Monday in 
March of the year following the election. No contribution will be 
matched if it is submitted after the last submission date, regardless of 
the date the contribution was deposited.

[56 FR 34134, July 25, 1991]



PART 9037--PAYMENTS AND REPORTING--Table of Contents




Sec.
9037.1  Payments of Presidential primary matching funds.
9037.2  Equitable distribution of funds.
9037.3  Deposits of Presidential primary matching funds.
9037.4  Alphabetized schedules.

    Authority: 26 U.S.C. 9037 and 9039(b).



Sec. 9037.1  Payments of Presidential primary matching funds.

    Upon receipt of a written certification from the Commission, but not 
before the beginning of the matching payment period, the Secretary will 
promptly transfer the amount certified from the matching payment account 
to the candidate. A matching fund certification may not result in full 
payment by the Secretary in the case of a shortfall in the matching 
payment account. See 26 CFR 702.9037-1 and 702.9037-2.

[56 FR 34134, July 25, 1991]



Sec. 9037.2  Equitable distribution of funds.

    In making such transfers to candidates of the same political party, 
the Secretary will seek to achieve an equitable distribution of funds 
available in the matching payment account, and the Secretary will take 
into account,

[[Page 284]]

in seeking to achieve an equitable distribution of funds available in 
the matching payment account, the sequence in which such certifications 
are received. See 26 CFR 702.9037-2(c) regarding partial payments to 
candidates in the case of a shortfall in the matching payment account.

[56 FR 34134, July 25, 1991]



Sec. 9037.3  Deposits of Presidential primary matching funds.

    Upon receipt of any matching funds, the candidate shall deposit the 
full amount received into a checking account maintained by the 
candidate's principal campaign committee in the depository designated by 
the candidate. The account(s) shall be maintained at a State bank, 
federally chartered depository institution or other depository 
institution, the deposits of which are insured by the Federal Deposit 
Insurance Corporation.

[56 FR 35944, July 29, 1991]



Sec. 9037.4  Alphabetized schedules.

    If the authorized committee(s) of a candidate file a schedule of 
itemized receipts, disbursements, or debts and obligations pursuant to 
11 CFR 104.3 that was generated directly or indirectly from computerized 
files or records, the schedule shall list in alphabetical order the 
sources of the receipts, the payees or the creditors, as appropriate. In 
the case of individuals, such schedule shall list all contributors, 
payees, and creditors in alphabetical order by surname.

[60 FR 31885, June 16, 1995]



PART 9038--EXAMINATIONS AND AUDITS--Table of Contents




Sec.
9038.1  Audit.
9038.2  Repayments.
9038.3  Liquidation of obligations; repayment.
9038.4  Extensions of time.
9038.5  Petitions for rehearing; stays of repayment determinations.
9038.6  Stale-dated committee checks.
9038.7  Administrative record.

    Authority: 26 U.S.C. 9038 and 9039(b).

    Source: 56 FR 35945, July 29, 1991, unless otherwise noted.



Sec. 9038.1  Audit.

    (a) General. (1) The Commission will conduct an audit of the 
qualified campaign expenses of every candidate and his or her authorized 
committee(s) who received Presidential primary matching funds. The audit 
may be conducted at any time after the date of the candidate's 
ineligibility.
    (2) In addition, the Commission may conduct other examinations and 
audits from time to time as it deems necessary to carry out the 
provisions of this subchapter.
    (3) Information obtained pursuant to any audit and examination 
conducted under 11 CFR 9038.1(a) (1) and (2) may be used by the 
Commission as the basis, or partial basis, for its repayment 
determinations under 11 CFR 9038.2.
    (b) Conduct of fieldwork. (1) If the candidate or the candidate's 
authorized committee does not maintain or use any computerized 
information containing the data listed in 11 CFR 9033.12, the Commission 
will give the candidate's authorized committee at least two weeks' 
notice of the Commission's intention to commence fieldwork on the audit 
and examination. The fieldwork shall be conducted at a site provided by 
the committee. If the candidate or the candidate's authorized committee 
maintains or uses computerized information containing any of the data 
listed in 11 CFR 9033.12, the Commission generally will request such 
information prior to commencement of audit fieldwork. Such request will 
be made in writing. The committee shall produce the computerized 
information no later than 15 calendar days after service of such 
request. Upon receipt of the computerized information requested and 
compliance with the technical specifications of 11 CFR 9033.12(b), the 
Commission will give the candidate's authorized committee at least two 
weeks' notice of the Commission's intention to commence fieldwork on the 
audit and examination. The fieldwork shall be conducted at a site 
provided by the committee. During or after audit fieldwork, the 
Commission may request additional or updated computerized information 
which expands the coverage dates of computerized information previously

[[Page 285]]

provided, and which may be used for purposes including, but not limited 
to, updating a statement of net outstanding campaign obligations, or 
updating the amount chargeable to a state expenditure limit. During or 
after audit fieldwork, the Commission may also request additional 
computerized information which was created by or becomes available to 
the committee and that is of assistance in the Commission's audit. The 
committee shall produce the additional or updated computerized 
information no later than 15 calendar days after service of the 
Commission's request.
    (i) Office space and records. On the date scheduled for the 
commencement of fieldwork, the candidate or his or her authorized 
committee(s) shall provide Commission staff with office space and 
committee records in accordance with the candidate and committee 
agreement under 11 CFR 9033.1(b)(6).
    (ii) Availability of committee personnel. On the date scheduled for 
the commencement of fieldwork, the candidate or his or her authorized 
committee(s) shall have committee personnel present at the site of the 
fieldwork. Such personnel shall be familiar with the committee's records 
and operation and shall be available to Commission staff to answer 
questions and to aid in locating records.
    (iii) Failure to provide staff, records or office space. If the 
candidate or his or her authorized committee(s) fail to provide adequate 
office space, personnel or committee records, the Commission may seek 
judicial intervention under 2 U.S.C. 437d or 26 U.S.C. 9040(c) to 
enforce the candidate and committee agreement made under 11 CFR 
9033.1(b). Before seeking judicial intervention, the Commission will 
notify the candidate of his or her failure to comply with the agreement 
and will recommend corrective action to bring the candidate into 
compliance. Upon receipt of the Commission's notification, the candidate 
will have 10 calendar days in which to take the corrective action 
indicated or to otherwise demonstrate to the Commission in writing that 
he or she is complying with the candidate and committee agreement.
    (iv) If, in the course of the audit process, a dispute arises over 
the documentation sought or other requirements of the candidate 
agreement, the candidate may seek review by the Commission of the issues 
raised. To seek review, the candidate shall submit a written statement, 
within 10 calendar days after the disputed Commission staff request is 
made, describing the dispute and indicating the candidate's proposed 
alternative(s).
    (v) If the candidate or his or her authorized committee fails to 
produce particular records, materials, evidence or other information 
requested by the Commission, the Commission may issue an order pursuant 
to 2 U.S.C. 437d(a)(1) or a subpoena or subpoena duces tecum pursuant to 
2 U.S.C. 437(d)(a)(3). The procedures set forth in 11 CFR 111.11 through 
111.15, as appropriate, shall apply to the production of such records, 
materials, evidence or other information as specified in the order, 
subpoena or subpoena duces tecum.
    (2) Fieldwork will include the following steps designed to keep the 
candidate and committee informed as to the progress of the audit and to 
expedite the process:
    (i) Entrance conference. At the outset of the fieldwork, Commission 
staff will hold an entrance conference, at which the candidate's 
representatives will be advised of the purpose of the audit and the 
general procedures to be followed. Future requirements of the candidate 
and his or her authorized committee, such as possible repayments to the 
United States Treasury, will also be discussed. Committee 
representatives shall provide information and records necessary to 
conduct the audit, and Commission staff will be available to answer 
committee questions.
    (ii) Review of records. During the fieldwork, Commission staff will 
review committee records and may conduct interviews of committee 
personnel. Commission staff will be available to explain aspects of the 
audit and examination as it progresses. Additional meetings between 
Commission staff and committee personnel may be held from time to time 
during the fieldwork to discuss possible audit

[[Page 286]]

findings and to resolve issues arising during the course of the audit.
    (iii) Exit conference. At the conclusion of the fieldwork, 
Commission staff will hold an exit conference to discuss with committee 
representatives the staff's preliminary findings and recommendations 
that the staff anticipates it will present to the Commission for 
approval. Commission staff will advise committee representatives at this 
conference of the committee's opportunity to respond to these 
preliminary findings; the projected timetables regarding the issuance of 
the Preliminary Audit Report, the Audit Report, and any repayment 
determination; the committee's opportunity for an administrative review 
of any repayment determination; and the procedures involved in 
Commission repayment determinations under 11 CFR 9038.2.
    (3) Commission staff may conduct additional fieldwork after the 
completion of the fieldwork conducted pursuant to 11 CFR 9038.1(b) (1) 
and (2). Factors that may necessitate such follow-up fieldwork include, 
but are not limited to, the following:
    (i) Committee responses to audit findings;
    (ii) Financial activity of the committee subsequent to the fieldwork 
conducted pursuant to 11 CFR 9038.1(b)(1);
    (iii) Committee responses to Commission repayment determinations 
made under 11 CFR 9038.2.
    (4) The Commission will notify the candidate and his or her 
authorized committee if follow-up fieldwork is necessary. The provisions 
of 11 CFR 9038.1(b) (1) and (2) shall apply to any additional fieldwork 
conducted.
    (c) Preliminary Audit Report: Issuance by Commission and committee 
response. (1) Commission staff will prepare a written Preliminary Audit 
Report, which will be provided to the committee after it is approved by 
an affirmative vote of four (4) members of the Commission. The 
Preliminary Audit Report may include--
    (i) An evaluation of procedures and systems employed by the 
candidate and committee to comply with applicable provisions of the 
Federal Election Campaign Act, the Presidential Election Campaign Fund 
Act and Commission regulations;
    (ii) The accuracy of statements and reports filed with the 
Commission by the candidate and committee; and
    (iii) Preliminary calculations regarding future repayments to the 
United States Treasury.
    (2) The candidate and his or her authorized committee may submit in 
writing within 60 calendar days after receipt of the Preliminary Audit 
Report, legal and factual materials disputing or commenting on the 
proposed findings contained in the Preliminary Audit Report. In 
addition, the committee shall submit any additional documentation 
requested by the Commission. Such materials may be submitted by counsel 
if the candidate so desires.
    (d) Approval and issuance of audit report. (1) Before voting on 
whether to issue and approve an audit report, the Commission will 
consider any written legal and factual materials timely submitted by the 
candidate or his or her authorized committee in accordance with 
paragraph (c) of this section. The Commission-approved audit report may 
address issues other than those contained in the Preliminary Audit 
Report. In addition, this report will contain a repayment determination 
made by the Commission pursuant to 11 CFR 9038.2(c)(1).
    (2) The audit report may contain issues that warrant referral to the 
Office of General Counsel for possible enforcement proceedings under 2 
U.S.C. 437g and 11 CFR part 111.
    (3) Addenda to the audit report may be approved and issued by the 
Commission from time to time as circumstances warrant and as additional 
information becomes available. Such addenda may be based on follow-up 
fieldwork conducted under paragraph (b)(3) of this section, and/or 
information ascertained by the Commission in the normal course of 
carrying out its supervisory responsibilities. The procedures set forth 
in paragraphs (c) and (d) (1) and (2) of this section will be followed 
in preparing such addenda. The addenda will be placed on the public 
record as set forth in paragraph (e) of

[[Page 287]]

this section. Such addenda may also include additional repayment 
determination(s).
    (e) Public release of audit report. (1) The Commission will consider 
the audit report in an open session agenda document. The Commission will 
provide the candidate and the committee with copies of any agenda 
document to be considered in an open session 24 hours prior to releasing 
the agenda document to the public.
    (2) Following Commission approval of the audit report, the report 
will be forwarded to the committee and released to the public. The 
Commission will provide the candidate and committee with copies of the 
audit report approved by the Commission 24 hours before releasing the 
report to the public.
    (f)(1) Sampling. In conducting an audit of contributions pursuant to 
this section, the Commission may utilize generally accepted statistical 
sampling techniques to quantify, in whole or in part, the dollar value 
of related audit findings. A projection of the total amount of 
violations based on apparent violations identified in such a sample may 
become the basis, in whole or in part, of any audit finding.
    (2) A committee in responding to a sample-based finding concerning 
excessive or prohibited contributions shall respond only to the specific 
sample items used to make the projection. If the committee demonstrates 
that any apparent errors found among the sample items were not errors, 
the Commission shall make a new projection based on the reduced number 
of errors in the sample.
    (3) Within 30 days of service of the Final Audit Report, the 
committee shall submit a check to the United States Treasury for the 
total amount of any excessive or prohibited contributions not refunded, 
reattributed or redesignated in a timely manner in accordance with 11 
CFR 103.3(b) (1), (2) or (3); or take any other action required by the 
Commission with respect to sample-based findings.

[56 FR 35945, July 29, 1991; 56 FR 42380, Aug. 27, 1991; 60 FR 31885, 
June 16, 1995; 64 FR 61781, Nov. 15, 1999]



Sec. 9038.2  Repayments.

    (a) General. (1) A candidate who has received payments from the 
matching payment account shall pay the United States Treasury any 
amounts which the Commission determines to be repayable under this 
section. In making repayment determinations under this section, the 
Commission may utilize information obtained from audits and examinations 
conducted pursuant to 11 CFR 9038.1 and part 9039 or otherwise obtained 
by the Commission in carrying out its responsibilities under this 
subchapter.
    (2) The Commission will notify the candidate of any repayment 
determinations made under this section as soon as possible, but not 
later than 3 years after the close of the matching payment period. The 
Commission's issuance of the audit report to the candidate under 11 CFR 
9038.1(d) will constitute notification for purposes of this section.
    (3) Once the candidate receives notice of the Commission's repayment 
determination under this section, the candidate should give preference 
to the repayment over all other outstanding obligations of his or her 
committee, except for any federal taxes owned by the committee.
    (4) Repayments may be made only from the following sources: personal 
funds of the candidate (without regard to the limitations of 11 CFR 
9035.2), contributions and federal funds in the committee's account(s), 
and any additional funds raised subject to the limitations and 
prohibitions of the Federal Election Campaign Act of 1971, as amended.
    (b) Bases for repayment--(1) Payments in excess of candidate's 
entitlement. The Commission may determine that certain portions of the 
payments made to a candidate from the matching payment account were in 
excess of the aggregate amount of payments to which such candidate was 
entitled. Examples of such excessive payments include, but are not 
limited to, the following:
    (i) Payments made to the candidate after the candidate's date of 
ineligibility where it is later determined that the candidate had no net 
outstanding campaign obligations as defined in 11 CFR 9034.5;

[[Page 288]]

    (ii) Payments or portions of payments made to the candidate which 
are later determined to have been excessive due to the operation of the 
Commission's expedited payment procedures as set forth in the Federal 
Election Commission's Guideline for Presentation in Good Order;
    (iii) Payments or portions of payments made on the basis of matched 
contributions later determined to have been non-matchable;
    (iv) Payments or portions of payments made to the candidate which 
are later determined to have been excessive due to the candidate's 
failure to include funds received by a fundraising representative 
committee under 11 CFR 9034.8 on the candidate's statement of net 
outstanding campaign obligations under 11 CFR 9034.5; and
    (v) Payments or portions of payments made to the candidate on the 
basis of the debts reflected in the candidate's statement of net 
outstanding campaign obligations, which debts are later settled for an 
amount less than that stated in the statement of net outstanding 
campaign obligations.
    (2) Use of funds for non-qualified campaign expenses. (i) The 
Commission may determine that amount(s) of any payments made to a 
candidate from the matching payment account were used for purposes other 
than those set forth in paragraphs (b)(2)(i) (A)-(C) of this section:
    (A) Defrayal of qualified campaign expenses;
    (B) Repayment of loans which were used to defray qualified campaign 
expenses; and
    (C) Restoration of funds (other than contributions which were 
received and expended to defray qualified campaign expenses) which were 
used to defray qualified campaign expenses.
    (ii) Examples of Commission repayment determinations under 11 CFR 
9038.2(b)(2) include, but are not limited to, the following:
    (A) Determinations that a candidate, a candidate's authorized 
committee(s) or agents have made expenditures in excess of the 
limitations set forth in 11 CFR part 9035;
    (B) Determinations that funds described in 11 CFR 9038.2(b)(2)(i) 
were expended in violation of State or Federal law;
    (C) Determinations that funds described in 11 CFR 9038.2(b)(2)(i) 
were expended for expenses resulting from a violation of State or 
Federal law, such as the payment of fines or penalties; and
    (D) Determinations that funds described in 11 CFR 9038.2(b)(2)(i) 
were expended for costs associated with continuing to campaign after the 
candidate's date of ineligibility.
    (iii) The amount of any repayment sought under this section shall 
bear the same ratio to the total amount determined to have been used for 
non-qualified campaign expenses as the amount of matching funds 
certified to the candidate bears to the candidate's total deposits, as 
of 90 days after the candidate's date of ineligibility. For the purposes 
of this paragraph (b)(2)(iii)--
    (A) Total deposits is defined in accordance with 11 CFR 
9038.3(c)(2); and
    (B) In seeking repayment for non-qualified campaign expenses from 
committees that have received matching fund payments after the 
candidate's date of ineligibility, the Commission will review committee 
expenditures to determine at what point committee accounts no longer 
contain matching funds. In doing this, the Commission will review 
committee expenditures from the date of the last matching fund payment 
to which the candidate was entitled, using the assumption that the last 
payment has been expended on a last-in, first-out basis.
    (iv) Repayment determinations under 11 CFR 9038.2(b)(2) will include 
all non-qualified campaign expenses paid before the point when committee 
accounts no longer contain matching funds, including non-qualified 
campaign expenses listed on the candidate's statement of net outstanding 
campaign obligations that may result in a separate repayment 
determination under 11 CFR 9038.2(b)(1).
    (v) If a candidate or a candidate's authorized committee(s) exceeds 
both the overall expenditure limitation and one or more State 
expenditure limitations, as set forth at 11 CFR 9035.1(a), the repayment 
determination under 11 CFR 9038.2(b)(2)(ii)(A) shall be based on only

[[Page 289]]

the larger of either the amount exceeding the State expenditure 
limitation(s) or the amount exceeding the overall expenditure 
limitation.
    (3) Failure to provide adequate documentation. The Commission may 
determine that amount(s) spent by the candidate, the candidate's 
authorized committee(s), or agents were not documented in accordance 
with 11 CFR 9033.11. The amount of any repayment sought under this 
section shall be determined by using the formula set forth in 11 CFR 
9038.2(b)(2)(iii).
    (4) Surplus; income derived from the use of surplus public funds. 
The Commission may determine that the candidate's net outstanding 
campaign obligations, as defined in 11 CFR 9034.5, reflect a surplus. 
The Commission may determine that the net income derived from an 
investment or other use of surplus public funds after the candidates's 
date of ineligibility, less Federal, State and local paid on such 
income, shall be paid to the Treasury.
    (c) Repayment determination procedures. The Commission's repayment 
determination will be made in accordance with the procedures set forth 
at paragraphs (c)(1) through (c)(4) of this section.
    (1) Repayment determination. The Commission will provide the 
candidate with a written notice of its repayment determination(s). This 
notice will be included in the Commission's audit report prepared 
pursuant to 11 CFR 9038.1(d), or inquiry report pursuant to 11 CFR 
9039.3, and will set forth the legal and factual reasons for such 
determination(s), as well as the evidence upon which any such 
determination is based. The candidate shall repay to the United States 
Treasury in accordance with paragraph (d) of this section, the amount 
which the Commission has determined to be repayable.
    (2) Administrative review of repayment determination. If a candidate 
disputes the Commission's repayment determination(s), he or she may 
request an administrative review of the determination(s) as set forth in 
paragraph (c)(2)(i) of this section.
    (i) Submission of written materials. A candidate who disputes the 
Commission's repayment determination(s) shall submit in writing, within 
60 calendar days after service of the Commission's notice, legal and 
factual materials demonstrating that no repayment, or a lesser 
repayment, is required. Such materials may be submitted by counsel if 
the candidate so desires. The candidate's failure to timely raise an 
issue in written materials presented pursuant to this paragraph will be 
deemed a waiver of the candidate's right to raise the issue at any 
future stage of proceedings including any petition for review filed 
under 26 U.S.C. 9041(a).
    (ii) Oral hearing. A candidate who submits written materials 
pursuant to paragraph (c)(2)(i) of this section may at the same time 
request in writing that the Commission provide such candidate with an 
opportunity to address the Commission in open session to demonstrate 
that no repayment, or a lesser repayment, is required. The candidate 
should identify in this request the repayment issues he or she wants to 
address at the oral hearing. If the Commission decides by an affirmative 
vote of four (4) of its members to grant the candidate's request, it 
will inform the candidate of the date and time set for the oral hearing. 
At the date and time set by the Commission, the candidate or candidate's 
designated representative will be allotted an amount of time in which to 
make an oral presentation to the Commission based upon the legal and 
factual materials submitted under paragraph (c)(2)(ii) of this section. 
The candidate or representative will also have the opportunity to answer 
any questions from individual members of the Commission.
    (3) Repayment determination upon review. In deciding whether to 
revise any repayment determination(s) following an administrative review 
pursuant to paragraph (c)(2) of this section, the Commission will 
consider any submission made under paragraph (c)(2)(i) and any oral 
hearing conducted under paragraph (c)(2)(ii), and may also consider any 
new or additional information from other sources. A determination 
following an administrative review that a candidate must repay a certain 
amount will be accompanied by a written statement of reasons supporting 
the Commission's determination(s). This statement will explain the legal

[[Page 290]]

and factual reasons underlying the Commission's determination(s) and 
will summarize the results of any investigation(s) upon which the 
determination(s) are based.
    (d) Repayment period. (1) Within 90 calendar days of service of the 
notice of the Commission's repayment determination(s), the candidate 
shall repay to the United States Treasury the amounts which the 
Commission has determined to be repayable. Upon application by the 
candidate, the Commission may grant an extension of up to 90 calendar 
days in which to make repayment.
    (2) If the candidate requests an administrative review of the 
Commission's repayment determination(s) under paragraph (c)(2) of this 
section, the time for repayment will be suspended until the Commission 
has concluded its administrative review of the repayment 
determination(s). Within 30 calendar days after service of the notice of 
the Commission's post-administrative review repayment determination(s), 
the candidate shall repay to the United States Treasury the amounts 
which the Commission has determined to be repayable. Upon application by 
the candidate, the Commission may grant an extension of up to 90 
calendar days in which to make repayment.
    (3) Interest shall be assessed on all repayments made after the 
initial 90-day repayment period established at paragraph (d)(1) of this 
section or the 30-day repayment period established at paragraph (d)(2) 
of this section. The amount of interest due shall be the greater of:
    (i) An amount calculated in accordance with 28 U.S.C. 1961 (a) and 
(b); or
    (ii) The amount actually earned on the funds set aside under this 
section.
    (e) Computation of time. The time periods established by this 
section shall be computed in accordance with 11 CFR 111.2.
    (f) Additional repayments. Nothing in this section will prevent the 
Commission from making additional repayment determinations on one or 
more of the bases set forth at 11 CFR 9038.2(b) after it has made a 
repayment determination on any such basis. The Commission may make 
additional repayment determinations where there exist facts not used as 
the basis for any previous determination. Any such additional repayment 
determination will be made in accordance with the provisions of this 
section.
    (g) Newly-discovered assets. If, after any repayment determination 
made under this section, a candidate or his or her authorized 
committee(s) receives or becomes aware of assets not previously included 
in any statement of net outstanding campaign obligations submitted 
pursuant to 11 CFR 9034.5, the candidate or his or her authorized 
committee(s) shall promptly notify the Commission of such newly-
discovered assets. Newly-discovered assets may include refunds, rebates, 
late-arriving receivables, and actual receipts for capital assets in 
excess of the value specified in any previously-submitted statement of 
net outstanding campaign obligations. Newly-discovered assets may serve 
as a basis for additional repayment determinations under 11 CFR 
9038.2(f).
    (h) Petitions for rehearing; stays pending appeal. The candidate may 
file a petition for rehearing of a repayment determination in accordance 
with 11 CFR 9038.5(a). The candidate may request a stay of a repayment 
determination in accordance with 11 CFR 9038.5(c) pending the 
candidate's appeal of that repayment determination.

[56 FR 35945, July 29, 1991, as amended at 60 FR 31886, June 16, 1995; 
60 FR 57538, 57539, Nov. 16, 1995; 61 FR 69020, Dec. 31, 1996]



Sec. 9038.3  Liquidation of obligations; repayment.

    (a) The candidate may retain amounts received from the matching 
payment account for a period not exceeding 6 months after the matching 
payment period to pay qualified campaign expenses incurred by the 
candidate.
    (b) After all obligations have been liquidated, the candidate shall 
so inform the Commission in writing.
    (c)(1) If on the last day of candidate eligibility the candidate's 
net outstanding campaign obligations, as defined in 11 CFR 9034.5, 
reflect a surplus, the candidate shall within 30 calendar days of the 
ineligibility date repay to

[[Page 291]]

the Secretary an amount which represents the amount of matching funds 
contained in the candidate's surplus. The amount shall be an amount 
equal to that portion of the surplus which bears the same ratio to the 
total surplus that the total amount received by the candidate from the 
matching payment account bears to the total deposits made to the 
candidate's accounts.
    (2) For purposes of this subsection, total deposits means all 
deposits to all candidate accounts minus transfers between accounts, 
refunds, rebates, reimbursements, checks returned for insufficient 
funds, proceeds of loans and other similar amounts.
    (3) Notwithstanding the payment of any amounts to the United States 
Treasury under this section, the Commission may make surplus repayment 
determination(s) which require repayment in accordance with 11 CFR 
9038.2.



Sec. 9038.4  Extensions of time.

    (a) It is the policy of the Commission that extensions of time under 
11 CFR part 9038 shall not be routinely granted.
    (b) Whenever a candidate has a right or is required to take action 
within a period of time prescribed by 11 CFR part 9038 or by notice 
given thereunder, the candidate may apply in writing to the Commission 
for an extension of time in which to exercise such right or take such 
action. The candidate shall demonstrate in the application for extension 
that good cause exists for his or her request.
    (c) An application for extension of time shall be made at least 7 
calendar days prior to the expiration of the time period for which the 
extension is sought. The Commission may, upon a showing of good cause, 
grant an extension of time to a candidate who has applied for such 
extension in a timely manner. The length of time of any extension 
granted hereunder will be decided by the Commission and may be less than 
the amount of time sought by the candidate in his or her application. If 
a candidate seeks an extension of any 60-day response period under 11 
CFR part 9038, the Commission may grant no more than one extension to 
that candidate, which extension shall not exceed 15 days.
    (d) If a candidate fails to seek an extension of time, exercise a 
right or take a required action prior to the expiration of a time period 
prescribed by 11 CFR part 9038 the Commission may, on the candidate's 
showing of excusable neglect:
    (1) Permit such candidate to exercise his or her right(s), or take 
such required action(s) after the expiration of the prescribed time 
period; and
    (2) Take into consideration any information obtained in connection 
with the exercise of any such right or taking of any such action before 
making decisions or determinations under 11 CFR part 9038.

[56 FR 35945, July 29, 1991, as amended at 60 FR 31887, June 16, 1995]



Sec. 9038.5  Petitions for rehearing; stays of repayment determinations.

    (a) Petitions for rehearing. (1) Following the Commission's final 
determination under 11 CFR 9033.10 or 9034.5(g) or the Commission's 
repayment determination under 11 CFR 9038.2(c), the candidate may file a 
petition for rehearing setting forth the relief desired and the legal 
and factual basis in support. To be considered by the Commission, 
petitions for rehearing must:
    (i) Be filed within 20 calendar days after service of the 
Commission's final determination or repayment determination;
    (ii) Raise new questions of law or fact that would materially alter 
the Commission's final determination or repayment determination; and
    (iii) Set forth clear and convincing grounds why such questions were 
not and could not have been presented during the original determination 
process.
    (2) If a candidate files a timely petition under this section 
challenging a Commission repayment determination, the time for repayment 
of the amount at issue will be suspended until the Commission serves 
notice on the candidate of its determination on the petition. The time 
periods for making repayment under 11 CFR 9038.2(d) shall apply to any 
amounts determined to be repayable following the Commission's 
consideration of a petition for rehearing under this section.

[[Page 292]]

    (b) Effect of failure to raise issues. The candidate's failure to 
raise an argument in a timely fashion during the original determination 
process or in a petition for rehearing under this section, as 
appropriate, shall be deemed a waiver of the candidate's right to 
present such arguments in any future stage of proceedings including any 
petition for review filed under 26 U.S.C. 9041(a). An issue is not 
timely raised in a petition for rehearing if it could have been raised 
earlier in response to the Commission's original determination.
    (c) Stay of repayment determination pending appeal. (1)(i) The 
candidate may apply to the Commission for a stay of all or a portion of 
the amount determined to be repayable under this section or under 11 CFR 
9038.2 pending the candidate's appeal of that repayment determination 
pursuant to 26 U.S.C. 9041(a). The repayment amount requested to be 
stayed shall not exceed the amount at issue on appeal.
    (ii) A request for a stay shall be made in writing and shall be 
filed within 30 calendar days after service of the Commission's decision 
on a petition for rehearing under paragraph (a) of this section, or, if 
no petition for rehearing is filed, within 30 calendar days after 
service of the Commission's repayment determination under 11 CFR 
9038.2(c).
    (2) The Commission's approval of a stay request will be conditioned 
upon the candidate's presentation of evidence in the stay request that 
he or she:
    (i) Has placed the entire amount at issue in a separate interest-
bearing account pending the outcome of the appeal and that withdrawals 
from the account may only be made with the joint signatures of the 
candidate or his or her agent and a Commission representative; or
    (ii) Has posted a surety bond guaranteeing payment of the entire 
amount at issue plus interest; or
    (iii) Has met the following criteria:
    (A) He or she will suffer irreparable injury in the absence of a 
stay; and, if so, that
    (B) He or she has made a strong showing of the likelihood of success 
on the merits of the judicial action.
    (C) Such relief is consistent with the public interest; and
    (D) No other party interested in the proceedings would be 
substantially harmed by the stay.
    (3) In determining whether the candidate has made a strong showing 
of the likelihood of success on the merits under paragraph 
(c)(2)(iii)(B) of this section, the Commission may consider whether the 
issue on appeal presents a novel or admittedly difficult legal question 
and whether the equities of the case suggest that the status quo should 
be maintained.
    (4) All stays shall require the payment of interest on the amount at 
issue. The amount of interest due shall be calculated from the date 30 
days after service of the Commission's repayment determination under 11 
CFR 9038.2(c) and shall be the greater of:
    (i) An amount calculated in accordance with 28 U.S.C. 1961 (a) and 
(b); or
    (ii) The amount actually earned on the funds set aside under this 
section.

[56 FR 35945, July 29, 1991, as amended at 60 FR 31887, June 16, 1995]



Sec. 9038.6  Stale-dated committee checks.

    If the committee has checks outstanding to creditors or contributors 
that have not been cashed, the committee shall notify the Commission. 
The committee shall inform the Commission of its efforts to locate the 
payees, if such efforts have been necessary, and its efforts to 
encourage the payees to cash the outstanding checks. The committee shall 
also submit a check for the total amount of such outstanding checks, 
payable to the United States Treasury.



Sec. 9038.7  Administrative record.

    (a) The Commission's administrative record for final determinations 
under 11 CFR part 9033, sections 9034.5, 9036.5 and part 9039, and for 
repayment determinations under 11 CFR 9038.2, consists of all documents 
or materials submitted to the Commission for its consideration in making 
those determinations. The administrative record will include the 
certification of the Commission's vote(s), the audit report that is sent 
to the committee (for repayment determinations), the statement(s) of 
reasons, and the candidate agreement. The committee may include 
documents or materials in the

[[Page 293]]

administrative record by submitting them within the time periods set 
forth at 11 CFR 9033.3(b), 9033.4(a)(2), 9033.6(c), 9033.7(b), 
9033.9(b), 9034.5(g)(2), 9036.5(e), 9038.1(c) and 9038.2(c)(2), as 
appropriate.
    (b) The Commission's administrative record for determinations under 
11 CFR part 9033, sections 9034.5, 9036.5 and 9038.2 and part 9039 does 
not include:
    (1) Documents and materials in the files of individual Commissioners 
or employees of the Commission that do not constitute a basis for the 
Commission's decisions because they were not circulated to the 
Commission and were not referenced in documents that were circulated to 
the Commission;
    (2) Transcripts or audio tapes of Commission discussions other than 
transcripts or audio tapes of oral hearings pursuant to 11 CFR 
9038.2(c)(2), although such transcripts or tapes may be made available 
under 11 CFR parts 4 or 5; or
    (3) Documents properly subject to privileges such as an attorney-
client privilege, or items constituting attorney work product.
    (c) The administrative record identified in paragraph (a) of this 
section is the exclusive record for the Commission's determinations 
under 11 CFR part 9033, Secs. 9034.5, 9036.5 and 9038.2 and part 9039.

[60 FR 31888, June 16, 1995]



PART 9039--REVIEW AND INVESTIGATION AUTHORITY--Table of Contents




Sec.
9039.1  Retention of books and records.
9039.2  Continuing review.
9039.3  Examinations and audits; investigations.

    Authority: 26 U.S.C. 9039.

    Source: 56 FR 35949, July 29, 1991, unless otherwise noted.



Sec. 9039.1  Retention of books and records.

    The candidate and his or her authorized committee(s) shall keep all 
books, records and other information required under 11 CFR 9033.11, 
9034.2 and part 9036 for a period of three years pursuant to 11 CFR 
102.9(c) and shall furnish such books, records and information to the 
Commission on request.



Sec. 9039.2  Continuing review.

    (a) In reviewing candidate submissions made under 11 CFR part 9036 
and in otherwise carrying out its responsibilities under this 
subchapter, the Commission may routinely consider information from the 
following sources:
    (1) Any and all materials and communications which the candidate and 
his or her authorized committee(s) submit or provide under 11 CFR part 
9036 and in response to inquiries or requests of the Commission and its 
staff;
    (2) Disclosure reports on file with the Commission; and
    (3) Other publicly available documents.
    (b) In carrying out the Commission's responsibilities under this 
subchapter, Commission staff may contact representatives of the 
candidate and his or her authorized committee(s) to discuss questions 
and to request documentation concerning committee activities and any 
submission made under 11 CFR part 9036.



Sec. 9039.3  Examination and audits; investigations.

    (a) General. (1) The Commission will consider information obtained 
in its continuing review under 11 CFR 9039.2 in making any 
certification, determination or finding under this subchapter. If the 
Commission decides by an affirmative vote of four of its members that 
additional information must be obtained in connection with any such 
certification, determination or finding, it will conduct a further 
inquiry. A decision to conduct an inquiry under this section may be 
based on information that is obtained under 11 CFR 9039.2, received by 
the Commission from outside sources, or otherwise ascertained by the 
Commission in carrying out its supervisory responsibilities under the 
Presidential Primary Matching Payment Account Act and the Federal 
Election Campaign Act.
    (2) An inquiry conducted under this section may be used to obtain 
information relevant to candidate eligibility, matchability of 
contributions and repayments to the United States Treasury. Information 
obtained during such

[[Page 294]]

an inquiry may be used as the basis, or partial basis, for Commission 
certifications, determinations and findings under 11 CFR parts 9033, 
9034, 9036 and 9038. Information thus obtained may also be the basis of, 
or be considered in connection with, an investigation under 2 U.S.C. 
437g and 11 CFR part 111.
    (3) Before conducting an inquiry under this section, the Commission 
will attempt to obtain relevant information under the continuing review 
provisions of 11 CFR 9039.2. Matching payments will not be withheld 
pending the results of an inquiry under this section unless the 
Commission finds patent irregularities suggesting the possibility of 
fraud in materials submitted by, or in the activities of, the candidate 
or his or her authorized committee(s).
    (b) Procedures. (1) The Commission will notify the candidate of its 
decision to conduct an inquiry under this section. The notice will 
summarize the legal and factual basis for the Commission's decision.
    (2) The Commission's inquiry may include, but is not limited to, the 
following:
    (i) A field audit of the candidate's books and records;
    (ii) Field interviews of agents and representatives of the candidate 
and his or her authorized committee(s);
    (iii) Verification of reported contributions by contacting reported 
contributors;
    (iv) Verification of disbursement information by contacting reported 
vendors;
    (v) Written questions under order;
    (vi) Production of documents under subpoena;
    (vii) Depositions.
    (3) The provisions of 2 U.S.C. 437g and 11 CFR part 111 will not 
apply to inquiries conducted under this section except that the 
provisions of 11 CFR 111.12 through 111.15 shall apply to any orders or 
subpoenas issued by the Commission.
    (4) If, at the close of the inquiry, the Commission determines that 
no action or no further action is warranted, the Commission shall so 
notify the candidate. If the inquiry results in an adjustment to the 
amount of certified matching funds, the procedures set forth at 11 CFR 
9036.5 or 9038.1 shall be followed, as appropriate. If the inquiry 
coincides with an audit undertaken pursuant to 11 CFR 9038.1, the 
information obtained in the inquiry will be utilized in making the 
repayment determination. If the inquiry results in an initial or 
additional repayment determination, the procedures set forth at 11 CFR 
9038.2, 9038.4, and 9038.5 shall be followed.

[56 FR 35949, July 29, 1991; 56 FR 42380, Aug. 27, 1991; 60 FR 31888, 
June 16, 1995]


[[Page 295]]



                              FINDING AIDS




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

  A list of CFR titles, subtitles, chapters, subchapters and parts, and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Indexes to Regulations:
      Administrative Regulations, Parts 1-8; 200-201
      General, Parts 100-116
      General Election Financing, Parts 9001-9007 and 9012
      Federal Financing of Presidential Nominating Conventions, Part 
9008
      Presidential Primary Matching Fund, Parts 9031-9039
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 297]]

                         INDEXES TO REGULATIONS

  Editorial Note: These listings are provided for information purposes 
      only. They are compiled and kept up to date by the Federal 
      Election Commission. This index is updated as of January 1, 2002.


             ADMINISTRATIVE REGULATIONS, PARTS 1-8; 200-201


                                    A

AVAILABILITY TO PUBLIC, See: PUBLIC DISCLOSURE


                                    D

DEFINITIONS
  Act, Sec. 4.1(e)
  Active voters, Sec. 8.2(c)
  Auxiliary aids, Sec. 6.103(a)
  Chief state election official, Sec. 8.2(b)
  Closed primary state, Sec. 8.2(g)
  Commercial use, Sec. 4.1(k)
  Commission, Sec. 2.2(a); Sec. 6.103(b)
  Commissioner, Sec. 2.2(b); Sec. 4.1(b); Sec. 5.1(b); Sec. 7.2(b); 
      Sec. 201.2(c)
  Commissioner's staff, Sec. 201.2(d)
  Complete complaint, Sec. 6.103(c)
  Conduct of business, Sec. 2.2(d)(1)
  Conflict of interest, Sec. 7.2(c)
  Duplicate registration application, Sec. 8.2(e)
  Employee, Sec. 7.2(e)
  Ethics officers, Sec. 7.2(d)
  Ex parte communication, Sec. 201.2(a)
  Facility, Sec. 6.103(d)
  Form, Sec. 8.2(a)
  Former employee, Sec. 7.2(f)Freelance journalist, Sec. 4.1(n)
  Handicapped person, Sec. 6.103(e)
  Inactive voters, Sec. 8.2(d)
  Meeting, Sec. 2.2(d)
  Member, Sec. 2.2(b)
  Official responsibility, Sec. 7.2(g)
  Outside employment or activity, Sec. 7.2(h)
  Person, Sec. 2.2(c); Sec. 7.2(i)
  Public Disclosure Division, Sec. 4.1(f)
  Qualified handicapped person, Sec. 6.103
  Record, Sec. 4.1(o)
  Rehabilitation Act Officer, Sec. 6.170(c)
  Representative of the news media, Sec. 4.1(n)
  Search, Sec. 4.1(h)
  Section 504, Sec. 6.103(g)
  Special Commission employee, Sec. 7.2(j)
  Standards of conduct, Sec. 7.2
  State, Sec. 8.2(f)

[[Page 298]]

DISCLOSURE, See: PUBLIC DISCLOSURE


                                    E

EMPLOYEE CONDUCT
  Acceptance of gifts or favors, Sec. 7.8
  Conflict of interest, Sec. 7.23(b)
  Disciplinary action, Sec. 7.6
  Ex parte communications, Sec. 7.15
  Former employees, see: POST EMPLOYMENT CONFLICT OF INTEREST
  Interpretation and advisory service, Sec. 7.4
  Making complaints public, Sec. 7.14; Sec. 111.24(b)
  Notification about policies
    -- to Commission employees, Sec. 7.3(a)
    -- to new or special employees, Sec. 7.3(b)
  Opportunity to explain, Sec. 7.5(b)
  Outside activities
    -- education, Sec. 7.9(d)
    -- employment, Sec. 7.9
    -- financial interests, Sec. 7.10
    -- incompatible employment, Sec. 7.9(b)
    -- membership in associations, Sec. 7.12
    -- political activity, Sec. 7.11
    -- prohibitions on, Sec. 7.7
    -- use of Government property for, Sec. 7.13
EX PARTE COMMUNICATIONS (INTERIM)
  Attempt to prevent, Sec. 7.15(d); 201.3(c)
  Concerning
    -- advisory opinions, Sec. 201.4
    -- audits, prohibited, Sec. 201.3
    -- compliance matters, prohibited, Sec. 7.15(a)
    -- litigation, prohibited, Sec. 201.3
    -- public funding matters, prohibited, Sec. 201.3
    -- rulemaking proceedings, Sec. 201.4
  Defined, Sec. 201.2(a)
  Receipt of, Sec. 7.15(d); Sec. 201.3(c); Sec. 201.4(a)
  Sanctions, Sec. 201.5
  Written summary of, Sec. 7.15(d); 201.3(c)(1) and (2); Sec. 201.4(a)


                                    F

FREEDOM OF INFORMATION ACT
  Access of public to materials, Sec. 4.4(b); Part 5
  Appeal of denial, Sec. 4.5(a)(4)(iv); Sec. 4.8
  Availability of records, Sec. 4.4
    -- electronic, Sec. 4.4(g)
  Exemptions, Sec. 4.5
    -- matters required to be closed, Sec. 2.4(a)
    -- meetings, Sec. 2.4
    -- release of exempt records, Sec. 4.6
  Fees charged under, Sec. 4.9
  Nondisclosable information, Sec. 4.4(e)
  Requests
    -- for confidential treatment, Sec. 4.5(a)(4)(i)
    -- review of, Sec. 4.1(i)
    -- to FOIA officer, Sec. 4.7(b); Sec. 5.5(c)
    -- to inspect records, Sec. 4.7

[[Page 299]]

                                    H

HANDICAPPED PERSONS
  Accessibility
    -- of facilities, Sec. 6.150
    -- of programs, Sec. 6.151
  Communications, Sec. 6.160
  Complaints
    -- filed with Rehabilitation Act Officer, Sec. 6.170(d)(3)
    -- investigation of, Sec. 6.170(f)(1)
    -- processing of, Sec. 6.170(b)
    -- provision of findings, Sec. 6.170(g)
  Compliance, Sec. 6.170
  Denial of access to, prohibited, Sec. 6.130(b)(3)
  Employment, Sec. 6.140
  Evaluation, Sec. 6.110
  Granting of certification, Sec. 6.130(b)(6)
  Limitation of services or rights, prohibited, Sec. 6.130(b)(1)
  Procurement contractors, Sec. 6.130(b)(5)
  Program accessibility
    -- discrimination, prohibited, Sec. 6.149
    -- existing facilities, Sec. 6.150
    -- new construction and alterations, Sec. 6.151
  Prohibition against discrimination, Sec. 6.130
  Provisions of information and services to, Sec. 6.160
  Section 504, Sec. 6.103(g); Sec. 6.110(a)
  Selection of work sites, Sec. 6.130(b)(4)


                                    M

MEETINGS
  Announcement of, Sec. 2.4
  Annual report, Sec. 2.8
  Changes in, announcement of, Sec. 2.7
  Closed
    -- as required by statute, Sec. 2.4(a)
    -- by Commission determination, Sec. 2.4(b)
    -- concerning civil proceedings, Sec. 2.4(b)(7)
    -- concerning internal matters, Sec. 2.4(b)(1)
    -- confidential financial or commercial information, Sec. 2.4(b)(2)
    -- dealing with personnel, Sec. 2.4(b)(1)
    -- enforcement proceedings, ongoing, Sec. 2.4(b)(5)
    -- formal proceedings against individual, Sec. 2.4(b)(3)
    -- internal matters, Sec. 2.4(b)(2)
    -- public request for, Sec. 2.5(e)
    -- to avoid adverse disclosure of information, Sec. 2.4(b)(6)
    -- transcript of, Sec. 2.6(b)
    -- where invasion of privacy would occur, Sec. 2.4(b)(4)
  Electronic recording equipment, use of, Sec. 2.3(d)
  Open, Sec. 2.3(b)
  Procedures for closing, Sec. 2.5
  Rules, Sec. 2.3
  Statements made during, Sec. 2.3(c)
  Transcripts of
    -- closed meetings, Sec. 2.6(a)
    -- length of time kept, Sec. 2.6(c)
    -- release of, Sec. 2.6(b)
  Voting procedures, Sec. 2.5(c)

[[Page 300]]

                                    N

NATIONAL VOTER REGISTRATION ACT
  Definitions, Sec. 8.2
  National mail voter registration form
    -- contents, Sec. 8.4
    -- format, Sec. 8.5
    -- general information, Sec. 8.3
    -- production of, Sec. 8.5(a)
  Purpose and scope, Sec. 8.1
  State election official, responsibilities under
    -- certification of voter eligibility requirements, Sec. 8.6
    -- report on state voter data, Sec. 8.7


                                    P

POST EMPLOYMENT CONFLICT OF INTEREST
  Administrative disciplinary proceedings, Sec. 7.25
    -- executive session review, Sec. 7.25(a)
    -- initiation of, Sec. 7.25(b)
  Hearings
    -- administrative sanctions, Sec. 7.33
    -- appeal, Sec. 7.32
    -- date of, Sec. 7.28
    -- decision by examiner, Sec. 7.31
    -- designation of examiner, Sec. 7.27
    -- procedures for, Sec. 7.30
    -- rights of employee, Sec. 7.29
  Initiation of investigation, Sec. 7.23
    -- filing of complaint, Sec. 7.23(a)(1)
    -- review, Sec. 7.23(b)(1)
  Notification
    -- of complaint to former employee, Sec. 7.23(b)
    -- of disciplinary proceeding, Sec. 7.26
  Preliminary investigation, Sec. 7.24
PUBLIC DISCLOSURE
  Availability of records through Public Disclosure Division, Sec. 5.4
  Availability to public of
    -- advisory opinions, Sec. 4.4(a)(11); Sec. 5.4(a)(2)
    -- agenda documents, Sec. 4.4(a)(15)
    -- announcement of Commission meeting, Sec. 2.7(a)
    -- audit reports, Sec. 1.14; Sec. 4.4(a)(14)
    -- Clearinghouse studies, Sec. 4.4(a)(13)
    -- conciliation agreements, Sec. 4.4(a)(3) and (12); Sec. 5.4(a)(3) 
      and (4)
    -- disclosure documents, Sec. 4.4(a)(10); Sec. 5.4(a)(1)
    -- ex parte communications, Sec. 201.4(a)
    -- nondiscrimination policies, Sec. 6.110(b)
    -- tapes of Commission meetings, Sec. 2.6(b)(2); Sec. 4.4(a)(5)
  Fees, Sec. 5.6
  Policy on disclosure of records, Sec. 4.2; Sec. 5.2
  Public Disclosure Division
    -- availability of records from, Sec. 5.4
    -- definition, Sec. 5.1(f)
    -- fees charged by, Sec. 5.6
  Requests for public records, Sec. 5.5
PRIVACY ACT
  Confidentiality of records, Sec. 1.14
  Correction to record, Sec. 1.7; Sec. 1.8; Sec. 1.9
  Disclosure of requested information, Sec. 1.5
  Exemptions, Sec. 1.14
  Procedures for requests, Sec. 1.3

[[Page 301]]

  Records pertaining to individuals, Sec. 1.3(b); Sec. 1.4(a)


                                    R

RECORDS
  Availability to public, Sec. 4.4; 5.4
  Indexes and supplements, Sec. 4.4(c)
  Maintenance of FOIA, Sec. 4.4(f)
  Meetings, Sec. 2.6
  Privacy Act, See: PRIVACY ACT
  Request for, Sec. 1.3; Sec. 2.6(b) and (c); Sec. 4.7; Sec. 5.5
RULEMAKING PETITIONS
  Administrative record, Sec. 200.6
  Agency considerations, Sec. 200.5
  Decision not to initiate a rulemaking, Sec. 200.4(b)
  Denial of, Sec. 200.4
  Disposition of, Sec. 200.4
  Ex parte communications concerning, Sec. 201.4
  Filing with Commission, Sec. 200.2
  Processing by Commission of, Sec. 200.3


                                    S

SUNSHINE ACT
  Announcement
    -- of changes in meeting, Sec. 2.7
    -- of closed meeting, Sec. 2.5(d)
  Annual report, Sec. 2.8
  Assessment of public interest, Sec. 2.4(c)
  Certification of meetings, Sec. 2.5(b)
  Closing of meetings, Sec. 2.4; Sec. 2.5
  Rules for meetings, Sec. 2.3
  Transcripts and recordings, Sec. 2.6
  See also: MEETINGS

[[Page 303]]

                         GENERAL, PARTS 100-116


                                    A

ACCEPTANCE OF CONTRIBUTIONS
  See: CONTRIBUTIONS
ACCOUNT
  Allocation between federal and nonfederal, See: ALLOCATION OF EXPENSES
  Credit union, disbursements from, Sec. 102.9(b)(2)(iii)
  Established by collecting agent, Sec. 102.6(c)(4)
  Federal, separate from non-Federal, Sec. 102.5(a)(1)(i) and (b)(1)(i)
  Office, See: OFFICE ACCOUNT
  Transmittal, for joint fundraising, Sec. 102.17(c)(4)
  See also: CAMPAIGN DEPOSITORY
ACCOUNTANTS' SERVICES
  See: LEGAL AND ACCOUNTING SERVICES
ACT
  Definition, Sec. 100.18
ADMINISTRATIVE EXPENSES
  Allocation of, Sec. 104.10(b); Sec. 106.1(e)
    -- by nonconnected committee, Sec. 106.6(b)(2)(i) and (c)
    -- by party committee, Sec. 106.5(a)(2)(i), (b), (c)(1) and (2), and 
      (d)
    -- by publicly funded Presidential candidate, Sec. 106.2(b)(2)(iii)
    -- by separate segregated fund, Sec. 106.6(b)(1)(i) and (c)
    -- not attributable to specific candidate, Sec. 106.1(c)
    -- reporting, Sec. 104.10(b)(1)
  Corporate/labor expenses for separate segregated fund, Sec. 114.1(b); 
      Sec. 114.5(b)
  Delegate selection, Sec. 110.14(c)(1)(ii)
  Polling results purchased by unauthorized committee, Sec. 106.4(d)
  Rent, salary, other recurring expenses not reported as debts, 
      Sec. 104.11(b)
ADMINISTRATIVE FINES
  See: COMPLIANCE
ADMINISTRATIVE PERSONNEL
  Definition, Sec. 100.8(b)(4)(iii); Sec. 114.1(c)
  See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK
ADVERTISING
  See: COMMUNICATIONS/ADVERTISING
ADVISORY OPINIONS
  Issuance of, Sec. 112.4
  Reconsideration of, Sec. 112.6
  Reliance on, Sec. 112.5
  Requests for, Sec. 112.1
    -- made public, Sec. 112.2
    -- public comments on, Sec. 112.3
  Standing to receive, Sec. 112.1(a)
AFFILIATED COMMITTEE
  Assignment of debts to, Sec. 116.2(c)(3)
  Circumstantial factors determining affiliation, Sec. 100.5(g)(4)(ii); 
      Sec. 110.3(a)(3)(ii)
  Committees automatically considered as, Sec. 110.3(a)(2)
  Conduit, exempted, Sec. 110.6(b)(2)(i)(C)
  Connected organization of
    -- cooperative, Sec. 114.7(k)(1)
    -- definition, Sec. 100.6

[[Page 304]]

    -- disclosure of, Sec. 102.2(b)
  Contribution limits for, Sec. 110.3(a)(1)
  Definition, Sec. 100.5(g); Sec. 110.3(a)(1) and (3)(ii)
  Delegate committees
    -- with each other, Sec. 110.14(k)
    -- with Presidential candidate's authorized committee, 
      Sec. 110.14(j)
  Disclosure of, on Statement of Organization, Sec. 102.2(b)
  Participant in joint fundraising, Sec. 102.17(b)(3)(iii)
  Transfers between, Sec. 102.6(a); Sec. 110.3(c)
AGENT
  Candidate as, Sec. 101.2; Sec. 102.7(d)
  Collecting, See: COLLECTING AGENT
  Commercial fundraising firm as, Sec. 102.6(b)(3); 
      Sec. 110.6(b)(2)(i)(D)
  Definition, Sec. 109.1(b)(5)
  Not a conduit or intermediary, Sec. 110.6(b)(2)(i)(A) and (E)
ALLOCATION BY PRESIDENTIAL CAMPAIGN
  Expenditures, to State
    -- administrative costs, Sec. 106.2(b)(2)(iii)
    -- disputed by Commission, Sec. 106.2(a)(1)
    -- documentation, Sec. 106.2(a)(1)
    -- mass mailings, Sec. 106.2(b)(2)(ii)
    -- media, Sec. 106.2(b)(2)(i)
    -- methods for, Sec. 106.2(b)
    -- overhead expenditures of state offices, Sec. 106.2(b)(2)(iii)(A) 
      and (B)
    -- polling, Sec. 106.2(b)(2)(v)
    -- recordkeeping, Sec. 106.2(d)
    -- reporting, Sec. 106.2(c)
    -- telephone programs targeted to State, Sec. 106.2(b)(2)(iv)
    -- testing-the-waters, Sec. 106.2(a)(2)
  Not required
    -- administrative costs of national office, Sec. 106.2(b)(2)(iii)(C)
    -- advertising, national, Sec. 106.2(b)(2)(i)(E)
    -- campaign headquarters, national, Sec. 106.2(b)(2)(iii)(C)
    -- commissions, Sec. 106.2(b)(2)(i)(G)
    -- compliance, Sec. 106.2(b)(2)(iii)(A)
    -- media production costs, Sec. 106.2(b)(2)(i)(F)
    -- national consulting fees, Sec. 106.2(b)(3)
    -- recordkeeping, Sec. 106.2(d)
  Overhead expenditures, definition, Sec. 106.2(b)(2)(iii)(D)
  Reporting, Sec. 106.2(c)
ALLOCATION OF EXPENSES
  Administrative expenses, See: ADMINISTRATIVE EXPENSES
  Ballot composition allocation method
    -- calculation of ratio, Sec. 106.5(d)(1)
    -- exception for states holding nonfederal elections in off year, 
      Sec. 106.5(d)(2)
    -- extra nonfederal point, Sec. 106.5(d)(1)(ii)
    -- partisan local candidates, Sec. 106.5(d)(1)(ii)
  Between candidates, Sec. 106.1(a) and (b)
    -- ``benefit reasonably expected to be derived'' allocation method, 
      Sec. 106.1(a)
    -- exceptions, Sec. 106.1(c)
    -- federal and nonfederal, Sec. 106.1(a)
    -- personnel and facilities, shared, Sec. 110.8(d)(3)
  Between federal and nonfederal accounts
    -- of nonconnected committee, Sec. 106.6
    -- of party committee, Sec. 106.5
    -- of separate segregated fund, Sec. 106.6
  Between federal and nonfederal elections, Sec. 106.1(e)
  By Presidential campaign, See: ALLOCATION BY PRESIDENTIAL CAMPAIGN

[[Page 305]]

  Costs to be allocated, Sec. 104.10(a) and (b); Sec. 106.1(a) and (e); 
      Sec. 106.5(a)(2); Sec. 106.6(b)
  Exempt activity expenses, Sec. 106.5(e)
  Fixed percentage allocation method, Sec. 106.5(b)(1) and (2)
  For travel between campaign/noncampaign-related activity, Sec. 106.3
  Fundraising program or event
    -- adjustment of ratio, Sec. 106.5(f)(2); Sec. 106.6(d)(2)
    -- allocation by nonconnected committee, Sec. 106.6(d)
    -- allocation by separate segregated fund, Sec. 106.6(d)
    -- estimate of allocation ratio, Sec. 106.5(f)(1); Sec. 106.6(d)(1)
    -- last day of, Sec. 106.5(f)(2); Sec. 106.6(d)(2)
  ``Funds expended'' allocation method, Sec. 106.5(c); Sec. 106.6(c)
  ``Funds received'' allocation method, Sec. 106.5(f); Sec. 106.6(d)
  Generic voter drive costs, allocation method used by
    -- party committee, Sec. 106.5(b), (c) and (d)
    -- nonconnected committee, Sec. 106.6(c)
    -- separate segregated fund, Sec. 106.6(c)
  Joint fundraising proceeds, Sec. 102.17(c)(1), (2), (6) and (7)
  Minimum percentage allocation method, Sec. 106.5(c)(2)
  Payment of allocated expenses
    -- by allocation account, Sec. 106.5(g)(1)(ii); Sec. 106.6(e)(1)(ii)
    -- by federal account, Sec. 106.5(g)(1)(i); Sec. 106.6(e)(1)(i)
    -- timing of transfers between accounts, Sec. 106.5(g)(2); 
      Sec. 106.6(e)(2)
  Polling results, Sec. 106.4
  Presidential campaign, State allocation by, See: ALLOCATION BY 
      PRESIDENTIAL CAMPAIGN
  Reporting
    -- allocated disbursements from allocation or federal account, 
      Sec. 104.10(a)(3) and (b)(4)
    -- allocation of administrative costs, Sec. 104.10(b)(1)
    -- allocation of exempt activity costs, Sec. 104.10(b)(2)
    -- allocation of fundraising costs, Sec. 104.10(b)(2)
    -- allocation of generic voter drive costs, Sec. 104.10(b)(1)
    -- expenses allocated between activities, Sec. 104.10(b)
    -- expenses allocated between candidates, Sec. 104.10(a)
    -- transfers between accounts for payment of allocable expenses, 
      Sec. 104.10(a)(2) and (b)(3); Sec. 106.5(f) and (g)(3); 
      Sec. 106.6(d) and (e)(3)
  ``Time or space'' allocation method, Sec. 106.1(a)(1); Sec. 106.5(e)
  Transfers to pay for, Sec. 106.5(g); Sec. 106.6(e)
ANNUAL CONTRIBUTION LIMIT
  Applicable only to individuals, Sec. 110.5(a)
  Contributions made in calendar year, Sec. 110.5(b)
  On contributions made
    -- in nonelection year, Sec. 110.5(c)
    -- to candidates, in nonelection year, Sec. 110.5(c)(2)
    -- to delegates, Sec. 110.5(e)
    -- to persons making independent expenditures, Sec. 110.5(d)
ANONYMOUS CONTRIBUTION
  Of cash, Sec. 110.4(c)(3)
APPEARANCES BY CANDIDATE
  See: CANDIDATE; COMMUNICATIONS/ADVERTISING
ATTORNEYS' SERVICES
  See: LEGAL AND ACCOUNTING SERVICES
AUDITS
  By Commission, Sec. 104.16
  Preservation of reports and records for, Sec. 102.5(b)(1)(i) and (ii); 
      Sec. 104.10; Sec. 104.14(b)(3)
  See also: Index for ADMINISTRATIVE REGULATIONS/Public Disclosure
AUTHORIZED COMMITTEE
  Affiliated, Sec. 100.5(g)(1); Sec. 110.14(j)

[[Page 306]]

  Agent of, definition, Sec. 109.1(b)(5)
  Candidate as agent of, Sec. 101.2; Sec. 102.7(d)
  Communications paid for/authorized by, Sec. 110.11(a)(1)(i) and (ii)
  Contribution limit shared, Sec. 110.3(a)(1)(i)
  Contributions to, See: CANDIDATE; CONTRIBUTIONS
  Coordinated general public political communications, Sec. 100.23
  Debts owed by, Sec. 116.2(c)
    See also: DEBTS
  Definition, Sec. 100.5(d) and (f)(1)
  Designation of, Sec. 101.1(b); Sec. 102.13
  Election cycle reporting, Sec. 104.3(a)(3); Sec. 104.3(b)(2)
  Forwarding contributions to, Sec. 102.8(a)
  Funds of, See: CAMPAIGN FUNDS, USE OF
  Independent expenditures
    -- coordination with corporation/labor organization may preclude, 
      Sec. 114.2(c)
    -- precluded from making, Sec. 109.1(e)
  Joint fundraising, Sec. 102.17(a)(1)(i)
  Name of, restrictions, Sec. 102.14(a)
  Registration of, Sec. 102.1(b); Sec. 102.2(b)(1)(i)
  Reports filed by, Sec. 101.1(b); Sec. 102.1(b); Sec. 104.3(f)
  Support of one candidate only, Sec. 102.13(c)
  Terminating, Sec. 116.2(c)
    See also: TERMINATION OF COMMITTEE
  Transfers by, Sec. 110.3(c)(4) and (5)
  See also: POLITICAL COMMITTEE; PRINCIPAL CAMPAIGN COMMITTEE


                                    B

BALLOT ACCESS PAYMENT
  By individual, to become delegate, Sec. 110.14(c)(1)(i)
  Exemption, Sec. 100.7(b)(18); Sec. 100.8(b)(19)
BANK
  Campaign depository, See: CAMPAIGN DEPOSITORY
  Communications by
    -- beyond restricted class, Sec. 114.4
    -- containing express advocacy, to restricted class, Sec. 114.3
    -- to general public, Sec. 114.4(a) and (c)
  Line of credit, Sec. 100.7(b)(11)(i); Sec. 100.8(b)(12)(i); 
      Sec. 104.3(d)
  Loans from, See: LOANS
  National, contribution/expenditure by, prohibited, Sec. 114.2
  Overdraft, Sec. 100.7(b)(11); Sec. 100.8(b)(12)
  Separate segregated fund established by, Sec. 114.2(a)
  See also: COMMUNICATIONS/ADVERTISING; CORPORATION/LABOR ORGANIZATION/
      NATIONAL BANK; SEPARATE SEGREGATED FUND
BEST EFFORTS
  Amending previously filed reports, Sec. 104.7(b)(4)
  Contributions lacking required information, Sec. 104.7(b)
  Information in committee's possession, reporting of, Sec. 104.7(b)(3)
  Requirements for solicitations, Sec. 104.7(b)(1)
    -- request for information, Sec. 104.7(b)(1)
    -- statement required on all solicitations, Sec. 104.7(b)(1)
  To obtain, maintain and submit contributor information, Sec. 104.7
  Treasurer responsible for showing, Sec. 104.7; Sec. 104.14(d)
  See also: RECORDKEEPING; REPORTING; TREASURER OF POLITICAL COMMITTEE
BUILDING FUND, PARTY
  Disbursements for, exempt, Sec. 100.8(b)(13); Sec. 114.1(a)(2)(ix)
  Donations to, exempt, Sec. 100.7(b)(12); Sec. 114.1(a)(2)(ix)
  Reporting of, Sec. 104.8(f); Sec. 104.9(d)

[[Page 307]]

BUNDLING
  By separate segregated fund, Sec. 110.6; Sec. 114.2(f)(2)(iii) and 
      (4)(iii)
  Corporate/labor resources and facilities used for, Sec. 114.2(f); 
      Sec. 114.3(c)(1); Sec. 114.9
  Direction or control exercised, Sec. 110.6(d)(1)
  Facilitating the making of contributions
    -- by corporation/labor organization, prohibited, Sec. 114.2(f)(1)
    -- examples of, Sec. 114.2(f)(2); Sec. 114.3(b)(2)(iii)
    -- separate segregated fund activity, exempt, Sec. 114.2(f)(3) and 
      (4)
  Reporting by conduit and recipient, Sec. 110.6(d)(2)
  See also: CONDUIT/INTERMEDIARY; EARMARKED CONTRIBUTION


                                    C

CAMPAIGN DEBTS
  See: DEBTS
CAMPAIGN DEPOSITORY
  Acceptable institutions, Sec. 103.2
  Commingling of funds, Sec. 102.15
  Deposits to, Sec. 103.3
  Designation of, Sec. 103.1; Sec. 103.2
  Disbursements from, Sec. 102.10; Sec. 103.3(a)
  Established by collecting agent, Sec. 102.6(c)(4)(ii)(A)
  Federal accounts, separate from non-Federal, Sec. 102.5(a)(1)(i) and 
      (b)(1)(i)
  Illegal funds, Sec. 103.3(b)(3), (4) and (5)
  Investment of deposited funds, Sec. 103.3(a); Sec. 104.3(a)(4)(vi)
  Joint fundraising account, Sec. 102.17(c)(3)
  Overdraft, Sec. 100.7(b)(11); Sec. 100.8(b)(12)
  Separate account for pledged funds, Sec. 100.7(b)(11)(i)(B); 
      Sec. 100.8(b)(12)(i)(B)
  Vice Presidential candidate, Sec. 103.4
CAMPAIGN FUNDS, USE OF
  Charitable donations, Sec. 113.1(g)(2); Sec. 113.2(b)
  Excess campaign funds, Sec. 113.2
    -- See also: EXCESS CAMPAIGN FUNDS
  Expenses viewed on case by case basis, Sec. 113.1(g)(1)(ii)
  Gifts, Sec. 113.1(g)(4)
  Legal expenses, Sec. 113.1(g)(1)(ii)(A)
  Meal expenses, Sec. 113.1(g)(1)(ii)(B)
  Official duties, expenses incurred in connection with, 
      Sec. 113.1(g)(5); Sec. 113.2(a) and (d)
  Personal use expenses
    -- definition, Sec. 113.1(g)
    -- expenses automatically considered as, Sec. 113.1(g)(1)(i)
    -- prohibited, Sec. 113.2(d)
    -- third party payment of, Sec. 113.1(g)(6)
  Transfer
    -- of campaign assets, Sec. 113.1(g)(3)
    -- to party, Sec. 113.2(c)
  Travel expenses, Sec. 113.1(g)(1)(ii)(C) and (D); Sec. 113.2(a)(1)
  Winding down office, Sec. 113.2(a)(2)
CAMPAIGN MATERIALS
  Candidate-prepared, dissemination of, Sec. 109.1(d); 
      Sec. 110.14(f)(3); Sec. 114.3(c)(1)
  Disclaimer notice required on
    -- exception for small items, Sec. 110.11(a)(6)
    -- when expressly advocating or soliciting funds, Sec. 110.11(a)(1) 
      and (4)
  Distributed by volunteer, exemption
    -- for candidate, Sec. 100.7(b)(16); Sec. 100.8(b)(17); 
      Sec. 110.11(a)(4)
    -- for delegate, Sec. 110.14(f)(1)
    -- for party, Sec. 100.7(b)(15); Sec. 100.8(b)(16); 
      Sec. 110.11(a)(4)
  See also: COMMUNICATIONS/ADVERTISING
CANDIDATE
  Advocacy of election/defeat of, See: CLEARLY IDENTIFIED CANDIDATE

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  Agent of authorized committee, Sec. 101.2; Sec. 102.7(d)
  Appearances
    -- at educational institution, Sec. 110.12; Sec. 114.4(c)(7)
    -- corporate/labor, Sec. 114.3(c)(2); Sec. 114.4(b)(1) and (2)
    -- election year, Sec. 110.8(e)(2)(ii)
    -- party-building, Sec. 110.8(e)
    See also: COMMUNICATIONS/ADVERTISING
  Campaign funds, use of, See: CAMPAIGN FUNDS, USE OF
  Campaign materials prepared by/distributed for, See: CAMPAIGN 
      MATERIALS
  Candidacy indicated, examples, Sec. 100.8(b)(1)(ii)
  Cessation of candidacy, date of, Sec. 110.3(c)(4)(iv)
  Clearly identified, See: CLEARLY IDENTIFIED CANDIDATE
  Committee, See: AUTHORIZED COMMITTEE
  Contributions to
    -- accounting for primary/general election contributions, 
      Sec. 102.9(e)
    -- committees supporting same candidate, Sec. 110.1(h); 
      Sec. 110.2(h)
    -- criterion for candidate status, Sec. 100.3(a)
    -- criterion for candidate support, Sec. 102.12(c)(2); 
      Sec. 102.13(c)(2)
    -- dual candidate, Sec. 110.1(f); Sec. 110.2(f)
    -- limitations, general, Sec. 110.1(b) and (h); Sec. 110.2(b), (h) 
      and (i)
    -- prior to becoming candidate, Sec. 100.7(b)(1); Sec. 101.2(b); 
      Sec. 101.3
    -- prohibited, acceptance of, Sec. 103.3(b); Sec. 110.9(a); 
      Sec. 114.2(d)
    -- Senate candidate, Sec. 110.2(e); Sec. 110.3(b)(4)
    -- unopposed candidate, Sec. 110.1(j)(2) and (3); Sec. 110.2(d)(2) 
      and (3)
    See also: CONTRIBUTIONS
  Corporate/labor facilities and resources, used by, Sec. 114.2(f); 
      Sec. 114.9(e); Sec. 114.13
  Debates, See: DEBATES
  Definition, Sec. 100.3(a)
  Delegate/delegate committee communications referring to, 
      Sec. 110.14(f) and (i)
  Designation of
    -- authorized committee, Sec. 101.1(b); Sec. 102.13
    -- joint fundraising committee, Sec. 102.13(c)(1); Sec. 102.17(a)(1)
    -- principal campaign committee, Sec. 101.1(a); Sec. 102.12
  Disavowal of campaign activity, Sec. 100.3(a)(3); Sec. 102.13(a)(2)
  Dual, See: DUAL CANDIDACY
  Expenditures
    -- allocation among candidates, Sec. 104.10; Sec. 106.1
    -- allocation among States for Presidential candidate, Sec. 106.2
       See also: ALLOCATION BY PRESIDENTIAL CAMPAIGN
    -- criterion for candidate status, Sec. 100.3(a)
    -- limitations, for publicly funded Presidential candidates, 
      Sec. 110.8
    -- made on behalf of, Sec. 110.8(g)
    -- personal funds used for, See: PERSONAL FUNDS
    -- polling expenses, Sec. 106.4
    -- prior to becoming candidate, Sec. 100.8(b)(1); Sec. 101.2(b); 
      Sec. 101.3
    See also: EXPENDITURES
  Family of, definition, Sec. 113.1(g)(7)
  Fraudulent misrepresentation by, Sec. 110.9(b)
  Living expenses, Sec. 100.8(b)(22)
  Loan obtained by, Sec. 101.2; Sec. 102.7(d); Sec. 104.3(d)
  Name included in
    -- authorized committee's name, Sec. 102.14(a)
    -- communication or special project opposing, Sec. 102.14(b)(3)
    -- unauthorized committee's name, Sec. 102.14(a) and (b)
  Nonfederal campaign of federal candidate
    -- facilities and personnel, shared with federal campaign, 
      Sec. 110.8(d)(3)
    -- separate organization from candidate's federal campaign required, 
      Sec. 110.8(d)(1)
    -- solicitation of donors to, Sec. 110.3(d)

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    -- transfers to federal campaign, prohibited, Sec. 110.3(d); 
      Sec. 110.8(d)(2)
  Personal funds, See: PERSONAL FUNDS
  Personal use of campaign funds, Sec. 113.1(g); Sec. 113.2(d) and (e)
  Pre-1975, Sec. 110.2(g)
  Presidential, See: CANDIDATE FOR PRESIDENT
  Referred to in party solicitation, Sec. 102.5(a)(3)
  Support of, definition, Sec. 102.12(c)(2); Sec. 102.13(c)(2)
  Testing-the-waters activity, Sec. 100.7(b)(1); Sec. 100.8(b)(1); 
      Sec. 101.3; Sec. 106.4(a)
  Transfers between
    -- federal/nonfederal campaigns, prohibited, Sec. 110.3(d); 
      Sec. 110.8(d)(2)
    -- previous and current federal campaigns, Sec. 110.3(c)(4)
    -- two federal campaigns of same candidate, Sec. 110.3(c)(5); 
      Sec. 110.8(d)(2)
    See also: TRANSFER OF FUNDS
  Travel expenses, Sec. 106.2; Sec. 106.3; Sec. 114.9(e)
  Unopposed, Sec. 100.2(c)(5); Sec. 110.1(j)(2) and (3); 
      Sec. 110.2(d)(2) and (3)
  Vice Presidential candidate, See: CANDIDATE FOR PRESIDENT
  Voter guide, responses included in, Sec. 114.4(b)(5)
  Voting record distributed by others, Sec. 114.4(b)(4)
CANDIDATE FOR PRESIDENT
  Appearances by
    -- at corporation/labor organization, Sec. 114.3(c)(2); 
      Sec. 114.4(b)(1) and (2)
    -- at educational institution, Sec. 110.12; Sec. 114.4(c)(7)
    -- election year, Sec. 110.8(e)(2)(ii)
    -- party-building, Sec. 110.8(e)
    See also: COMMUNICATIONS/ADVERTISING
  Clearly identified, See: CLEARLY IDENTIFIED CANDIDATE
  Contributions to, See: CONTRIBUTIONS
  Debates, See: DEBATES
  Delegate communications referring to, Sec. 110.14(f) and (i)
  Expenditures
    -- allocation among States, Sec. 106.2
       See also: ALLOCATION BY PRESIDENTIAL CAMPAIGN
    -- limits for publicly funded candidate, Sec. 110.8
  Fundraising, expenditure exemptions
    -- overall limitation, Sec. 100.8(b)(21)
    -- state limitation, Sec. 110.8(c)(2)
  Legal and accounting services, contribution/expenditure exemption, 
      Sec. 100.7(b)(14); Sec. 100.8(b)(15); Sec. 106.2(b)(2)(iii)
  Name of, used by committee, Sec. 102.14(a) and (b)
  National party committee
    -- as Presidential principal campaign committee, Sec. 102.12(c)(1)
    -- expenditure limits for Presidential nominee, Sec. 110.7(a)
  Nominating convention, See: CONVENTION, NATIONAL NOMINATING
  Reports by Presidential committee, Sec. 104.5(b); Sec. 105.3; 
      Sec. 108.2
  Transfers between campaigns, Sec. 110.3(c); Sec. 110.8(d)(2)
  Vice Presidential candidate
    -- campaign depository, Sec. 103.4
    -- committee reports, Sec. 104.5(d); Sec. 108.2
    -- expenditures by and on behalf of, Sec. 110.8(f) and (g)
    -- principal campaign committee, Sec. 102.12(a)
  Voter drive by party committee on behalf of nominee, 
      Sec. 100.7(b)(17); Sec. 100.8(b)(18); Sec. 106.1(c)(3); 
      Sec. 110.11(a)(4)
CASH
  Collateral for loan, Sec. 100.7(b)(11)(i); Sec. 100.8(b)(12)(i)
  Contributions, Sec. 110.4(c)
  Disbursements from petty cash, Sec. 102.11; Sec. 103.3(a)
  On-hand, reporting, Sec. 104.3(a)(1); Sec. 104.12

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CHARITABLE ORGANIZATION
  Campaign funds donated to, Sec. 113.1(g)(2); Sec. 113.2(b)
  Definition, Sec. 110.12(b)(6)
CHURCH OR COMMUNITY ROOM
  Use of, Sec. 100.7(b)(5); Sec. 100.8(b)(6)
CIVIL ACTIONS
  See: COMPLIANCE
CLEARLY IDENTIFIED CANDIDATE
  Attribution of expenditures to, Sec. 106.1(c)
  Communications expressly advocating
    -- as independent expenditure, Sec. 100.22; Sec. 109.1
    -- by corporation/labor organization, Sec. 100.8(b)(4); Sec. 100.22; 
      Sec. 104.6; Sec. 105.4; Sec. 114.3; Sec. 114.5(e)(2)(i)
    -- by delegate/delegate committee on behalf of Presidential 
      candidate, Sec. 110.14(f) and (i)
    -- notice required, Sec. 109.3; Sec. 110.11(a)
  Definition, Sec. 100.17; Sec. 106.1(d); Sec. 109.1(b)(3)
  See also: COMMUNICATIONS/ADVERTISING; INDEPENDENT EXPENDITURES
COLLECTING AGENT
  Definition, Sec. 102.6(b)(1) and (3)
  Fundraising for separate segregated fund, Sec. 102.6(b) and (c)
  Recordkeeping, Sec. 102.6(c)(5) and (6)
  Registration of, for Federal election activity, Sec. 102.6(b)(2)
  Reporting of funds received through, Sec. 102.6(c)(7)
  Transfers to separate segregated fund, Sec. 110.3(c)(1)
  Transmittal of contribution by, Sec. 102.6(c)(3), (4) and (5)
COMMERCIAL VENDOR
  Defined, Sec. 116.1(c)
  Extension of credit by, See: CREDIT, EXTENSION OF
  Food, beverage discounts by, Sec. 100.7(b)(7); Sec. 100.8(b)(8)
  Individual not acting as, Sec. 116.5(a)
  Remedies taken to collect on debts, Sec. 100.7(a)(4); Sec. 116.4(d)(3)
  Settlement/forgiveness of debts owed to, Sec. 100.7(a)(4); Sec. 116.4; 
      Sec. 116.8
  See also: CREDITOR; DEBTS
COMMINGLED FUNDS
  Segregation of political/personal funds, Sec. 102.15
COMMITTEE
  See: POLITICAL COMMITTEE
COMMUNICATIONS/ADVERTISING
  Advertising, Sec. 110.11
  Campaign materials, See: CAMPAIGN MATERIALS
  Candidate appearances
    -- at debate, See: DEBATES
    -- at private educational institution, Sec. 114.4(c)(7)
    -- at public educational institution, Sec. 110.12
    -- before all employees, paid for by corporation/union, 
      Sec. 114.4(b) and (e)
    -- before restricted class of corporation/union, Sec. 114.3(c)(2)
    -- contributions solicited/collected at, Sec. 114.3(c)(2); 
      Sec. 114.4(b)(1)(iii), (iv) and (2)(i)
    -- for party building, Sec. 110.8(e)
  Containing express advocacy
    -- definition of, Sec. 100.22
    -- guidelines for, when made by corporation/union, Sec. 114.3(c)
    -- independent expenditures, See: INDEPENDENT EXPENDITURES
    -- restricted class for, Sec. 114.1(j)
    See also: EXPRESS ADVOCACY
  Coordinated general public political communications, Sec. 100.23
  Debates, See: DEBATES

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  Disclaimer notice requirements, Sec. 110.11
    See also: DISCLAIMER NOTICE
  Expressly advocating, See: EXPRESS ADVOCACY
  Endorsements by corporations/labor organizations, Sec. 114.3(a); 
      Sec. 114.4(c)(6)
  Independent expenditures, See: INDEPENDENT EXPENDITURES
  Made by
    -- bank/corporation established by authority of Congress, 
      Sec. 100.23; Sec. 114.2(a)
    -- cooperatives, Sec. 100.8(b)(4); Sec. 100.23; Sec. 114.3(a)(2); 
      Sec. 114.4(a); Sec. 114.7(h) and (k)(2)
    -- corporation without capital stock, Sec. 100.8(b)(4); Sec. 100.23; 
      Sec. 114.3(a)(2); Sec. 114.4(a); Sec. 114.7(h)
    -- delegate committees, Sec. 100.23; Sec. 110.14(i)
    -- delegates, Sec. 110.14(f)(2)
    -- membership organizations, Sec. 100.8(b)(4); Sec. 100.23; 
      Sec. 114.3(a)(2); Sec. 114.4(a); Sec. 114.7(h)
    -- party, Sec. 100.7(b)(15); Sec. 100.8(b)(16); Sec. 110.11(a)
    -- Presidential campaign, Sec. 106.2(b)(2)(i) and (ii)
    -- separate segregated funds, Sec. 100.23; Sec. 110.11(a)(7); 
      Sec. 114.5(i)
    -- trade associations, Sec. 100.8(b)(4); Sec. 100.23; 
      Sec. 114.3(a)(2); Sec. 114.4(a); Sec. 114.8(h)
    -- unauthorized committee, Sec. 102.14(a); Sec. 109.1; 
      Sec. 110.11(a)(1)(ii), (iii) and (iv); Sec. 114.5(i)
  Media
    -- allocation of expenditures for, on behalf of Presidential 
      candidate, Sec. 106.2(b)(2)(i)
    -- ad space, charges for, Sec. 110.11(b)
    -- broadcasters, definition, Sec. 100.7(b)(2); Sec. 100.8(b)(2); 
      Sec. 110.13(a)(2); Sec. 114.4(f)(2)
    -- disclaimer for television ads, Sec. 110.11(a)(5)(iii)
    -- news story/editorial/commentary, Sec. 100.7(b)(2); 
      Sec. 100.8(b)(2)
    -- presence at corporate/labor candidate appearance, 
      Sec. 114.3(c)(2)(iv); Sec. 114.4(b)(1)(viii) and (2)
    -- production costs, for Presidential candidates, 
      Sec. 106.2(b)(2)(i)(F)
    -- staging of candidate debates, Sec. 110.13(a)(2); Sec. 114.4(f)(2)
    -- use of information from filed reports, Sec. 104.15(c)
  Name of candidate used in
    -- name of authorized committee, Sec. 102.14(a)
    -- opposing candidate, use of name in title, Sec. 102.14(b)(3)
  Notice required, See: DISCLAIMER NOTICE
  Slate card/sample ballot, Sec. 100.7(b)(9); Sec. 100.8(b)(10); 
      Sec. 106.1(c)(3)
  Soliciting contributions, See: DISCLAIMER NOTICE; FUNDRAISING
  To general public, by corporation or labor organization, Sec. 114.4
    -- coordinated general public political communications, Sec. 100.23
    -- endorsements, Sec. 114.4(c)(6)
    -- registration and get-out-the-vote drives, Sec. 114.4(d)
    -- registration and voting communications, Sec. 114.4(c)(2) and (3)
    -- voter guides, Sec. 114.4(c)(5)
    -- voting records, Sec. 114.4(c)(4)
  To restricted class, by corporation or labor organization, Sec. 114.3
    -- candidate and party appearances, Sec. 114.3(c)(2)
    -- coordinated general public political communications, Sec. 100.23
    -- coordinated with candidate, Sec. 114.2(c)
    -- publications Sec. 114.3(c)(1)
    -- registration and get-out-the-vote drives, Sec. 114.3(c)(4)
    -- reporting of, Sec. 100.8(b)(4); Sec. 104.6; Sec. 105.4; 
      Sec. 114.3(b); Sec. 114.5(e)(2)(i)
    -- restricted class for communications, definition, Sec. 114.1(j)
  See also: CLEARLY IDENTIFIED CANDIDATE; PUBLIC POLITICAL ADVERTISING; 
      VOTER DRIVES
COMPLAINTS
  See: COMPLIANCE

[[Page 312]]

COMPLIANCE
  Administrative Fines
    -- appeal of, Sec. 111.38
    -- payment of civil penalties, Sec. 111.39; Sec. 111.40; Sec. 111.41
    -- reason to believe finding, Sec. 111.32; Sec. 111.33
    -- reviewing officer, Sec. 111.36
    -- schedule of penalties, Sec. 111.43; Sec. 111.44
    -- when in effect, Sec. 111.30
  Best efforts to obtain, maintain and submit contributor information, 
      Sec. 104.7
  Civil actions, Sec. 111.19
  Civil penalties, Sec. 111.24
  Complaints, Sec. 111.4; Sec. 111.5; Sec. 111.6; Sec. 111.7
  Computation of time, Sec. 111.2
  Conciliation agreements, Sec. 111.18; Sec. 111.19(c)
  Confidentiality, Sec. 1.14; Sec. 111.21; Sec. 111.24(b)
  Cost exemption, disputed, Sec. 106.2(a)(1)
  Costs, exempted from allocation, Sec. 106.2(c)(5)
  Ex parte communications, Sec. 111.22
  Exempt costs, defined, Sec. 106.2(c)(5)(i)
  Failure to file reports, Sec. 111.8(c)
  Initiation of, Sec. 111.3
  Internal/agency referrals, Sec. 111.3(a); Sec. 111.8
  Investigations, Sec. 111.10
  No reason to believe, Sec. 111.7(b); Sec. 111.9(b)
  Probable cause to believe, Sec. 111.16; Sec. 111.17; Sec. 111.18
  Public disclosure, Sec. 111.20; Sec. 111.24(b)
  See also: Index for ADMINISTRATIVE REGULATIONS
  Reason to believe, Sec. 111.7(a); Sec. 111.9; Sec. 111.10
  Representation by counsel, Sec. 111.23
  Subpoenas/orders/depositions
    -- issuance of, Sec. 111.11; Sec. 111.12
    -- motions to quash, Sec. 111.15
    -- service of, Sec. 111.13
    -- witness fees/mileage, Sec. 111.14
CONDUIT/INTERMEDIARY
  Definition, Sec. 110.6(b)(2)
  Persons not considered as, Sec. 110.6(b)(2)(i)
  Persons prohibited from acting as, Sec. 110.6(b)(2)(ii); 
      Sec. 114.2(f)(1)
  Reporting by, Sec. 110.6(c)(1)
  Separate segregated fund acting as, Sec. 110.6; Sec. 114.2(f)(2)(iii) 
      and (4)(iii)
  See also: BUNDLING; EARMARKED CONTRIBUTION
CONGRESS, MEMBERS OF
  Excess campaign funds
    -- use for political or officially connected expense, 
      Sec. 113.1(g)(5)
    -- use of by qualified members, Sec. 113.2(e)
  Travel expenses, official, Sec. 106.3(d); Sec. 113.2(a)(1)
  See also: OFFICE ACCOUNT
CONNECTED ORGANIZATION
  As collecting agent for separate segregated fund, Sec. 102.6(b)(1)(ii)
  Communications by, See: COMMUNICATIONS/ADVERTISING
  Definition, Sec. 100.6
  Disclosure of, on Statement of Organization, Sec. 102.2(b)
  Name of, included in separate segregated fund's name, Sec. 102.14(c)
  Political committee of, See: SEPARATE SEGREGATED FUND
  Relationship with another organization, Sec. 100.5(g)(4); 
      Sec. 110.3(a)(3)
CONSUMER PRICE INDEX
  Definition, Sec. 110.9(c)(2)
  Expenditure limits adjusted by, Sec. 110.9(c)(1)

[[Page 313]]

CONTRIBUTIONS
  Acceptance of
    -- anonymous, Sec. 110.4(c)(3)
    -- by Federal committee/account, Sec. 102.5(a)(2)
    -- by separate segregated fund, Sec. 114.5(j)
    -- illegal-appearing, Sec. 103.3(b)
    -- prohibited, Sec. 110.9(a); Sec. 114.2(c)
    -- treasurer required, Sec. 102.7(b)
  Accounting for, Sec. 102.9(a) and (e); Sec. 104.7
  Advances of goods or services paid from individual's funds, 
      Sec. 100.7(a)(1); Sec. 116.5(b)
  Allocated in joint fundraising, Sec. 102.17(c)(1), (2), (6) and (7)
  Annual limits, Sec. 110.5
    See also: ANNUAL CONTRIBUTION LIMIT
  Anonymous, Sec. 110.4(c)(3)
  By affiliated committees, Sec. 110.3(a)(1)
  By checks and other written instruments, Sec. 104.8(c) and (d)
  By children, Sec. 110.1(i)(2)
  By committees, general, Sec. 110.1; Sec. 110.2
  By corporations/labor organizations/national banks, Sec. 103.3(b); 
      Sec. 114.2
  By delegate committees, Sec. 110.14(g)
  By Federal contractors, Sec. 103.3(b); Sec. 115.2
  By foreign nationals, Sec. 103.3(b); Sec. 110.4(a)
  By limited liability companies, Sec. 110.1(g)
  By minors, Sec. 110.1(i)(2)
  By multicandidate committees
    -- limitations, Sec. 110.2
    -- notice to recipients, Sec. 110.2(a)(2)
  By partnerships, Sec. 110.1(e)
  By party committees
    -- general, Sec. 110.3(b)(1) and (3)
    -- national House and Senate committees, Sec. 110.3(b)(2)
    -- to Senate candidates, Sec. 110.2(e)
  By payroll deduction plan, Sec. 104.8(b); Sec. 114.5(k)(1); 
      Sec. 114.6(e)(1)
  By person in name of another, Sec. 110.4(b)
  By persons, Sec. 110.1; Sec. 110.5
  By separate segregated fund, Sec. 114.5(f)
  By spouse, Sec. 100.7(c); Sec. 110.1(i)(1)
  Cash, Sec. 110.4(c)
  Charitable, Sec. 113.1(g)(2); Sec. 113.2(b)
  Combined with other payments, Sec. 102.6(c)(3)
  Conduit for, See: EARMARKED CONTRIBUTION
  Contributor identification, Sec. 100.12; Sec. 104.7(b); Sec. 104.8(a) 
      and (b)
  Credit, extension of, See: CREDIT, EXTENSION OF
  Debts, contributions to retire, See: DEBTS
  Definition, Sec. 100.7(a); Sec. 114.1(a)(1)
  Deposit of, Sec. 103.3(a) and (b)
  Designated/not designated for election, Sec. 102.9(e); Sec. 110.1(b) 
      and (l); Sec. 110.2(b); Sec. 110.5(c)(2)
  Earmarked, See: EARMARKED CONTRIBUTION
  Election, contribution limit for, Sec. 110.1(a)(1) and (j); 
      Sec. 110.2(a)(1) and (d); Sec. 110.5(c)
  Excess, See: EXCESS CAMPAIGN FUNDS
  Excessive, Sec. 103.3(b)(3); Sec. 110.1(k)
  Exemptions, Sec. 100.7(b); Sec. 114.1(a)(2)
    See also: CONTRIBUTION/EXPENDITURE EXEMPTIONS
  Facilitating the making of
    -- by corporation/labor organization, prohibited, Sec. 114.2(f)(1)
    -- examples of, Sec. 114.2(f)(2)
    -- separate segregated fund activity, exempt, Sec. 114.2(f)(3) and 
      (4)
  For delegate selection, Sec. 110.14(c)(1)
  Forwarding, Sec. 102.8

[[Page 314]]

  Illegal, Sec. 103.3(b); Sec. 110.1(b)(3)(i); Sec. 110.4; 
      Sec. 110.9(a); Sec. 110.14(c)(2); Sec. 114.2; Sec. 115.2
  Illegal-appearing, Sec. 103.3(b)
  In-kind, See: IN-KIND CONTRIBUTION
  In name of another, Sec. 110.4(b)
  Investment of, Sec. 103.3(a)
  Joint, Sec. 104.8(c) and (d); Sec. 110.1(k)
  Lacking required information, Sec. 104.7(b)
    See also: BEST EFFORTS
  Limitations, Sec. 102.17(c)(5); Sec. 110.1; Sec. 110.2; 
      Sec. 110.3(a)(1) and (b); Sec. 110.5; Sec. 110.9(a)
  Loans, See: LOANS
  Made, Sec. 110.1(b)(6) and (l)(4); Sec. 110.2(b)(6)
  Nonelection year, Sec. 110.5(c)
  Personal use expense paid by third party, Sec. 113.1(g)(6)
  Polling expenses, Sec. 106.4
  Post-primary, Sec. 110.1(a)(2)(i) and (ii)(B)
  Pre-primary, Sec. 102.9(e)
  Processing, costs of, Sec. 106.2(c)(5)
  Prohibited, Sec. 110.4; Sec. 110.9(a); Sec. 110.14(c)(2); Sec. 114.2; 
      Sec. 115.2
  Prohibited, accepted in joint fundraising, Sec. 102.17(c)(2)(ii)(B) 
      and (3)(i)
  Reattributed, Sec. 100.7(c); Sec. 100.8(c); Sec. 102.9(e); 
      Sec. 103.3(b)(3); Sec. 104.8(d)(3); Sec. 110.1(b)(3)(i), (k)(3) 
      and (l)
  Receipt of, Sec. 102.8
  Recordkeeping requirements, See: RECORDKEEPING
  Redesignated, Sec. 102.9(e); Sec. 103.3(b)(3); Sec. 104.8(d)(2); 
      Sec. 110.1(b) and (l); Sec. 110.2(b)(3)(i) and (5)
  Refunds
    -- of designated contributions, Sec. 110.1(b)(3)(i); 
      Sec. 110.2(b)(3)(i)
    -- of general election contributions, Sec. 102.9(e); 
      Sec. 110.1(b)(3)(i); Sec. 110.2(b)(3)(i)
    -- of illegal contributions, Sec. 103.3(b)(1)
    -- reporting of, Sec. 104.8(d)(4)
  Reporting requirements, See: REPORTING
  Returned, Sec. 103.3(a) and (b); Sec. 110.1(b)(3)(i); 
      Sec. 110.2(b)(3)(i); Sec. 110.4(c)(2)
  Segregated from personal funds, Sec. 102.15
  Solicitation of
    -- by collecting agent, Sec. 102.6(c)(2)
    -- by party committee, Sec. 102.5(a)(3)
    -- exempted expenditure, Sec. 100.8(b)(21)
    -- facilitating the making of contributions, Sec. 114.2(f)
    -- information on reports used for, Sec. 104.15
    -- notices required on, Sec. 102.16; Sec. 104.7(b); 
      Sec. 110.11(a)(1)
       See also: FUNDRAISING; SEPARATE SEGREGATED FUND
  Stocks, bonds, art objects, Sec. 104.13(b)
  Testing-the-waters activity, for, Sec. 100.7(b)(1); Sec. 100.8(b)(1); 
      Sec. 101.3; Sec. 106.2(a)(2); Sec. 106.4(a)
  To authorized committee, Sec. 110.1(a) and (h); Sec. 110.2(a)(1)
  To candidate, See: CANDIDATE
  To committee
    -- criterion for political committee status, Sec. 100.5(a) and (c)
    -- making independent expenditures, Sec. 110.1(d)(2); 
      Sec. 110.2(d)(2); Sec. 110.5(d)
  To committees supporting same candidate, Sec. 110.1(h); Sec. 110.2(h)
  To delegate, Sec. 110.1(m)(1); Sec. 110.2(j)(1); Sec. 110.5(e); 
      Sec. 110.14(d)
  To delegate committee, Sec. 110.1(m)(2); Sec. 110.2(j)(2); 
      Sec. 110.5(e); Sec. 110.14(g)
  To Federal committee/account, Sec. 102.5(a)(2)
  To office account, Sec. 113.4
  To persons making independent expenditures, Sec. 110.1(d)(2); 
      Sec. 110.2(d)(2); Sec. 110.5(d)
  To political party committees, Sec. 110.1(c); Sec. 110.2(c)
  To retire debts, See: DEBTS
  To single candidate committee, Sec. 110.1(h)(1); Sec. 110.2(b); 
      Sec. 110.5(c)(3)(i)
  To unauthorized committees, Sec. 110.1(d) and (h); Sec. 110.2(d)

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  Transfers, See: TRANSFER OF FUNDS
  Transmittal of, by collecting agent, Sec. 102.6(c)(4), (5) and (6); 
      Sec. 110.3(c)(1)
  Violations, Sec. 110.4; Sec. 110.9(a)
CONTRIBUTION/EXPENDITURE EXEMPTIONS
  Ballot access payments, Sec. 100.7(b)(18); Sec. 100.8(b)(19)
  Campaign materials
    -- paid for by candidate, Sec. 100.7(b)(16); Sec. 100.8(b)(17); 
      Sec. 110.11(a)(4)
    -- paid for by delegate, Sec. 110.14(f)(1)
    -- paid for by delegate committee, Sec. 110.14(i)(1)
    -- paid for by party committee, Sec. 100.7(b)(15); 
      Sec. 100.8(b)(16); Sec. 110.11(a)(4)
  Candidate's payments from personal funds, Sec. 100.8(b)(22)
  Church or community rooms, Sec. 100.7(b)(5); Sec. 100.8(b)(6)
  Communications by membership organization/corporation
    -- to all employees/general public, Sec. 114.4
    -- to restricted class, Sec. 100.8(b)(4); Sec. 114.1(a)(2)(i); 
      Sec. 114.3
       See also: COMMUNICATIONS/ADVERTISING
  Corporate/labor exemptions, Sec. 100.7(b)(10); Sec. 100.8(b)(4) and 
      (11); Sec. 114.1(a)(2) Sec. 114.3; Sec. 114.4; Sec. 114.5
  Debate expenses, Sec. 100.7(b)(21); Sec. 100.8(b)(23); Sec. 114.4(f)
  Election recount expenses, Sec. 100.7(b)(20); Sec. 100.8(b)(20)
  Endorsements by corporation/labor organization, Sec. 114.4(c)(6)
  Food, beverage, invitations, Sec. 100.7(b)(6) and (7); 
      Sec. 100.8(b)(7) and (8); Sec. 114.1(a)(2)(v)
  Legal/accounting services
    -- for nonparty committees, Sec. 100.7(b)(14); Sec. 100.8(b)(15); 
      Sec. 114.1(a)(2)(vii)
    -- for party committees, Sec. 100.7(b)(13); Sec. 100.8(b)(14); 
      Sec. 114.1(a)(2)(vi)
  Living expenses, Sec. 100.7(b)(8); Sec. 100.8(b)(9) and (22)
  Loans from banks, Sec. 100.7(b)(11); Sec. 100.8(b)(12)
       See also: LOANS
  News story/editorial/commentary, Sec. 100.7(b)(2); Sec. 100.8(b)(2)
  Party office building fund, donations to, Sec. 100.7(b)(12); 
      Sec. 100.8(b)(13); Sec. 114.1(a)(2)(ix)
  Real or personal property, Sec. 100.7(b)(4); Sec. 100.8(b)(5)
  Residential premises, Sec. 100.7(b)(4); Sec. 100.8(b)(5)
  Slate card/sample ballot, Sec. 100.7(b)(9); Sec. 100.8(b)(10); 
      Sec. 110.11(a)(4)
  Solicitation expenses, for publicly funded candidate, 
      Sec. 100.8(b)(21)
  Testing-the-waters activity, Sec. 100.7(b)(1); Sec. 100.8(b)(1); 
      Sec. 101.3
  Travel expenses, Sec. 100.7(b)(8); Sec. 100.8(b)(9); Sec. 116.5(b)
  Unpaid salary, Sec. 116.6(a)
  Vendor discount of food/beverage, Sec. 100.7(b)(7); Sec. 100.8(b)(8); 
      Sec. 114.1(a)(2)(v)
  Volunteer services, Sec. 100.7(b)(3); Sec. 116.6(a)
  Voter drive expenses
    -- corporate/labor, Sec. 100.8(b)(3); Sec. 114.1(a)(2)(ii); 
      Sec. 114.4(c)(2) and (3)
    -- paid by party committee for Presidential nominee, 
      Sec. 100.7(b)(17); Sec. 100.8(b)(18); Sec. 106.1(c)(3); 
      Sec. 110.11(a)(4)
CONVENTION, NATIONAL NOMINATING
  Convention committee, registration and reporting for, Sec. 107.1
  Corporate/labor organization activity, exemption, 
      Sec. 114.1(a)(2)(viii)
  Delegates to, See: DELEGATE
  Host committee, registration and reporting for, Sec. 107.2
  Registration and reporting, Sec. 107.1; Sec. 107.2
COOPERATIVE
  Communications by
    -- beyond restricted class, Sec. 114.4
    -- containing express advocacy to restricted class, Sec. 114.1(j); 
      Sec. 114.3
    -- restricted class for, definition, Sec. 114.1(j)
    -- to general public, Sec. 114.4(a) and (c)
  Federated, solicitation of affiliates' members, Sec. 114.7(k)(1)
  Member of, defined, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2)
  Membership organization, defined as, Sec. 100.8(b)(4)(iv)(A); 
      Sec. 114.1(e)(1)

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  Separate segregated fund
    -- established by, Sec. 114.1(a)(1)(iii); Sec. 114.5(b); 
      Sec. 114.7(a)
    -- solicitation of members, Sec. 114.7(a) and (k)(1)
  See also: COMMUNICATIONS/ADVERTISING; CORPORATION/LABOR ORGANIZATION/
      NATIONAL BANK; SEPARATE SEGREGATED FUND
COORDINATED GENERAL PUBLIC POLITICAL COMMUNICATIONS
  Coordination with candidates, Sec. 100.23(c)
  Coordination with parties, Sec. 100.23(c)
  Definition, Sec. 100.23(e)
COORDINATED PARTY EXPENDITURES
  See: PARTY COMMITTEE
CORPORATION ESTABLISHED BY AUTHORITY OF CONGRESS--Continued
  Communications by
    -- beyond restricted class, Sec. 114.4
    -- containing express advocacy to restricted class, Sec. 114.1(j); 
      Sec. 114.3
    -- restricted class for, definition, Sec. 114.1(j)
    -- to general public, Sec. 114.4(a) and (c)
  Contribution/expenditure by, prohibited, Sec. 114.2(a)
  Earmarked contribution received by, Sec. 110.6(b)(2)(iii)(B)
  Separate segregated fund established by, Sec. 114.2(a)(1)
  See also: COMMUNICATIONS/ADVERTISING; CORPORATION/LABOR ORGANIZATION/
      NATIONAL BANK; SEPARATE SEGREGATED FUND
CORPORATION, QUALIFIED NONPROFIT See: QUALIFIED NONPROFIT CORPORATION
CORPORATION WITHOUT CAPITAL STOCK
  Communications by
    -- beyond restricted class, Sec. 114.4
    -- containing express advocacy to restricted class, Sec. 114.1(j); 
      Sec. 114.3
    -- restricted class for, definition, Sec. 114.1(j)
    -- to general public, Sec. 114.4(a) and (c)
  Member, defined, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2)
  Membership organization, defined as, Sec. 100.8(b)(4)(iv)(A); 
      Sec. 114.1(e)(1)
  Separate segregated fund established by, Sec. 114.1(a)(1)(iii); 
      Sec. 114.5(b); Sec. 114.7(a)
  See also: COMMUNICATIONS/ADVERTISING; CORPORATION/LABOR ORGANIZATION/
      NATIONAL BANK; QUALIFIED NONPROFIT CORPORATION; SEPARATE 
      SEGREGATED FUND
CORPORATION/LABOR ORGANIZATION/NATIONAL BANK
  Acting as conduit, prohibited, Sec. 110.6(b)(2)(ii); Sec. 114.2(f)
  Aircraft, use of, Sec. 114.9(e)
  Business activities, definition, Sec. 114.10(b)(3)
  Candidate use of corporate/labor
    -- facilities, Sec. 114.2(f); Sec. 114.9(d)
    -- meeting room, Sec. 114.13
    -- resources, Sec. 114.2(f)
    -- transport, Sec. 114.9(e)
  Candidate/party representative appearances, Sec. 114.3(c)(2); 
      Sec. 114.4(a)(2) and (3)
  Collecting agent, Sec. 102.6(b) and (c)
  Communications by
    -- to general public, Sec. 114.4
    -- to restricted class, Sec. 114.3
    See also: COMMUNICATIONS/ADVERTISING
  Computer use to solicit contributions, Sec. 114.5(k)(2)
  Contributions and expenditures
    -- definitions and exemptions, Sec. 100.7(b)(10); Sec. 100.8(b)(4) 
      and (11); Sec. 114.1(a); Sec. 114.2(b); Sec. 114.10
    -- prohibited, Sec. 114.2
  Convention activity, national nominating, Sec. 114.1(a)(2)(viii)
  Corporation
    -- definition, Sec. 100.8(b)(4)(vi)

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    -- restricted class of, Sec. 100.8(b)(4)(ii) and (iii); 
      Sec. 114.1(c) and (h)
    See also: CORPORATION ESTABLISHED BY AUTHORITY OF CONGRESS; 
      CORPORATION WITHOUT CAPITAL STOCK; QUALIFIED NONPROFIT CORPORATION
  Credit, extension of, by incorporated vendor, Sec. 116.3(b)
    See also: CREDIT, EXTENSION OF
  Debts, forgiveness of, by incorporated vendor, Sec. 116.4(b) and (e); 
      Sec. 116.8
    See also: DEBTS
  Earmarked contribution received by, Sec. 110.6(b)(2)(iii)(B)
  Employees/members
    -- acting as agents of corporation/union in fundraising, Sec. 102.6; 
      Sec. 110.6(b)(2)(ii); Sec. 114.2(f); Sec. 114.3(b)(2)(iii)
    -- advance payment for fundraising services, Sec. 114.2(f)(2)(i)(A)
    -- coercion of, to make contribution or participate in fundraising, 
      prohibited, Sec. 114.2(f)(2)(iv)
    -- consenting to illegal contribution/expenditure, prohibited, 
      Sec. 114.2(e)
    -- leave for political purposes, Sec. 100.7(a)(3); Sec. 114.12(c)
    -- participation (trustee) plan, Sec. 114.2(f)(4)(i); Sec. 114.11
    -- use of corporate/labor facilities for personal volunteer 
      activity, Sec. 114.2(f); Sec. 114.9(a) and (b)
    -- use of corporate/labor resources, Sec. 114.2(f)
  Executive/administrative personnel, definition, Sec. 100.8(b)(4)(iii); 
      Sec. 114.1(c)
  Express purpose of, definition, Sec. 114.10(b)(2)
  Facilities and resources of, used for political purposes, 
      Sec. 114.2(f)(2); Sec. 114.9; Sec. 114.13
  Food/beverage sold to candidate/party committee, Sec. 114.1(a)(2)(v)
  Fundraising by, other than for separate segregated fund, 
      Sec. 114.2(f); Sec. 114.3(c)(2); Sec. 114.4(b)(1)(iii), (iv) and 
      (2)(i)
  Incorporation by political committee, Sec. 114.12(a)
  Labor organization
    -- definition, Sec. 100.8(b)(4)(i); Sec. 114.1(d)
    -- local, members of, Sec. 100.8(b)(4)(iv)(D); Sec. 114.1(e)(4)
    -- member of, defined, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2)
    -- membership organization, defined as, Sec. 100.8(b)(4)(iv)(A); 
      Sec. 114.1(e)(1)
  Legal and accounting services, Sec. 114.1(a)(2)(vi) and (vii)
  Loans by bank, See: LOANS
  Office account donations, Sec. 113.4(b)
  Ownership of, factor of affiliation, Sec. 100.5(g)(4)(ii)(A); 
      Sec. 110.3(a)(3)(ii)(A)
  Partnership, member of, Sec. 110.1(e)(2)
  Party office building fund, donations to, Sec. 114.1(a)(2)(ix)
  Political committee sponsored by, See: SEPARATE SEGREGATED FUND
  Professional organization, corporate status of, Sec. 114.7(d)
  Qualified nonprofit corporation, Sec. 114.10
        See: QUALIFIED NONPROFIT CORPORATION
  Restricted class, See: RESTRICTED CLASS
  Separate segregated fund solicitations
    -- accidental solicitation of persons outside restricted class, 
      Sec. 114.5(h)
    -- by collecting agent, Sec. 102.6(b) and (c)
    -- corporate methods available to labor organizations, Sec. 114.5(k) 
      and (l); Sec. 114.6(e)(3)
    -- member of trade association, Sec. 114.8(c), (d), (e) and (f)
    -- notice not required, Sec. 110.11(a)(7)
    -- payroll deduction/check-off plan, Sec. 104.8(b); 
      Sec. 114.5(k)(l); Sec. 114.6(e)(l)
    -- restrictions on who may be solicited, Sec. 114.5(g); 
      Sec. 114.7(a)
    -- twice yearly solicitations, Sec. 114.6
    -- voluntary contribution only, Sec. 114.1(i); Sec. 114.5(a)
        See also: SEPARATE SEGREGATED FUND
  Stockholder, definition, Sec. 100.8(b)(4)(ii); Sec. 114.1(h)
  Treasury funds, use of, Sec. 114.5(b)

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  See also: MEMBERSHIP ORGANIZATION; TRADE ASSOCIATION; VOTER DRIVES
CREDIT CARDS
  Recordkeeping requirements, Sec. 102.9(b)(2)(ii)
  Use of individual's, Sec. 116.5(b)
CREDIT, EXTENSION OF
  By
    -- any person, Sec. 100.7(a)(4)
    -- commercial vendor, Sec. 116.3
    -- federally regulated industry, Sec. 116.3(d)
    -- incorporated vendor, Sec. 116.3(b)
    -- lending institution, Sec. 100.7(b)(11)(i); Sec. 100.8(b)(12)(i)
    -- unincorporated vendor, Sec. 116.3(a)
  Defined, Sec. 116.1(e)
  In ordinary course of business, Sec. 100.7(a)(4); Sec. 116.3(c)
  See also: COMMERCIAL VENDOR; CREDITOR; DEBTS
CREDITOR
  Commercial vendor, See: COMMERCIAL VENDOR
  Defined, Sec. 116.1(f)
  Extension of credit, See: CREDIT, EXTENSION OF
  Lending institution, See: BANK; LOANS
  Out-of-business or with no known address, Sec. 116.9
  Remedies taken to collect on debts, Sec. 100.7(a)(4); Sec. 116.4(d)(3)
  Settlement/forgiveness of debts, Sec. 100.7(a)(4); Sec. 116.4; 
      Sec. 116.8
  See also: DEBTS
CURRENCY
  See: CASH


                                    D

DEBATES
  Candidate selection, criteria for, Sec. 110.13(c); Sec. 114.4(c)
  Funds used for
    -- donated by corporation/labor organization, Sec. 114.4(f)
    -- exemption, Sec. 100.7(b)(21); Sec. 100.8(b)(23)
  Staging organizations, Sec. 110.13(a); Sec. 114.4(f)(1) and (2)
  Structure of, Sec. 110.13(b)
DEBTS
  Advances of goods/services from individuals, treatment as, 
      Sec. 116.5(c)
  Assignment of, to another authorized committee, Sec. 116.2(c)(3)
  Bankruptcy, debts discharged in, Sec. 116.7(g)
  Collection of, by vendor, Sec. 100.7(a)(4); Sec. 116.4(d)(3)
  Contributions to retire
    -- calculation of net debts outstanding by campaign, 
      Sec. 110.1(b)(3)(ii) and (iii); Sec. 110.2(b)(3)(ii)
    -- designated/redesignated for debt retirement, Sec. 110.1(b)(3)(i), 
      (b)(5)(i)(B) and (D), (b)(5)(iii); Sec. 110.2(b)(3)(i), 
      (b)(5)(i)(B) and (D), (b)(5)(iii)
    -- pre-1975 debts, Sec. 110.2(g)
    -- primary debts, Sec. 110.1(b)(3)(iv)
    -- raised through joint fundraising, Sec. 102.17(c)(2)(ii)(A)
  Creditors, defunct, debts owed to, Sec. 116.9
  Debt settlement plans, Sec. 104.11(a); Sec. 116.7; Sec. 116.9(b); 
      Sec. 116.10(b)
  Disputed, Sec. 116.10
    -- defined, Sec. 116.1(d)
    -- not subject to settlement, Sec. 116.7(c)(2)
    -- owed by terminating committee, Sec. 116.10(b)
  Efforts to satisfy, ``reasonable'' standard, Sec. 116.4(c)(2) 
      and(d)(2)
  Extensions of credit, See: CREDIT, EXTENSION OF
  Loans, See: LOANS

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  Payment of, criterion for committee termination, Sec. 102.3; 
      Sec. 116.7(a)(1)
  Reporting, Sec. 104.3(d)
    -- continuous reporting of debts, including those undergoing 
      settlement, Sec. 104.11; Sec. 116.4(f); Sec. 116.5(e); 
      Sec. 116.6(c); Sec. 116.7(d)
    -- debts owed to individuals/employees for goods/services or 
      salaries, Sec. 116.5(e); Sec. 116.6(c)
    -- disputed debts, Sec. 116.10(a)
    -- rent, salary, other recurring expenses not reported as debts, 
      Sec. 104.11(b)
    -- separate reporting of debts assigned from another committee, 
      Sec. 116.2(c)(3)(ii)
    -- when debts not payable because of defunct creditor, Sec. 116.9(d)
  Salary payments owed to employees, treatment as, Sec. 116.6(a)
  Settlement/forgiveness, Sec. 116.4; Sec. 116.8
    -- commercially reasonable, Sec. 116.4(d)
    -- conditions for, to avoid contribution, Sec. 116.4(a) and (b)
    -- criterion for committee termination, Sec. 116.7(a)(2) and (3)
    -- debts owed by authorized committee, Sec. 116.2(c)
    -- debts owed by ongoing committee, Sec. 116.2(b); Sec. 116.8
    -- debts owed by publicly funded committee, Sec. 116.7(c)(1)
    -- debts owed by terminating committee, Sec. 116.2(a); Sec. 116.7
    -- debts owed to commercial vendor, Sec. 116.4; Sec. 116.8
    -- debts owed to committee employee/other individual, Sec. 116.5(d); 
      Sec. 116.6(b); Sec. 116.7(b)(2) and (3)
    -- debt settlement plans required, See: Debt settlement plans, above
    -- debts subject/not subject to, Sec. 116.7(b) and (c)
    -- not required of creditor, Sec. 116.4(e); Sec. 116.5(d); 
      Sec. 116.6(b)
    -- results in contribution, Sec. 100.7(a)(4)
  See also: COMMERCIAL VENDOR; CREDITOR; TERMINATION OF COMMITTEE
DEFINITIONS
  Act, Sec. 100.18
  Administrative personnel, Sec. 100.8(b)(4)(iii); Sec. 114.1(c)
  Affiliated committee, Sec. 100.5(g); Sec. 110.3(a)(3)(ii)
  Agent, Sec. 109.1(b)(5)
  Anything of value, Sec. 100.7(a)(1)(iii); Sec. 100.8(a)(1)(iv)
  Authorized committee, Sec. 100.5(d) and (f)(1)
  Best efforts, Sec. 104.7
  Business activities of corporation, Sec. 114.10(b)(3)
  Candidate, Sec. 100.3(a)
  Cash on hand, Sec. 110.1(b)(3)(ii); Sec. 110.2(b)(3)(ii)
  Caucus, Sec. 100.2(e)
  Clearly identified candidate, Sec. 100.17; Sec. 106.1(d); 
      Sec. 109.1(b)(3)
  Collecting agent, Sec. 102.6(b)(1)
  Commercial vendor, Sec. 116.1(c)
  Commission, Sec. 100.9
  Conduit, Sec. 110.6(b)(2)
  Connected organization, Sec. 100.6
  Consumer price index, Sec. 110.9(c)(2)
  Contribution, Sec. 100.7(a); Sec. 114.1(a)(1)
  Contribution exemptions, Sec. 100.7(b); Sec. 114.1(a)(2)
  Contribution made, Sec. 110.1(b)(6); Sec. 110.1(b)(4); 
      Sec. 110.2(b)(6)
  Convention, Sec. 100.2(e)
  Coordinated general public political communication, Sec. 100.23
  Corporation, Sec. 100.8(b)(4)(vi)
  Creditor, Sec. 116.1(f)
  Current federal campaign committee, Sec. 110.3(c)(4)(ii)
  Delegate, Sec. 110.14(b)(1)
  Delegate committee, Sec. 100.5(e)(5); Sec. 110.14(b)(2)
  Designated contribution, Sec. 110.1(b)(3) and (4); Sec. 110.1(j); 
      Sec. 110.2(b)(3) and (4)

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  Direct mailing, Sec. 100.7(b)(7)(i) and (15)(i); Sec. 100.8(b)(16)(i) 
      and (18)(i); Sec. 110.11(a)(3); Sec. 110.14(f)(4)
  Disclaimer notice, Sec. 110.11(a)
  Disputed debt, Sec. 116.1(d)
  Dual candidacy, Sec. 110.3(c)(5)
  Earmarked contribution, Sec. 110.6(b)
  Election, Sec. 100.2(a); Sec. 100.8(b)(4)(v); Sec. 104.6(a)(1) and (2)
  Election cycle, Sec. 100.3(b)
  Employee participation plan, Sec. 114.11(a)
  Employer, Sec. 100.21
  Excess campaign funds, Sec. 113.1(e)
  Executive or administrative personnel, Sec. 100.8(b)(4)(iii); 
      Sec. 114.1(c)
  Expenditure, Sec. 100.8(a); Sec. 114.1(a)(1)
  Expenditure exemptions, Sec. 100.8(b); Sec. 114.1(a)(2)
  Express purpose of corporation, Sec. 114.10(b)(2)
  Expressly advocating, Sec. 100.22; Sec. 109.1(b)(2)
  Extension of credit, Sec. 116.1(e)
  Facilitating the making of contributions, Sec. 114.2(f)
  Family of candidate, Sec. 113.1(g)(7)
  Federal contractor, Sec. 115.1(a)
  Federal Election Commission, Sec. 100.9
  Federal office, Sec. 100.4
  Federal officeholder, Sec. 113.1(c)
  File, filed or filing, Sec. 100.19
  Foreign national, Sec. 110.4(a)(3)
  Fundraising representative (joint fundraising), Sec. 102.17(a)(3) and 
      (b)
  Funds donated, Sec. 113.1(a)
  General election, Sec. 100.2(b)
  General public political communications, Sec. 100.23(e)(1)
  Identification, Sec. 100.12
  Independent expenditure, Sec. 100.16; Sec. 109.1(a)
  Intermediary, Sec. 110.6(b)(2)
  Labor organization, Sec. 100.8(b)(4)(i); Sec. 114.1(d)
  Limited liability company, Sec. 110.1(g)(1)
  Members, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2)
  Membership organization, Sec. 100.8(b)(4)(iv)(A); Sec. 114.1(e)(1)
  Multicandidate committee, Sec. 100.5(e)(3)
  Name, Sec. 102.14(a)
  National party committee, Sec. 100.13
  Net debts outstanding, Sec. 110.1(b)(3)(ii); Sec. 110.2(b)(3)(ii)
  Nonconnected committee, Sec. 106.6(a)
  Notice of disclaimer, Sec. 110.11(a)
  Occupation, Sec. 100.20
  Office account, Sec. 113.1(b)
  Ongoing committee, Sec. 116.1(b)
  Overhead expenditures, Sec. 106.2(b)(2)(iii)(D)
  Party committee, Sec. 100.5(e)(4)
  Person, Sec. 100.10; Sec. 109.1(b)(1); Sec. 110.1(a)
  Personal funds, Sec. 110.10(b)
  Personal use of campaign funds, Sec. 113.1(g)
  Political committee, Sec. 100.5
  Political party, Sec. 100.15
  Previous federal campaign committee, Sec. 110.3(c)(4)(i)
  Price index, Sec. 110.9(c)(2)
  Primary election, Sec. 100.2(c)
  Principal campaign committee, Sec. 100.5(d) and (e)(1)
  Promotion of political ideas, Sec. 114.10(b)(1)
  Qualified Member, Sec. 113.1(f)
  Qualified nonprofit corporation, Sec. 114.10(c)

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  Redesignated contribution, Sec. 110.1(b)(5)(ii)
  Restricted class
    -- for communications, Sec. 114.1(j); Sec. 114.7(h); Sec. 114.8(h)
    -- for solicitations, Sec. 114.5(g); Sec. 114.7(a); Sec. 114.8(c)
  Runoff election, Sec. 100.2(d)
  Shareholder, Sec. 114.10(b)(4)
  Single candidate committee, Sec. 100.5(e)(2)
  Solicitation, Sec. 104.15(b)
  Special election, Sec. 100.2(f)
  State, Sec. 100.11
  State committee, Sec. 100.14(a)
  State officeholder, Sec. 113.1(d)
  Stockholder, Sec. 100.8(b)(4)(ii); Sec. 114.1(h)
  Subordinate committee, Sec. 100.14(b)
  Subsistence, Sec. 116.5(b)(2)
  Substantial discussion or negotiation, Sec. 100.23(c)(2)(iii)
  Support of candidate, Sec. 102.12(c)(2); Sec. 102.13(c)(2)
  Telephone services base charges, Sec. 106.2(b)(2)(iii)(D)
  Terminating committee, Sec. 116.1(a)
  Trade association, Sec. 114.8(a)
  Twice yearly solicitations, Sec. 114.6
  Unauthorized committee, Sec. 100.5(f)(2)
  Voluntary contributions, Sec. 114.1(i)
  Voting age population, Sec. 110.9(d)
DELEGATE
  Committee
    -- advocacy of delegate selection, Sec. 110.14(h)
    -- affiliation between, Sec. 110.14(k)
    -- affiliation with authorized committee of Presidential candidate, 
      Sec. 110.14(j)
    -- contributions, Sec. 110.5(e); Sec. 110.14(g)
    -- definition, Sec. 100.5(e)(5); Sec. 110.14(b)(2)
    -- expenditures by, Sec. 110.14(h) and (i)
    -- name of, restrictions, Sec. 102.14(b)(1)
  Communications by, Sec. 110.14(e) and (f)
  Contributions to, Sec. 110.5(e); Sec. 110.14(d)
  Convention/caucus, definition, Sec. 100.2(e)
  Coordination by, Sec. 110.14(f)(2) and (3); Sec. 110.14(i)(2) and (3)
  Definitions, Sec. 110.14(b)(1)
  Election of, to national convention, Sec. 100.2(c)(3)
  Expenditures by
    -- dual purpose, Sec. 110.14(f)(2)
    -- referring to candidate for public office, Sec. 110.14(f)
    -- to advocate selection, Sec. 110.14(e)
  Funds received and expended, Sec. 110.14(c)
  Party committee expenditures, Sec. 110.14(c)(1)(ii)
  Payments to qualify as, Sec. 110.14(c)(1)(i)
  Scope, Sec. 110.14(a)
DEPOSITORY
  See: CAMPAIGN DEPOSITORY
DIRECT MAIL
  Definitions, Sec. 100.7(b)(7)(i) and (15)(i); Sec. 100.8(b)(16)(i) and 
      (18)(i); Sec. 110.11(a)(3); Sec. 110.14(f)(4)
  Disclaimer notice required, Sec. 110.11(a)(3)
  Last date of program defined, Sec. 106.5(f)(2); Sec. 106.6(d)(2)
  Use of, by delegates/delegate committees to disseminate Presidential 
      campaign materials, Sec. 110.14(f)(4)
  Use of, for exempted party activities
    -- permissible, Sec. 100.7(b)(9); Sec. 100.8(b)(10)
    -- prohibited, Sec. 100.7(b)(15)(i) and (17)(i); 
      Sec. 100.8(b)(16)(i) and (18)(i)

[[Page 322]]

DISBURSEMENTS
  Accounting for, Sec. 102.9(b)
  From campaign depository, Sec. 102.10; Sec. 103.3(a)
  From petty cash fund, Sec. 102.11; Sec. 103.3(a)
  Recordkeeping, See: RECORDKEEPING
  Reporting, See: REPORTING
  See also: CAMPAIGN FUNDS, USE OF; EXPENDITURES
DISCLAIMER NOTICE
  Content of, Sec. 110.11(a)(1)
  Not required for
    -- administrative items, Sec. 110.11(a)(6)(iii)
    -- communications by corporations/labor organizations, 
      Sec. 110.11(a)(7)
    -- impractical items, Sec. 110.11(a)(6)(ii)
    -- mailing of 100 or less pieces, Sec. 110.11(a)(3)
    -- separate segregated fund solicitations, Sec. 110.11(a)(7)
    -- small items, Sec. 110.11(a)(6)(i)
  Placement of, Sec. 110.11(a)(5)
  Required for
    -- advertisement, Sec. 110.11(a)(1)
    -- communication to public containing express advocacy, 
      Sec. 110.11(a)(1)
    -- coordinated expenditure, Sec. 110.11(a)(2)
    -- direct mailing, Sec. 110.11(a)(3)
    -- exempt activities, Sec. 110.11(a)(4)
    -- independent expenditure, Sec. 109.3; Sec. 110.11(a)(1)(iii); 
      Sec. 114.10(g)
    -- packaged materials, Sec. 110.11(a)(5)(ii)
    -- solicitation, Sec. 102.16; Sec. 102.17(c)(2); Sec. 110.11(a)(1)
DISCLOSURE
  Access to FEC information
    -- Freedom of Information Act, Part 4
    -- Privacy Act, Part 1
    See also: PUBLIC INSPECTION OF DOCUMENTS
  Best efforts to obtain and submit information, See: BEST EFFORTS
  By corporations and labor organizations, for express advocacy 
      communications, Sec. 100.8(b)(4); Sec. 104.6; Sec. 105.4; 
      Sec. 114.3(b); Sec. 114.5(e)(2)(i)
  By independent spenders, See: INDEPENDENT EXPENDITURES/Reporting
  Change in filing frequency, Sec. 104.5(c)
  Of fundraising activity
    -- joint, Sec. 102.6(c)(7); Sec. 102.17(c)(3)(iii) and (8)
    -- using collecting agents, Sec. 102.6(c)(7)
    -- using payroll deduction plan, See: PAYROLL DEDUCTION PLAN
  Of nonfederal activity, by national party committee, Sec. 104.8(e) and 
      (f); Sec. 104.9(c), (d) and (e)
  Preemption of state laws governing, by Federal Election Campaign Act, 
      Sec. 108.7(b)(2)
  Reporting deadlines, See: FILING
  Reporting forms, See: FORMS
  Reporting liability, See: TREASURER OF POLITICAL COMMITTEE
  Reporting requirements/procedures, See: PAYROLL DEDUCTION PLAN; 
      REPORTING
DISTRICT OF COLUMBIA
  Filing exemption, Sec. 108.8
DOCUMENT FILING
  See: FILING
DRAFT COMMITTEE
  Name of, restrictions, Sec. 102.14(b)(2)
DUAL CANDIDACY
  Contributions to, Sec. 110.1(f); Sec. 110.2(f)
  Separate campaign organizations required, Sec. 110.8(d)
  Transfers between
    -- federal/nonfederal campaign committees, prohibited, Sec. 110.3(d)

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    -- federal principal campaign committees, Sec. 110.3(c)(5); 
      Sec. 110.8(d)(2)


                                    E

EARMARKED CONTRIBUTION
  Collection of, Sec. 110.6; Sec. 114.2(f)
  Conduit or intermediary, Sec. 110.6(b)(2); Sec. 114.2(f)(2)(iii), 
      (3)(ii) and (4)(iii)
    See also: CONDUIT/INTERMEDIARY
  Contribution limits affected, Sec. 110.6(a); Sec. 114.2(f)(2)(iii) and 
      (4)(iii)
  Definition, Sec. 110.6(b)(1)
  Direction or control exercised, Sec. 110.6(d)
    See also: BUNDLING
  Facilitating the making of contributions, Sec. 114.2(f)
  In joint fundraising, Sec. 102.17(c)(2)(i)(C)
  Procedures for forwarding, Sec. 102.8(c); Sec. 110.6(b)(2)(iii)
  Reporting by recipient, Sec. 110.6(c)(2)
  Return required, Sec. 110.6(b)(2)(iii)(B)
ELECTION
  Ballot access payments, Sec. 100.7(b)(18); Sec. 100.8(b)(19)
  Contributions, per election
    -- accounting for primary/general election contributions, 
      Sec. 102.9(e)
    -- designated/undesignated, Sec. 110.1(b); Sec. 110.2(b); 
      Sec. 110.5(c)
    -- for unopposed candidate, Sec. 110.1(j)(2) and (3); 
      Sec. 110.2(d)(2) and (3)
    -- limits, Sec. 110.1(b) and (j); Sec. 110.2(b), (d), (e) and (i); 
      Sec. 110.5(b)
    -- made during nonelection year, Sec. 110.5(b)
    -- presidential primary, Sec. 110.1(j)(1); Sec. 110.2(i)
    -- primary, Sec. 110.1(j)(3) and (4); Sec. 110.2(i)
  Definitions, Sec. 100.2(a); Sec. 100.8(b)(4)(v); Sec. 104.6(a)(1) and 
      (2); Sec. 110.1(b)(2)
    -- caucus or convention, Sec. 100.2(e)
    -- cycle, Sec. 100.3(b)-- general, Sec. 100.2(b)
    -- primary, Sec. 100.2(c)
    -- runoff, Sec. 100.2(d)
    -- special, Sec. 100.2(f)
  Federal, referred to in party solicitation, Sec. 102.5(a)(3)
  Recount expenses, Sec. 100.7(b)(20); Sec. 100.8(b)(20)
  Reporting, election-year, Sec. 104.5(a)(1), (b)(1) and (c)(1)
ELECTION INFLUENCING
  Communications advocating election/defeat of candidate, See: CLEARLY 
      IDENTIFIED CANDIDATE; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES
  Contributions made for, See: CONTRIBUTIONS
  Corporate/labor activity, part 114
  Exempt activities for, See: CONTRIBUTION/EXPENDITURE EXEMPTIONS
  Expenditures made for, See: EXPENDITURES; INDEPENDENT EXPENDITURES
  Solicitation by party considered as, Sec. 102.5(a)(3)
ELECTRONIC FILING
  See: FILING
ENFORCEMENT
  See: COMPLIANCE
EXCESS CAMPAIGN FUNDS
  Conversion to personal use by qualified Member, Sec. 113.2(e)
    -- expenses considered, Sec. 113.1(g)
    -- limit, Sec. 113.2(e)(4)
    -- methods for, Sec. 113.1(e)(1)(i) and (ii)
  Definition, Sec. 113.2(e)
  Personal use of
    -- definition, Sec. 113.1(g)

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    -- prohibition, Sec. 113.2(d)
  Qualified Member, Sec. 113.1(f); Sec. 113.2(e)
  Transfer of, Sec. 113.2(c)
  Use of, Sec. 113.1(g); Sec. 113.2
  See also: CAMPAIGN FUNDS, USE OF
EXECUTIVE PERSONNEL
  Definition, Sec. 100.8(b)(4)(iii); Sec. 114.1(c)
  See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK
EXEMPT ACTIVITIES
  See: PARTY COMMITTEE
EXPENDITURES
  Accounting for, Sec. 102.9(b)
  Administrative expenses, See: ADMINISTRATIVE EXPENSES
  Advances of goods or services paid from individual's funds, 
      Sec. 100.8(a)(1); Sec. 116.5(b)
  Allocation of, See: ALLOCATION OF EXPENDITURES
  By authorized committee, See: CAMPAIGN FUNDS, USE OF
  By candidate, See: CAMPAIGN FUNDS, USE OF; CANDIDATE
  By cash, Sec. 102.11; Sec. 103.3(a)
  By check, Sec. 102.10; Sec. 103.3(a)
  By corporation/labor organization/national bank, generally prohibited, 
      Sec. 114.1; Sec. 114.2
  By delegate, Sec. 110.14(e) and (f)
  By delegate committee, Sec. 110.14(h) and (i)
  By Federal contractor, Sec. 115.2
  By party committee, Sec. 102.13(b); Sec. 109.1(d)(2); Sec. 110.7
  By spouse, Sec. 100.8(c)
  By Vice Presidential candidate, Sec. 110.8(f) and (g)
  Contract or agreement to make, Sec. 100.8(a)(2); Sec. 104.11(b)
  Coordinated party, Sec. 102.13(b); Sec. 109.1(d)(2); Sec. 110.7
  Definition, Sec. 100.8(a); Sec. 114.1(a)(1)
  Exemptions, Sec. 100.8(b); Sec. 114.1(a)(2)
    See also: CONTRIBUTION/EXPENDITURE EXEMPTIONS
  Expressly advocating, definition, Sec. 100.22; Sec. 109.1(b)(2)
  For delegate selection, Sec. 110.14(c)(1)
  Illegal, Sec. 110.9(a); Sec. 110.14(c)(2); Sec. 114.2(a) and (b); 
      Sec. 115.2
  Independent, See: INDEPENDENT EXPENDITURES
  In joint fundraising, Sec. 102.17(b)(3)
  In-kind contribution, considered expenditure, Sec. 104.13(a)(2); 
      Sec. 106.1(b); Sec. 109.1(c); Sec. 110.14(f)(2)(i)
    See also: IN-KIND CONTRIBUTION
  Limitations
    -- based on voting age population, Sec. 110.7(a)(2) and (b)(2)(i); 
      Sec. 110.8(a)(1); Sec. 110.9(d)
    -- increases, based on price index, Sec. 110.9(c)
    -- party committees' coordinated expenditures, Sec. 110.7
    -- Presidential candidates receiving public funding, Sec. 110.8
  Loans, See: LOANS
  ``Made on behalf of,'' defined, Sec. 110.8(g)
  Overhead, of state offices, Sec. 106.2(b)(2)(iv)
  Payee, identification of, Sec. 104.9
  Personal funds, Sec. 100.8(b)(22); Sec. 106.3(b)(1); Sec. 110.8(f)(2); 
      Sec. 110.10
  Political committee status, criterion for, Sec. 100.5(a), (c) and (f)
  Polling, Sec. 106.2(b)(2)(vi) and (c)(1)(iii); Sec. 106.4
  Prohibited, Sec. 110.9(a); Sec. 110.14(c)(2); Sec. 114.2(a) and (b); 
      Sec. 115.2
  Promise to make, Sec. 100.8(a)(2)
  Purpose of, definition, Sec. 104.3(b)(3)(i)(A) and (B); Sec. 104.9(a)
  Recordkeeping, See: RECORDKEEPING
  Reporting, See: REPORTING

[[Page 325]]

  Specific expenditures by campaign, See: CAMPAIGN FUNDS, USE OF
  Testing-the-waters expenses, Sec. 100.7(b)(1); Sec. 100.8(b)(1); 
      Sec. 106.4(a); Sec. 101.3
  Transfers, See: TRANSFER OF FUNDS
  Travel expenses
    -- allocation of, Sec. 106.3
    -- campaign funds used for, Sec. 113.1(g)(1)(ii)(C) and (D); 
      Sec. 113.2(a)(1)
    -- reimbursement for corporate/labor transportation, Sec. 114.9(e)
    -- reimbursement to staff or volunteers, Sec. 116.5(b)
    -- unreimbursed, Sec. 100.7(b)(8); Sec. 100.8(b)(9)
  Treasurer's authorization, Sec. 102.7(c)
  Violations, Sec. 110.9(a)
EXPRESS ADVOCACY
  Allocation of expenditures for, Sec. 106.1
  Corporate/labor communications containing, Sec. 114.2; Sec. 114.3
    -- endorsement, public announcement of, Sec. 114.4(c)(6)
    -- reporting costs of, Sec. 100.8(b)(4); Sec. 104.6; Sec. 105.4; 
      Sec. 114.3(b); Sec. 114.5(e)(2)(i)
    -- to restricted class only, Sec. 114.1(j); Sec. 114.3(a)
  Definition of, Sec. 100.22; Sec. 109.1(b)(2)
  Disclaimer notice required, Sec. 102.16; Sec. 109.3; Sec. 110.11(a)(1)
  Independent expenditure, See: INDEPENDENT EXPENDITURES
  Newspaper stories/editorials/commentaries, exempted as expenditures 
      for, Sec. 100.7(b)(2); Sec. 100.8(b)(2)
  Reporting requirements, See: COMMUNICATIONS/ADVERTISING; INDEPENDENT 
      EXPENDITURES/Reporting
  Used by
    -- corporations and labor organizations, Sec. 100.8(b)(4); 
      Sec. 104.6; Sec. 105.4; Sec. 110.11(a)(1)
        and (7); Sec. 114.2; Sec. 114.3; Sec. 114.5(e)(2)(i)
    -- delegates, for Federal candidates, Sec. 110.14(f)(2)(ii)
    -- party committees, Sec. 100.7(b)(15); Sec. 100.8(b)(16); 
      Sec. 110.11(a)(1)
    -- qualified nonprofit corporations, Sec. 109.1; Sec. 114.10
  Used in
    -- campaign materials, See: CAMPAIGN MATERIALS
    -- independent expenditures, Sec. 100.16; Sec. 109.1; Sec. 114.10
    -- political ads, Sec. 110.11
    -- volunteer activity, See: VOLUNTEER ACTIVITY
    -- voter drives, See: VOTER DRIVES
    See also: CLEARLY IDENTIFIED CANDIDATE; COMMUNICATIONS/ADVERTISING


                                    F

FEDERAL CONTRACTOR
  Acting as conduit, prohibited, Sec. 110.6(b)(2)(ii)
  Contributions/expenditures by, prohibited, Sec. 115.2
  Definition, Sec. 115.1(a)
  Earmarked contribution received by, Sec. 110.6(b)(2)(iii)(B)
  Employee contributions/expenditures, Sec. 115.6
  Individuals and sole proprietors, Sec. 115.5
  Partnership, Sec. 115.4
  Separate segregated fund established by, Sec. 115.3
    See also: SEPARATE SEGREGATED FUND
FEDERAL ELECTION COMMISSION
  Advisory opinions, See: ADVISORY OPINIONS
  Audits and investigations by, See: AUDITS
  Disclosure of information by, See: PUBLIC INSPECTION OF DOCUMENTS
  Enforcement by, See: COMPLIANCE
  Review of
    -- administrative complaints, Sec. 111.5
    -- advisory opinion requests, Sec. 112.1(d)

[[Page 326]]

    -- creditor's letter of intent to forgive debt, Sec. 116.8(c)
    -- debt settlement plans, Sec. 116.7(f)
  See also: Index for ADMINISTRATIVE REGULATIONS
FEDERAL OFFICE
  Definition, Sec. 100.4
FEDERAL OFFICEHOLDER
  Campaign funds used by, Sec. 113.1(g); Sec. 113.2
    See also: CAMPAIGN FUNDS, USE OF; EXCESS CAMPAIGN FUNDS
  Definition, Sec. 113.1(c)
  Personal use of excess funds, Sec. 113.1(g); Sec. 113.2(d) and (e)
FILING
  Acknowledgement of report's receipt, Sec. 104.14(c)
  Amendments to previous reports, Sec. 104.7(b)(4); Sec. 104.18(d)
  Candidate designations, Sec. 101.1
  Communications reports, Sec. 100.8(b)(4); Sec. 104.6; Sec. 105.4; 
      Sec. 114.3(b); Sec. 114.5(e)(2)(i)
  Computer-produced reports, Sec. 104.2(d); Sec. 104.18
  Contribution, 48 hour notification of, Sec. 104.5(f)
  Convention reports, national nominating
    -- by committee, Sec. 107.2
    -- by party, Sec. 107.1
  Copies of, located, Sec. 105.5; Sec. 108.1
  Dates
    -- election year reports, Sec. 104.5(a)(1), (b)(1) and (c)(1)
    -- electronic vs. paper filing, Sec. 104.5(e)
    -- nonelection year reports, Sec. 104.5(a)(2), (b)(2) and (c)(2)
    -- Vice Presidential committee reports, Sec. 104.5(d)
  Debt settlement plans, Sec. 116.7(a)
  Definition of file, filed or filing, Sec. 100.19
  Electronic
    -- amendments, Sec. 104.18(f)
    -- date of filing, Sec. 104.18(e)
    -- mandatory, Sec. 104.18(a)
    -- signature requirements, Sec. 104.18(g)
    -- validation system, Sec. 104.18(e)
    -- voluntary, Sec. 104.18(b)
  Failure to file, Sec. 111.8(c)
  Federal filing, place of
    -- by House candidate committees, Sec. 105.1; Sec. 105.4
    -- by other committees, Sec. 105.4
    -- by Presidential committees, Sec. 105.3
    -- by Senate candidate committees, Sec. 105.2
  Frequency of
    -- by authorized committees, Sec. 104.5(a) and (b)
    -- by Presidential committees, Sec. 104.5(b)
    -- by unauthorized committees, Sec. 104.5(c)
  Independent expenditure reports, Sec. 104.4(c); Sec. 104.5(g); 
      Sec. 105.4; Sec. 109.2; Sec. 114.10(e)
  Monthly reports
    -- by Presidential committees, Sec. 104.5(b)(1)(i), (iii) and (2)(i)
    -- by unauthorized committees, Sec. 104.5(c)(3)
    -- waivers, Sec. 104.5(b)(1)(i)(C) and (c)(3)(iii)
  Multicandidate status, notification of, Sec. 102.2(a)(3)
  Post-election reports
    -- by Congressional committees, Sec. 104.5(a)(1)(ii)
    -- by Presidential committees, Sec. 104.5(b)(1)(i)(C) and (ii)
    -- by unauthorized committees, Sec. 104.5(c)(1)(iii)
  Postmark as date of filing, Sec. 104.5(e)
  Pre-election reports
    -- by Congressional committees, Sec. 104.5(a)(1)(i)

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    -- by Presidential committees, Sec. 104.5(b)(1)(i)(C) and (ii)
    -- by unauthorized committees, Sec. 104.5(c)(1)(ii)
  Quarterly reports
    -- by Congressional committees, Sec. 104.5(a)(1)(iii)
    -- by Presidential committees, Sec. 104.5(b)(1)(ii) and (2)(ii)
    -- by unauthorized committees, Sec. 104.5(c)(1)(i)
    -- waivers, Sec. 104.5(a)(1)(iii)(C) and (c)(1)(i)(C)
  Semiannual reports
    -- by Congressional committees, Sec. 104.5(a)(2)
    -- by unauthorized committees, Sec. 104.5(c)(2)(i)
  Signature requirements, Sec. 104.14(a); Sec. 104.18(e)
  Special election reports, Sec. 104.5(h)
  State filing, Sec. 108.1
    -- by other committees, Sec. 108.3
    -- by Presidential committees, Sec. 108.2
    -- by unauthorized committees supporting Presidential candidate, 
      Sec. 108.4
    -- District of Columbia exemption, Sec. 108.8
    -- duties of State officer, Sec. 108.6
    -- effect on State law, Sec. 108.7
    -- legible copies, Sec. 108.5
    -- time and manner of filing, Sec. 108.5
    -- waiver program, Sec. 108.1(b)
  Statement of Candidacy, Sec. 101.1
  Statement of Organization, Sec. 102.1; Sec. 102.2(a)
  Termination report, Sec. 102.3(a)
  Timely filing, Sec. 100.19; Sec. 104.14(d)
  Year-end reports
    -- by Congressional committees, Sec. 104.5(a)(1)(iii)(A) and 
      (2)(i)(B)
    -- by Presidential committees, Sec. 104.5(b)(1)(i)(C)
    -- by unauthorized committees, Sec. 104.5(c)(1)(i)(A) and (2)(i)(B)
  See also: FORMS; REPORTING; TERMINATION OF COMMITTEE
FINES
  See: COMPLIANCE
FOOD/BEVERAGE
  Exemption
    -- for vendor discount, Sec. 100.7(b)(7); Sec. 100.8(b)(8)
    -- for volunteer, Sec. 100.7(b)(6); Sec. 100.8(b)(7)
FOREIGN NATIONAL
  Acting as conduit, prohibited, Sec. 110.6(b)(2)(ii)
  Contributions by, prohibited, Sec. 110.4(a)(1) and (2)
  Definition, Sec. 110.4(a)(3)
  Earmarked contribution received by, Sec. 110.6(b)(2)(iii)(B)
  Solicitation of, Sec. 110.4(a)(2)
FORMS
  Communications reports, Sec. 104.6(a); Sec. 105.4
  Computer-produced, Sec. 104.2(d); Sec. 104.18
  Consolidated reports, Sec. 104.3(f)
  Debts and obligations, Sec. 104.3(d); Sec. 104.18(f)
  Electronically filed, Sec. 104.18
  Independent expenditure reports, Sec. 104.4(a); Sec. 104.18(f); 
      Sec. 109.2(a); Sec. 114.10(e)
  Legal and accounting services, Sec. 104.3(h)
  Loans, Sec. 104.3
    -- from lending institutions, Sec. 104.3(d)(1)
  Notification of Multicandidate Status (Form 1M), Sec. 102.2(a)(3)
  Obtainable from the Commission, Sec. 102.2(a); Sec. 104.2(b)
  Party office building fund donations, Sec. 104.3(g)
  Receipts/disbursements, reports of
    -- by Congressional committees, Sec. 104.2(e)(2)

[[Page 328]]

    -- by Presidential committees, Sec. 104.2(e)(1); Sec. 106.2(d) and 
      (e)
    -- by unauthorized committees, Sec. 104.2(e)(3)
  Reproducing FEC forms, Sec. 104.2(c)
  Statement of Candidacy, Sec. 101.1
  Statement of Organization, Sec. 102.1(a); Sec. 102.2(a)(1)
  Termination reports, Sec. 102.3(a)
  See also: FILING; REPORTING
FREEDOM OF INFORMATION ACT, See: Index for ADMINISTRATIVE REGULATIONS/
    Freedom of Information Act
FUNDRAISING
  Allocation of expenses for, See: ALLOCATION OF EXPENSES
  By collecting agent, Sec. 102.6(b) and (c)
  By commercial firm, Sec. 102.6(b)(3); Sec. 110.6(b)(2)(i)(D)
  By corporation/labor organization
    -- for candidates and political committees, Sec. 114.2(f); 
      Sec. 114.3(c)(2)(iii)
    -- for separate segregated fund, Sec. 114.5(b)
  By Presidential candidates receiving public funds
    -- before state primary, Sec. 110.8(c)(2)
    -- exemption, Sec. 100.8(b)(21); Sec. 106.2(c)(5)
  By qualified nonprofit corporation, Sec. 114.10(f)
  By unauthorized committee
    -- use of candidate's name for, Sec. 102.14(a)
    -- use of corporate/labor facilities and resources for, 
      Sec. 114.2(f); Sec. 114.9; Sec. 114.13
  Combined dues/contributions, Sec. 102.6(c)(3)
  Coordinated with nonfederal campaign, Sec. 110.3(d)
  Corporate/labor facilities and resources used for, Sec. 114.2(f); 
      Sec. 114.9; Sec. 114.13
  Exemption for publicly funded candidate
    -- national, Sec. 100.8(b)(21)
    -- state, Sec. 110.8(c)(2)
  For separate segregated fund, See: SEPARATED SEGREGATED FUND
  Joint, See: JOINT FUNDRAISING
  Limitation, Sec. 100.8(b)(21)
  Name of candidate used in, Sec. 102.14(a) and (b)(3)
  Notice of disclaimer required, Sec. 110.11(a)(1)
    -- exemption for separate segregated funds, Sec. 110.11(a)(7)
  Notices required when, See: DISCLAIMER NOTICES
  Payment to attend event, Sec. 100.7(a)(2)
  Project using candidate's name, Sec. 102.14(a) and (b)(3)
  Representative, Sec. 102.17(b)(1) and (2)
  Sale of fundraising items, Sec. 100.7(a)(2)
  Solicitation by party referring to federal elections, Sec. 102.5(a)(3)
  See also: COMMUNICATIONS/ADVERTISING; CONTRIBUTIONS


                                    G

GENERAL ELECTION
  Contributions for, separated from primary contributions, Sec. 102.9(e)
  Definition, Sec. 100.2(b)
  See also: ELECTION; PRIMARY ELECTION
GENERAL PUBLIC POLITICAL COMMUNICATIONS
  See: COORDINATED GENERAL PUBLIC POLITICAL COMMUNICATIONS
GET-OUT-THE-VOTE DRIVE
  See: VOTER DRIVES
GIFT
  Campaign funds used to purchase, Sec. 113.1(g)(4)
  Made to influence election, Sec. 100.7(a)(1); Sec. 100.8(a)(1)
GOVERNMENT CONTRACTOR
  See: FEDERAL CONTRACTOR

[[Page 329]]

GOVERNMENT CONVEYANCE
  See: TRAVEL


                                    H

HANDICAPPED PERSONS
  See: Index for ADMINISTRATIVE REGULATIONS/Handicapped Persons
HOST COMMITTEE (CONVENTION)
  Registration and reporting, Sec. 107.2
HOUSE CAMPAIGN COMMITTEE
  Allocation of expenses between federal/nonfederal accounts, 
      Sec. 106.5(c)
    See also: ALLOCATION OF EXPENSES
  Contributions by, Sec. 110.2(b)(1); Sec. 110.3(b)(1) and (2)(i)
  Contributions to, Sec. 110.1(c)(2); Sec. 110.2(c)(2); Sec. 110.3(b)(1) 
      and (2)(i)


                                    I

IDENTIFICATION
  Definition, Sec. 100.12
  Requesting, Sec. 104.7(b)
  See also: BEST EFFORTS; RECORDKEEPING
INCORPORATION
  Of political committee, Sec. 114.12(a)
INCUMBENT
  Federal officeholder defined, Sec. 113.1(c)
  Government transportation used by, for Presidential campaign, See: 
      Index for GENERAL ELECTION FINANCING/Travel; Index for PRIMARY 
      ELECTION FINANCING/Qualified Campaign Expenses
  Office account of, See: OFFICE ACCOUNT
  Personal use of excess campaign funds by, Sec. 113.1(g); Sec. 113.2(d) 
      and (e)
    See also: CAMPAIGN FUNDS, USE OF; CANDIDATE
  Qualified Member, definition, Sec. 113.1(f)
INDEPENDENT EXPENDITURES
  Attribution of, among candidates, Sec. 106.1(a)
  Authorized committee, prohibited from making, Sec. 109.1(e)
    -- campaign materials produced by candidate, precluded, 
      Sec. 109.1(d)(1)
    -- coordination with, precluded, Sec. 109.1(a), (b)(4) and (d)(1); 
      Sec. 114.2(c)
  Certification of independence, Sec. 109.2(a)(1)(v)
  Clearly identified candidate, definition, Sec. 100.17; 
      Sec. 106.(1)(d); Sec. 109.1(b)(3)
  Contribution in-kind, if consultation, Sec. 109.1(c)
  Contribution limit, applies, Sec. 110.1(d)(2); Sec. 110.5(d)
  Coordination of corporate/labor communication may preclude, 
      Sec. 114.2(c)
  Defined as expenditure, Sec. 100.8(a)(3)
  Definition, Sec. 100.16; Sec. 109.1(a) and (b)
  Delegate/delegate committee expenditures for federal candidate, 
      Sec. 110.14(f)(2) and (i)(2)
  Express advocacy, See: EXPRESS ADVOCACY
  Notice of nonauthorization required, Sec. 109.3; 
      Sec. 110.11(a)(1)(iii); Sec. 114.10(g)
  Opposing candidate, use of candidate's name in title, 
      Sec. 102.14(b)(3)
  Qualified nonprofit corporation, may make, Sec. 109.1(b)(1); 
      Sec. 114.10
  Reporting, Sec. 104.4(a); Sec. 109.2
    -- by persons other than political committees, Sec. 105.4; 
      Sec. 109.2
    -- by political committees, Sec. 104.3(b)(3)(vii)
    -- by qualified nonprofit corporation, Sec. 109.2; Sec. 114.10(e)
    -- 24 hour reports, Sec. 104.4(b); Sec. 104.5(g); Sec. 109.2(b)
INDIVIDUALS
  Advances of goods/services paid with personal funds, Sec. 100.7(a)(1); 
      Sec. 100.8(a)(1); Sec. 116.5(b)
  Campaign travel paid by, Sec. 100.7(b)(8); Sec. 116.5(b)
  Coercive solicitations of, prohibited, Sec. 114.5(a)

[[Page 330]]

  Commercial vendor
    -- individual acting as, See: COMMERCIAL VENDOR
    -- individual not acting as, Sec. 116.5(a)
  Contributions by, Sec. 110.1
  Contributor information on
    -- in committee's possession, Sec. 104.7(b)(3)
    -- prohibited for solicitations or commercial uses, Sec. 104.15(a)
    -- requesting, Sec. 104.7
  Corporate and labor organization facilities and resources used by, 
      Sec. 114.2(f); Sec. 114.9(a), (b) and (c)
  Credit cards, use of, Sec. 116.5(b)
  Delegates to national convention
    -- contributions to, Sec. 110.14(d)
    -- definition, Sec. 110.14(b)
    -- expenditures by, Sec. 110.14(e) and (f)
    -- party expenses on behalf of, Sec. 110.14(c)(1)(ii)
    -- payments for ballot access, Sec. 110.14(c)(1)(i)
  Earmarked contributions by, See: EARMARKED CONTRIBUTIONS
  Express advocacy communications by, See: EXPRESS ADVOCACY; INDEPENDENT 
      EXPENDITURES
  Foreign national, See: FOREIGN NATIONAL
  Independent expenditures by, See: INDEPENDENT EXPENDITURES
  Legal and accounting services provided by, to campaigns, See: LEGAL 
      AND ACCOUNTING SERVICES
  Liability of, for campaign activity, See: LIABILITY
  Limits on contributions by
    -- annual limit, Sec. 110.5
    -- minors, Sec. 110.1(i)(2)
    -- partners, Sec. 110.1(e)
    -- spouses in single income family, Sec. 110.1(i)
  Loans and loan endorsements by, Sec. 100.7(a)(1); Sec. 100.8(a)(1)
  Party activity conducted by, See: PARTY COMMITTEE/Contribution/
      expenditure exemptions
  Person, defined as, Sec. 100.10; Sec. 109.1(b)(1)
  Reimbursed for travel/subsistence, Sec. 116.5(b)
  Salary owed to, Sec. 116.6
  Solicitations of, by corporations/labor organizations, See: RESTRICTED 
      CLASS
  Testing-the-waters activities of, See: TESTING-THE-WATERS EXPENSES
  Travel expenses of, Sec. 100.7(b)(8); Sec. 100.8(b)(9); Sec. 116.5(b)
  Volunteer activities conducted by, Sec. 100.7(a)(3)(i)-(iii) and 
      (b)(3)
    See also: VOLUNTEER ACTIVITY
IN-KIND CONTRIBUTION
  Advances for goods/services, Sec. 100.7(a)(1); Sec. 116.5(b)
  ``Anything of value,'' defined, Sec. 100.7(a)(1)(iii); 
      Sec. 100.8(a)(1)(iv)
  Polling expenses, considered as, Sec. 106.4(b)
  Reported as expenditures, Sec. 104.13(a)(2); Sec. 106.1(b)
  Stocks/bonds/art objects, liquidation of, Sec. 104.13(b)
  Valuation, Sec. 100.7(a)(1)(iii)(B); Sec. 100.8(a)(1)(iv)(B); 
      Sec. 104.13(a)(1)
  When not an independent expenditure, Sec. 109.1(c); 
      Sec. 110.14(f)(2)(i) and (i)(2)(i)
INTERMEDIARY/CONDUIT
  See: EARMARKED CONTRIBUTION


                                    J

JOINT FUNDRAISING
  Agreement required, Sec. 102.17(c)(1)
  Allocation formula, Sec. 102.17(c)(1) and (2)
  Allocation of proceeds and expenses, Sec. 102.17(c)(6) and (7)
  Authorized committee designated for, Sec. 102.13(c)(1); 
      Sec. 102.17(a)(1)

[[Page 331]]

  Commercial firm as participant in, Sec. 102.17(a)(1)(ii)
  Contribution limitation, per participant, Sec. 102.17(c)(5)
  Costs of, advanced, Sec. 102.17(b)(3)
  Depository for, Sec. 102.17(c)(3)
  Notice required, Sec. 102.17(c)(2)
  Participants in, Sec. 102.17(a)(2) and (b)
  Procedures for conducting, Sec. 102.17
  Reporting of, Sec. 102.17(c)(3)(iii) and (8)
  Representative for joint fundraising effort
    -- appointment of, Sec. 102.17(a)(1) and (3)
    -- definition, Sec. 102.17(a)(3) and (b)
    -- not a conduit, Sec. 110.6(b)(2)(i)(B)
    -- receipt of earmarked contribution by, Sec. 110.6(b)(2)(iii)(A)
    -- recordkeeping duties of, Sec. 102.17(c)(4)
    -- reporting, Sec. 102.6(a)(2); Sec. 102.17(a)(1)(ii) and (c)(8)
  Separate segregated fund as participant in, Sec. 102.6(b) and (c)
  Transfer of funds, limited, Sec. 102.6(a)(1)(iii) and (iv); 
      Sec. 110.3(c)(2)


                                    L

LABOR ORGANIZATION
  See: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK
LEGAL AND ACCOUNTING SERVICES
  Contribution/expenditure exemption
    -- for nonparty political committees, Sec. 100.7(b)(14); 
      Sec. 100.8(b)(15); Sec. 114.1(a)(2)(vii)
    -- for party committees, Sec. 100.7(b)(13); Sec. 100.8(b)(14); 
      Sec. 114.1(a)(2)(vi)
  Exemption from limitation for Presidential campaigns, 
      Sec. 106.2(b)(2)(iii)
  Paid by
    -- campaign, Sec. 113.1(g)(1)(ii)(A)
    -- corporations and labor organizations, Sec. 114.1(a)(2)(vi) and 
      (vii)
  Reporting, Sec. 104.3(h); Sec. 114.5(e)(2)(ii)
LIABILITY
  For disputed debt, disclosure not admission of, Sec. 116.10(a)
  For filing complaints with FEC, Sec. 111.4(c)
  For forwarding contributions to political committee treasurers, 
      Sec. 102.6(c)(1); Sec. 102.8
  For making independent expenditures, Sec. 109.2(a)(1)(v)
  Of political committee treasurers, See: TREASURER OF POLITICAL 
      COMMITTEE/Duties
  Of separate segregated funds, for collecting agent activity, 
      Sec. 102.6(c)(1)
  Of Presidential candidates accepting public funds, See: Index for 
      GENERAL ELECTION FINANCING/Certifications; Index for PRIMARY 
      ELECTION FINANCING/Certifications
LIMITED LIABILITY COMPANY
    -- Contributions by, Sec. 110.1(g)
    -- Corporation, Treatment as, Sec. 110.1(g)(3)
    -- Definition, Sec. 110.1(g)(1)
    -- Partnership, Treatment as, Sec. 110.1(g)(2) and Sec. 110.1(g)(5)
LOANS
  Assurance of repayment, Sec. 100.7(b)(11)(i); Sec. 100.8(b)(12)(i)
  Collateral for
    -- future receipts, Sec. 100.7(b)(11)(i)(B); Sec. 100.8(b)(12)(i)(B)
    -- traditional, Sec. 100.7(b)(11)(i)(A); Sec. 100.8(b)(12)(i)(B)
  Contribution, Sec. 100.7(a)(1); Sec. 114.1(a)(1)
    -- endorser or guarantor of loan, Sec. 100.7(a)(1)(i)(C) and (D)
  Contribution exemptions for
    -- lending institutions, Sec. 100.7(b)(11)
    -- office facilities, Sec. 100.7(b)(12)

[[Page 332]]

    -- recount costs, Sec. 100.7(b)(20)
  Endorsements, Sec. 100.7(a)(1)(i)
  Expenditure, Sec. 100.8(a)(1); Sec. 114.1(a)(1)
  Expenditure exemptions for
    -- lending institutions, Sec. 100.8(b)(12)
    -- office facilities, Sec. 100.8(b)(13)
    -- recount costs, Sec. 100.8(b)(20)
  Guarantees, Sec. 100.7(a)(1)(i)
  Made by lending institution, Sec. 100.7(b)(11); Sec. 100.8(b)(12)
  Obtained by candidate, Sec. 100.7(a)(1)(i)(D); Sec. 101.2; 
      Sec. 102.7(d)
  Overdrafts, Sec. 100.7(b)(11); Sec. 100.8(b)(12)
  Repayment of, Sec. 100.7(a)(1)(i)(E)
  Reporting, Sec. 104.3(d); Sec. 104.11; Sec. 104.18(f)
  Standards for loans from lending institutions
    -- basis that assures repayment, Sec. 100.7(b)(11)(i); 
      Sec. 100.8(b)(12)(i)
    -- ordinary course of business, Sec. 100.7(b)(11); Sec. 100.8(b)(12)
  See also: DEBTS
LOCAL PARTY COMMITTEE
  See: PARTY COMMITTEE


                                    M

MAILING LIST
  Defined as in-kind contribution, Sec. 100.7(a)(1)(iii)(A)
  Information from FEC reports used for, prohibited, Sec. 104.15(a)
  Requirements for buying/selling/trading by political committees, 
      Sec. 100.7(a)(1)(iii)
  See also: DIRECT MAIL
MEDIA
  See: COMMUNICATIONS/ADVERTISING
MEMBER OF CONGRESS
  See: CONGRESS, MEMBERS OF
MEMBERS
  Definition, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2); Sec. 114.7(i)
  Financial obligations/voting rights, criteria for membership in 
      membership organization, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2)
MEMBERSHIP ORGANIZATION
  Affiliation, Sec. 100.8(b)(4)(iv)(D) and (E); Sec. 114.1(e)(4)
  Communications by, Sec. 100.8(b)(4)
  Definition of, Sec. 100.8(b)(4)(iv)(A); Sec. 114.1(e)(1)
  Member of, defined, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2)
  Multitiered, Sec. 100.8(b)(4)(iv)(E) and Sec. 114.1(e)(5)
  Student members of, Sec. 100.8(b)(4)(iv)(C); Sec. 114.1(e)(3)
  See also: COOPERATIVE; CORPORATION/LABOR ORGANIZATION/NATIONAL BANK/
      Labor Organization; CORPORATION WITHOUT CAPITAL STOCK; MEMBERSHIP 
      ORGANIZATION, INCORPORATED; TRADE ASSOCIATION
MEMBERSHIP ORGANIZATION, INCORPORATED
  Communications by, Sec. 100.8(b)(4); Sec. 110.11(a)(7); Sec. 114.7(h)
    -- beyond restricted class, Sec. 114.4
    -- containing express advocacy, to restricted class, Sec. 114.1(j); 
      Sec. 114.3
    -- disclaimer notice not required, Sec. 110.11(a)(7)
    -- reporting, Sec. 100.8(b)(4); Sec. 104.6; Sec. 114.5(e)(2)(i)
    -- restricted class for, Sec. 114.1(j)
    -- to general public, Sec. 114.4(a) and (c)
  Fundraising by
    -- combined dues/contribution payments, Sec. 102.6(c)(3)
    -- disclaimer notice not required, Sec. 110.11(a)(7)
    -- using affiliates as collecting agents, Sec. 102.6(b) and (c)
    See also: COLLECTING AGENT; STATE ASSOCIATION
  Member, defined, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2); 
      Sec. 114.7(i)

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  Separate segregated fund established by, Sec. 114.1(a)(2)(iii) and 
      (b); Sec. 114.7(a) and (e)
  See also: COMMUNICATIONS/ADVERTISING; QUALIFIED NONPROFIT CORPORATION; 
      SEPARATE SEGREGATED FUND
MINORS
  Contributions by, Sec. 110.1(i)(2)
MULTICANDIDATE COMMITTEE
  Contributions by, limitations, Sec. 110.2
  Definition, Sec. 100.5(e)(3)
  Notification of status as
    -- to candidates receiving contributions, Sec. 110.2(a)(2)
    -- to Commission, Sec. 102.2(a)(3)


                                    N

NAME
  Acronym, use of, Sec. 102.14(c)
  Candidate's, use of
    -- by party committee, Sec. 102.5(a)(3)
    -- by unauthorized committee, Sec. 102.14(a) and (b)(3)
    -- clearly identifying candidate, Sec. 100.17; Sec. 106.1(d); 
      Sec. 109.1(b)(3)
  Contributor's, request for, Sec. 104.7(b)
  Defined
    -- authorized committee, Sec. 102.14(a)
    -- delegate committee, Sec. 102.14(b)(1)
    -- draft committee, Sec. 102.14(b)(2)
    -- fundraising project, Sec. 102.14(a)
    -- separate segregated fund, Sec. 102.14(c)
NATIONAL BANK
  See: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK
NATIONAL NOMINATING CONVENTION
  See: CONVENTION, NATIONAL NOMINATING
NATIONAL PARTY COMMITTEE
  See: PARTY COMMITTEE
NEWS STORY EXEMPTION
  Contribution, exempted, Sec. 100.7(b)(2)
  Expenditure, exempted, Sec. 100.8(b)(2)
NONAUTHORIZED COMMITTEE
  See: UNAUTHORIZED COMMITTEE
NONCONNECTED COMMITTEE
  See: POLITICAL COMMITTEE
NONELECTION YEAR
  Candidate appearances, Sec. 110.8(e)(2)(i)
  Contributions, Sec. 110.5(b)
  Fixed percentage allocation method, use in, Sec. 106.5(b)(2)
    See also: ALLOCATION OF EXPENSES
  Reporting, Sec. 104.5(a)(2), (b)(2) and (c)(2)
NONFILERS
  Enforcement procedures, Sec. 111.8(a) and (b)
  Publication of names, Sec. 111.8(c)
NONPROFIT ORGANIZATION
  Definition, Sec. 110.13(a)(1)
  Distribution of voting information and guides, Sec. 114.4(b)(5)(ii)
  Independent expenditures by, when permitted, Sec. 114.10
  Qualified nonprofit corporation, See: QUALIFIED NONPROFIT CORPORATION
  Sponsorship of candidate debates, Sec. 110.13(a)(1); Sec. 114.4(f)
NOTICES REQUIRED
  On communications expressly advocating election/defeat of candidate, 
      See: DISCLAIMER NOTICE
  On solicitations, See: BEST EFFORTS; DISCLAIMER NOTICE

[[Page 334]]

  When multicandidate committee makes contribution to authorized 
      committee, Sec. 110.2(a)(2)


                                    O

OFFICE ACCOUNT
  Contribution/expenditure limitations may apply, Sec. 113.4(a)
  Corporate/labor donations to, Sec. 113.4(b)
  Definition, Sec. 113.1(b)
  Federal officeholder, definition, Sec. 113.1(c)
  Funds donated to
    -- definition, Sec. 113.1(a)
    -- deposit of, Sec. 113.3
    -- use of, Sec. 113.2
  State officeholder, definition, Sec. 113.1(d)
ONGOING COMMITTEE
  Debts owed by, Sec. 116.2(b)
    -- creditor's forgiveness of, Sec. 116.8
    -- disputed debts, Sec. 116.9(c)
  Defined, Sec. 116.1(b)
  See also: DEBTS
OPINION POLLS
  See: POLLING


                                    P

PAC
  See: SEPARATE SEGREGATED FUND
PARTNERSHIP
  As Federal contractor, Sec. 115.4
  Contributions by, attributed to partners, Sec. 110.1(e)
  Corporate member of, Sec. 110.1(e)(2)
PARTY COMMITTEE
  Administrative expenses, See: ADMINISTRATIVE EXPENSES
  Affiliated, Sec. 110.3(b)
  Allocation of federal/nonfederal expenses, See: ALLOCATION OF EXPENSES
  Appearances by party representative, Sec. 114.3(c)(2); 
      Sec. 114.4(a)(2) and (3)
  Candidate appearances for party, Sec. 110.8(e)
  Communications by, Sec. 100.7(b)(15); Sec. 100.8(b)(16); 
      Sec. 110.11(a)
  Contribution/expenditure exemptions
    -- ballot access payments, Sec. 100.7(b)(18); Sec. 100.8(b)(19); 
      Sec. 110.14(c)(1)(i)
    -- building fund, See: BUILDING FUND
    -- campaign materials for volunteer activities, Sec. 100.7(b)(15); 
      Sec. 100.8(b)(16); Sec. 110.11(a)(4)
    -- candidate appearances, payments for, Sec. 110.8(e)(1)
    -- delegate payments, Sec. 110.14(c)(1)(i)
    -- election recount costs, Sec. 100.7(b)(20); Sec. 100.8(b)(20)
    -- food, beverage and invitations, Sec. 100.7(b)(6) and (7); 
      Sec. 100.8(b)(7) and (8); Sec. 114.1(a)(2)(v)
    -- legal and accounting services, Sec. 100.7(b)(13); 
      Sec. 100.8(b)(14); Sec. 114.1(a)(2)(vi)
    -- personal property, Sec. 100.7(b)(4); Sec. 100.8(b)(5)
    -- residential premises, church or community room, Sec. 100.7(b)(4) 
      and (5); Sec. 100.8(b)(5) and (6)
    -- slate card/sample ballot, Sec. 100.7(b)(9); Sec. 100.8(b)(10); 
      Sec. 110.11(a)(4)
    -- travel expenses, Sec. 100.7(b)(8); Sec. 100.8(b)(9)
    -- volunteer activity, See: VOLUNTEER ACTIVITY
    -- voter drive for Presidential nominee, Sec. 100.7(b)(17); 
      Sec. 100.8(b)(18); Sec. 106.1(c)(3); Sec. 110.11(a)(4)
  Contribution limitations
    -- independent subordinate committee, Sec. 110.3(b)(3)

[[Page 335]]

    -- national/House committees, Sec. 110.1(c); Sec. 110.2(c); 
      Sec. 110.3(b)(2)(i)
    -- national/Senate committees, Sec. 110.1(c); Sec. 110.2(c); 
      Sec. 110.3(b)(2)(ii)
    -- State committees, Sec. 110.3(b)
    -- subordinate committees, Sec. 110.3(b)(3)
  Contributions to national, House and Senate committees, Sec. 110.1(c); 
      Sec. 110.2(c); Sec. 110.3(b)(1)
  Convention (national nominating) registration and reporting, 
      Sec. 107.1
  Coordinated general public political communications, Sec. 100.23
  Coordinated party expenditures, Sec. 102.13(b); Sec. 109.1(d)(2); 
      Sec. 110.7; Sec. 110.11(a)(2)
  Definition, Sec. 100.5(e)(4)
  Exempt activities, Sec. 100.7(b)(9), (15) and (17); Sec. 100.8(b)(10), 
      (16) and (18); Sec. 110.11(a)(4)
  Federal/nonfederal election financing, Sec. 102.5; Sec. 104.10; 
      Sec. 106.1(e); Sec. 106.5
  Local committee, status as political committee, Sec. 100.5(c)
  Multicandidate status, See: MULTICANDIDATE COMMITTEE
  National committee
    -- as principal campaign committee of Presidential candidate, 
      Sec. 102.12(c)(1)
    -- committees established and maintained by, Sec. 110.1(b)(2); 
      Sec. 110.2(a)(2)
    -- contribution limitations for, Sec. 110.3(b)(1) and (2)
    -- coordinated party expenditure limits, Sec. 110.7(a) and (b)
    -- definition, Sec. 100.13
    -- reporting of nonfederal activity, Sec. 104.8(e) and (f); 
      Sec. 104.9(c), (d) and (e)
  Political party, definition, Sec. 100.15
  Registration requirements, Sec. 102.1(d)
  Reporting requirements, See: REPORTING
  Solicitations by
    -- notices required, Sec. 102.5(a)(2) and (3); Sec. 104.7(b)(1); 
      Sec. 110.11(a)(1)(iii) and (iv)
    -- referring to federal candidate or election, Sec. 102.5(a)(3)
  State committee, See: STATE PARTY COMMITTEE
  Subordinate committee
    -- affiliated/independent status, Sec. 110.3(b)(3)
    -- coordinated party expenditure limit, Sec. 110.7(b)
    -- definition, Sec. 100.14(b)
    -- designated as agent of national committee, Sec. 109.1(d)(2); 
      Sec. 110.7(a)(4)
  Transfers
    -- between committees of same party, unlimited, Sec. 102.6(a); 
      Sec. 110.3(c)(1)
    -- between federal/nonfederal accounts, Sec. 102.5(a)(1)(i); 
      Sec. 106.5(g)
    -- of excess campaign/office account funds, Sec. 113.2(c)
  See also: POLITICAL COMMITTEE
PAYROLL DEDUCTION PLAN
  Combined dues/contributions payments, Sec. 102.6(c)(3)
  Not facilitation, Sec. 114.2(f)(4)(i)
  Of corporation, made available to labor organizations, 
      Sec. 114.5(k)(1)
  Reporting requirements, Sec. 104.8(b)
  Reverse checkoff plans, prohibited, Sec. 114.5(a)(1)
  Twice-yearly solicitations by corporations/labor organizations, 
      prohibited, Sec. 114.6(e)(1)
  See also: COLLECTING AGENT
PERSON
  Contribution limitations, Sec. 110.1; Sec. 110.5
  Definition, Sec. 100.10; Sec. 109.1(b)(1); Sec. 110.1(a)
  Independent expenditures by, Sec. 105.4; part 109
  Prohibition against solicitation of people named in reports, 
      Sec. 104.15
PERSONAL FUNDS
  Of candidate
    -- definition, Sec. 110.10(b)
    -- unlimited expenditures, Sec. 110.10(a)
    -- used for living expenses, Sec. 100.8(b)(22)

[[Page 336]]

    -- used for securing loans, Sec. 100.7(a)(1)(i)
    -- used for travel expenses, Sec. 106.3(b)(1)
  Of individual, used to advance goods/services, Sec. 116.5(b)
  Of delegate, expenditures from, Sec. 110.14(e)
  Of Vice Presidential candidate, expenditures from, Sec. 110.8(f)(2)
  Of volunteer, used for living expenses, Sec. 100.7(b)(8); 
      Sec. 100.8(b)(9)
  Segregated from political funds, Sec. 102.15
PERSONAL SERVICES
  Compensated, considered contribution, Sec. 100.7(a)(3)
  Volunteered, contribution exemption, Sec. 100.7(b)(3)
  See also: LEGAL AND ACCOUNTING SERVICES; VOLUNTEER ACTIVITY
PETTY CASH FUND
  Disbursements from, Sec. 102.11; Sec. 103.3(a)
  Recordkeeping required, Sec. 102.11
POLITICAL ACTION COMMITTEE
  See: SEPARATE SEGREGATED FUND
POLITICAL ADS
  See: PUBLIC POLITICAL ADVERTISING
POLITICAL COMMITTEE
  Affiliated, See: AFFILIATED COMMITTEE
  Allocation between federal/nonfederal accounts, See: ALLOCATION OF 
      EXPENSES
  Audits of, Sec. 104.16
    See also: AUDITS
  Authorized, See: AUTHORIZED COMMITTEE
  Campaign depository, See: CAMPAIGN DEPOSITORY
  Collecting agent for, Sec. 102.6(b) and (c)
  Communications/advertising by, Sec. 110.11(a)
    See also: COMMUNICATIONS/ADVERTISING
  Contributions to, Sec. 110.1(d)
  Definition, Sec. 100.5
  Debts owed by, See: DEBTS
  Delegate committee, See: DELEGATE/Committee
  Federal/nonfederal, Sec. 102.5; Sec. 106.1(e); Sec. 106.5; Sec. 106.6
  Filing reports, See: FILING; REPORTING
  Forwarding contributions to, Sec. 102.8
  Fundraising by, Sec. 110.11(a)
    See also: FUNDRAISING
  Funds, separate from personal, Sec. 102.15
  Host committee (convention), registration and reporting, Sec. 107.1
  Identification number, Sec. 102.2(c)
  Incorporation of, Sec. 114.12(a)
  Joint fundraising, committee established for, Sec. 102.17(b)(1) and 
      (2)
  Multicandidate, See: MULTICANDIDATE COMMITTEE
  Name of, restrictions, Sec. 102.14
  Nonfederal campaign committee as, Sec. 110.3(c)(6)(iii)
  Ongoing, See: ONGOING COMMITTEE
  Organization of, Sec. 102.7
  Party, See: PARTY COMMITTEE
  Petty cash fund, Sec. 102.11; Sec. 103.3(a)
  Principal campaign, See: PRINCIPAL CAMPAIGN COMMITTEE
  Recordkeeping requirements, See: RECORDKEEPING
  Registration, Sec. 102.1; Sec. 102.2; Sec. 102.6(a)(2); 
      Sec. 102.17(a)(1)
  Reporting requirements, See: REPORTING
  Separate segregated fund, See: SEPARATE SEGREGATED FUND
  Single candidate, See: SINGLE CANDIDATE COMMITTEE
  Statement of Organization, Sec. 102.1; Sec. 102.2
  Termination of, See: TERMINATION OF COMMITTEE

[[Page 337]]

  Transfers among, See: TRANSFER OF FUNDS
  Treasurer, See: TREASURER OF POLITICAL COMMITTEE
  Unauthorized, See: UNAUTHORIZED COMMITTEE
POLITICAL PARTY
  See: PARTY COMMITTEE
POLLING
  Acceptance of results, Sec. 106.4(b) and (c)
  Allocation of expenditure
    -- by candidate, Sec. 106.4(e)
    -- by candidate, Presidential, Sec. 106.2(b)(2)(v)
    -- by unauthorized committee, Sec. 106.4(d)
    -- methods for, Sec. 106.4(e)
    -- reporting of, Sec. 106.4(f), (g) and (h)
  Contribution in-kind, Sec. 106.4
  Testing-the-waters exemption, Sec. 100.7(b)(1); Sec. 100.8(b)(1); 
      Sec. 106.4(a) and (b)
POSTMARK
  As date of filing, Sec. 104.5(e)
  As date of when contribution is made, Sec. 110.1(b)(6) and (l)(4); 
      Sec. 110.2(b)(6)
PREEMPTION
  Of Federal Election Campaign Act by state election laws, Sec. 108.7(c)
  Of state election laws by Federal Election Campaign Act, Sec. 108.7(a) 
      and (b)
PRIMARY ELECTION
  Contributions
    -- post-primary, Sec. 110.1(a)(2)(i) and (ii)(B)
    -- segregated from general election contributions, Sec. 102.9(e)
    -- to unopposed candidate, Sec. 110.1(j)(3); Sec. 110.2(d)(3)
  Definition, Sec. 100.2(c)
  Transfer of unused funds to general election campaign, 
      Sec. 110.3(c)(3)
  See also: ELECTION
PRINCIPAL CAMPAIGN COMMITTEE
  Consolidated report filed by, Sec. 104.3(f)
  Contributions to, See: CANDIDATE
  Definition, Sec. 100.5(d) and (e)(1)
  Designation of, Sec. 101.1(a); Sec. 102.12
  Funds of, See: CAMPAIGN FUNDS, USE OF; EXCESS CAMPAIGN FUNDS
  Registration of, Sec. 102.1(a); Sec. 102.2(b)(1)(i)
  Support of one candidate only, Sec. 102.12(b) and (c)
  Transfers between, Sec. 110.3(c)(4) and (5)
  See also: AUTHORIZED COMMITTEE; POLITICAL COMMITTEE
PRIVACY ACT
  See: Index for ADMINISTRATIVE REGULATIONS/Privacy Act
PROPERTY, REAL OR PERSONAL
  Use of, exempted, Sec. 100.7(b)(4); Sec. 100.8(b)(5)
PSEUDONYMS
  Definition, Sec. 104.3(e)(2)
  Purpose, Sec. 104.3(e)(1)
  Reporting procedures, Sec. 104.3(e)(3)-(5)
PUBLIC FINANCING
  See: Indexes for GENERAL ELECTION FINANCING; FEDERAL FINANCING OF 
      PRESIDENTIAL NOMINATING CONVENTIONS; PRESIDENTIAL PRIMARY MATCHING 
      FUND
PUBLIC INSPECTION OF DOCUMENTS
  Advisory opinions and requests for, Sec. 112.2
  Compliance proceedings
    -- confidentiality, Sec. 111.21
    -- public disclosure, Sec. 111.20
  Reports
    -- filed with State officials, Sec. 108.6(c)
    -- sale/use restriction, Sec. 104.15

[[Page 338]]

  See also: Index for ADMINISTRATIVE REGULATIONS/Public Disclosure
PUBLIC POLITICAL ADVERTISING
  Allocation of expenditures for
    -- among several candidates, Sec. 100.7(a)(1)(iii); Sec. 106.1(b)
    -- on behalf of Presidential candidate, Sec. 106.2(b)(2)(i)
  Campaign materials republished or disseminated to media by
    -- delegates/delegate committees on behalf of Federal candidates, 
      Sec. 110.14(f)(3) and (i)(3)
    -- persons other than campaign personnel, Sec. 109.1(d)
  Defined, Sec. 110.11(a)(1)
  Expressly advocating, definition, Sec. 100.22; Sec. 109.2(b)(2)
  General public political communications, Sec. 100.23(e)(1)
  Independent expenditures made for, See: INDEPENDENT EXPENDITURES
  Media used for, Sec. 110.11(a)(1)
  News story/editorial/commentary, exempted as contribution or 
      expenditure for, Sec. 100.7(b)(2); Sec. 100.8(b)(2)
  Notice required for, Sec. 102.16; Sec. 109.3; Sec. 110.11(a)
    -- authorized by candidate, Sec. 110.11(a)(1)(i) and (ii)
    -- contribution solicitations, Sec. 102.16; Sec. 110.11(a)(1)
    -- express advocacy of candidate, Sec. 110.11(a)(1)
    -- not authorized by candidate, Sec. 110.11(a)(1)(iii); 
      Sec. 114.10(g)
    -- See also: DISCLAIMER NOTICE
  Rates charged for space, Sec. 110.11(b)
  Television ad, requirements for, Sec. 110.11(a)(1) and (5)(iii)
  Use restrictions
    -- campaign materials mentioning other candidates, 
      Sec. 100.7(b)(16); Sec. 100.8(b)(17)
    -- exempted party activities, Sec. 100.7(b)(9), (15)(i) and (17)(i); 
      Sec. 100.8(b)(10), (16)(i) and (18)(i)
    -- testing-the-waters activities, Sec. 100.7(b)(1); Sec. 100.8(b)(1)


                                    Q

QUALIFIED NONPROFIT CORPORATION
  Contributions by, prohibited, Sec. 114.2; Sec. 114.10(d)(2)
  Definition, Sec. 114.10(c)
  Demonstrating status as, Sec. 114.10(e)(1)
  Express purpose of, Sec. 114.10(b)(2)
  Independent expenditures made by
    -- exemption from corporate prohibition, Sec. 114.10(d)
    -- reporting, Sec. 109.2; Sec. 114.10(e)
  Not established/funded by business corporation or labor organization, 
      Sec. 114.10(c)(4)
  Solicitations by, Sec. 114.10(f)


                                    R

RECEIPTS
  Deposit of, Sec. 103.3(a)
  Reporting, See: REPORTING
  See also: CONTRIBUTIONS
RECORDKEEPING
  Allocation, documentation of
    -- for Presidential campaigns, Sec. 106.2(b) and (d)
    -- for unauthorized committee, Sec. 104.10(a)(4) and (b)(5)
  Collecting agent, duties of, Sec. 102.6(c)(5) and (6)
  Contributions
    -- aggregate of individual's, Sec. 104.8(b)
    -- best efforts, See: BEST EFFORTS
    -- by check, Sec. 104.8(c) and (d)
    -- by payroll deduction, Sec. 104.8(b)

[[Page 339]]

    -- contributor identification, Sec. 100.12; Sec. 104.7(b); 
      Sec. 104.8(a) and (b)
    -- designations/redesignations, Sec. 102.9(e); Sec. 110.1(l)
    -- earmarked, Sec. 102.8(c); Sec. 110.6(b)(2)(iii)
    -- forwarding, Sec. 102.8
    -- fundraising/mass collection proceeds, Sec. 102.17(c)
    -- illegal-appearing, Sec. 103.3(b)
    -- reattributed, Sec. 102.9(e); Sec. 110.1(l)
    -- records required, Sec. 102.9(a); Sec. 110.1(l)
  Disbursements
    -- advance for travel/subsistence, Sec. 102.9(b)(2)(i)(B)
    -- aggregate of, to one recipient, Sec. 104.9(b)
    -- allocation of, Sec. 104.10(a)(4) and (b)(5)
    -- credit card, disbursements by, Sec. 102.9(b)(2)(ii)
    -- credit union account, disbursements from, Sec. 102.9(b)(2)(iii)
    -- documentation required, Sec. 102.9(b)(2)
    -- ``payee,'' identification and definition of, Sec. 102.9(b)(1)(i) 
      and (2)(i)(A)
    -- petty cash fund records, Sec. 102.11
    -- ``purpose'' of, Sec. 104.3(b)(3)(i)(A) and (B); Sec. 104.9(a)
    -- records required, Sec. 102.9(b)(1)
  Expenditures allocated among states, Sec. 106.2(b) and (d)
  Federal activity of unregistered organization, Sec. 102.5(b)
  Federal Election Commission, records kept by, See: Index for 
      ADMINISTRATIVE REGULATIONS/Records
  Joint fundraising, Sec. 102.17(c)(4)
  Petty cash fund, Sec. 102.11
  Records
    -- best efforts of treasurer, Sec. 102.9(d); Sec. 104.7
    -- electronically filed reports, Sec. 104.18(g)
    -- maintenance of, Sec. 102.9(d); Sec. 104.14(b)(1)
    -- preservation of, Sec. 102.9(c); Sec. 104.14(b)(2) and (3); 
      Sec. 104.18(g)
  Separate segregated fund custodian, duties of, Sec. 114.6(d)
  State officers' duties, Sec. 108.6
  Testing-the-waters activity, Sec. 101.3
  See also: REPORTING
RECOUNT EXPENSES
  See: ELECTION
REFUNDS
  See: CONTRIBUTIONS
REGISTRATION
  See: POLITICAL COMMITTEE; VOTER DRIVES
REGULATIONS
  See: RULES AND REGULATIONS
REIMBURSEMENT
  Of committee staff, for advances made, Sec. 116.5(b)
  Of federal account by nonfederal account, for allocable expenses, 
      Sec. 106.5(g); Sec. 106.6(e)
  Of fundraising expenses
    -- by collecting agents, to separate segregated fund, 
      Sec. 114.5(b)(3)
    -- by separate segregated fund, to parent organization, 
      Sec. 114.5(b)(2)
  Of travel expenses, by candidate
    -- to campaign, Sec. 113.1(g)(1)(ii)(C) and (D)
    -- to corporate/labor organization, Sec. 114.9(e)(1) and (2)
  Of use of corporate/labor facilities
    -- by nonemployees and nonmembers, Sec. 114.2(f); Sec. 114.9(d)
    -- in advance of using certain resources, Sec. 114.2(f)(2)
  Prohibited, by parent organization to separate segregated fund, 
      Sec. 114.5(b)
REPORTING
  Acknowledgement of report's receipt, Sec. 104.14(c)

[[Page 340]]

  Allocable expenses, See: ALLOCATION OF EXPENSES
  Amending previous report, Sec. 104.7(b)(4)
  Audit of reports, Sec. 104.16
    See also: AUDITS
  Bank loans, Sec. 104.3(d)
  Best efforts of treasurer, Sec. 104.7
    See also: BEST EFFORTS
  Building fund account activity of national party, Sec. 104.8(f); 
      Sec. 104.9(c)
  Cash-on-hand, Sec. 104.3(a)(1); Sec. 104.12
  Collecting agent, of funds received through, Sec. 102.6(c)(7)
  Communications by membership organizations, corporations,and labor 
      organizations, Sec. 100.8(b)(4); Sec. 104.6; Sec. 105.4; 
      Sec. 114.3(b); Sec. 114.5(e)(2)(i)
  Compulsory, Sec. 104.1(a)
  Computerized, Sec. 104.2(d)
  Consolidated, Sec. 104.3(f)
  Content of reports, Sec. 104.3
  Contributions
    -- aggregate of, Sec. 104.8(b)
    -- by check, Sec. 104.8(c) and (d)
    -- earmarked, Sec. 104.3(j); Sec. 110.6(c)
    -- exceeding $200, Sec. 104.8(a)
    -- illegal-appearing, Sec. 103.3(b)
    -- in-kind, Sec. 104.13; Sec. 106.1(b)
    -- joint, Sec. 104.8(d)(1)
    -- of $1,000 or more, 48 hour notification, Sec. 104.5(f)
    -- reattributed, Sec. 104.8(d)(3)
    -- redesignated, Sec. 104.8(d)(2)
    -- refunded, Sec. 104.8(d)(4)
    -- summary of, Sec. 104.3(c)
    -- to delegates, Sec. 110.14(d)(3)
    -- uniformity in reporting, Sec. 104.8
  Contributors
    -- amending reports to include information on, Sec. 104.7(b)(4)
    -- change of name, Sec. 104.8
    -- identification of, Sec. 100.12; Sec. 104.7(b); Sec. 104.8(a) and 
      (b)
    -- information in committee's possession, Sec. 104.7(b)(3)
    -- information not provided by, Sec. 104.7(b)
    -- multiple contributors, Sec. 104.8(c) and (d)
    -- pseudonyms, use of, Sec. 104.3(e)
  Convention, national nominating, part 107
  Corporation/labor organization, for internal communications, 
      Sec. 104.6
  Cumulative, Sec. 104.3(i)
  Debts and obligations, Sec. 104.3(d); Sec. 104.11
    See also: DEBTS
  Disbursements
    -- categories of, Sec. 104.3(b)(1) and (2)
    -- from nonfederal accounts of national party, Sec. 104.9(c) and (d)
    -- itemization of, Sec. 104.3(b)(3) and (4)
    -- uniform reporting of, Sec. 104.9
  Donations to national party, Sec. 104.8(e) and (f)
  Earmarked contributions, See: EARMARKED CONTRIBUTION
  Election cycle basis, Sec. 104.3(a)(3); Sec. 104.3(b)(2)
  Election year, Sec. 104.5(a)(1), (b)(1) and (c)(1)
  Electronic filing, Sec. 104.18
  Expenditures
    -- aggregate of, to one recipient, Sec. 104.9(b)
    -- by delegates, Sec. 110.14(e)(2) and (f)(1)(iii)
    -- candidate-allocated, Sec. 104.10
    -- coordinated party, Sec. 110.7(c)

[[Page 341]]

    -- exceeding $200, Sec. 104.9(a)
    -- operating, summarized, Sec. 104.3(c)
    -- personal use expense, Sec. 104.3(b)(4)(i)(B)
    -- State-allocated, for Presidential candidates, Sec. 106.2(c)
    -- uniformity in reporting, Sec. 104.9
  Failure to report, Sec. 111.8(c)
  Filing reports, See: FILING
  Forms, See: FORMS
  Forty-eight hour notification of contribution, Sec. 104.5(f)
  Identification number, Sec. 102.2(c)
  Independent expenditures, See: INDEPENDENT EXPENDITURES
  Interest income, Sec. 103.3(a); Sec. 104.3(a)(4)(vi)
  Joint fundraising activity, Sec. 102.17(c)(3)(iii) and (8)
  Legal and accounting services, Sec. 104.3(h); Sec. 114.5(e)(2)(ii)
  Loans, Sec. 104.3(d)
  Monthly report
    -- by Presidential committee, Sec. 104.5(b)(1)(i) and (iii) and 
      (2)(i)
    -- by unauthorized committee, Sec. 104.5(c)(3)
    -- waivers, Sec. 104.5(b)(1)(i)(C) and (c)(3)(ii)
  Non-election year, Sec. 104.5(a)(2), (b)(2) and (c)(2)
  Nonfederal campaign committee, Sec. 110.3(c)(6)(iii)
  Nonfilers, See: NONFILERS
  Party coordinated expenditures, Sec. 110.7(c)
  Party office building fund, donations to, Sec. 104.3(g)
  Payroll deductions, Sec. 104.8(b)
  Post-election report
    -- by Congressional committee, Sec. 104.5(a)(1)(ii)
    -- by Presidential committee, Sec. 104.5(b)(1)(i)(C) and (ii)
    -- by unauthorized committee, Sec. 104.5(c)(1)(iii)
  Pre-election report
    -- by Congressional committee, Sec. 104.5(a)(1)(i)
    -- by Presidential committee, Sec. 104.5(b)(1)(i)(C) and (ii)
    -- by unauthorized committee, Sec. 104.5(c)(1)(ii)
  Preservation of reports, Sec. 102.9(c); Sec. 104.14(b)(2) and (3)
  Pseudonyms, Sec. 104.3(e)
  Public inspection of reports, See: PUBLIC INSPECTION OF DOCUMENTS
  Quarterly report
    -- by Congressional committee, Sec. 104.5(a)(1)(iii)
    -- by Presidential committee, Sec. 104.5(b)(1)(ii) and (2)(ii)
    -- by unauthorized committee, Sec. 104.5(c)(1)(i)
    -- waivers, Sec. 104.5(a)(1)(iii)(C) and (c)(1)(i)(C)
  Receipts, Sec. 104.3(a)
    -- cash-on-hand, Sec. 104.3(a)(1); Sec. 104.12
    -- categories of, Sec. 104.3(a)(2) and (3)
    -- itemization of, Sec. 104.3(a)(4)
    -- nonfederal donations to national party, Sec. 104.8(e) and (f)
    -- uniform reporting of, Sec. 104.8
  Requirements, formal, Sec. 104.14; Sec. 104.18
  Sale/use restriction on filed reports, Sec. 104.15
  Semiannual report
    -- by Congressional committee, Sec. 104.5(a)(2)
    -- by unauthorized committee, Sec. 104.5(c)(2)(i)
  Separate segregated fund reports, Sec. 114.5(e)
  Special election reports, Sec. 104.5(h)
  State filing, See: FILING
  State officers' duties, Sec. 108.6
  Stocks, bonds, art objects, Sec. 104.13(b)
  Termination report, Sec. 102.3(a)

[[Page 342]]

  Testing-the-waters activity, Sec. 101.3
  Transfers
    -- assigned debts, Sec. 116.2(c)(3)(ii)
    -- between federal and nonfederal accounts, Sec. 104.10(a)(2) and 
      (b)(3)
    -- from nonfederal campaign committee, Sec. 110.3(c)(6)(iii)
    -- from political committee, Sec. 104.3(b)(3)(ii) and (4)(ii)
    -- to committee, Sec. 104.3(a)(4)(iii)
  Transmittal of reports to Commission by Secretary of the Senate, 
      Sec. 105.5
  Treasurer of committee, duties of, Sec. 104.1(a); Sec. 104.14
  Twenty-four hour notification of independent expenditure, 
      Sec. 104.5(g)
  Vice Presidential committee reports, Sec. 104.5(d)
  Voluntary, Sec. 104.1(b)
  Waivers
    -- for special election, Sec. 104.5(h)(2)
    -- monthly, Sec. 104.5(b)(1)(i)(C) and (c)(3)(ii)
    -- quarterly, Sec. 104.5(a)(1)(iii)(C) and (c)(1)(i)(C)
  Year-end report
    -- by Congressional committee, Sec. 104.5(a)(1)(iii)(A) and 
      (2)(i)(B)
    -- by Presidential committee, Sec. 104.5(b)(1)(i)(C)
    -- by unauthorized committee, Sec. 104.5(c)(1)(i)(A) and (2)(i)(B)
  See also: FILING; FORMS; RECORDKEEPING
RESTRICTED CLASS
  Communications directed to, by membership organizations, corporations 
      and labor organizations, Sec. 100.8(b)(4); Sec. 114.1(j); 
      Sec. 114.3(a)
  Defined
    -- for communications, Sec. 114.1(j)
    -- for cooperatives, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2) and 
      (j); Sec. 114.3(a)(2); Sec. 114.5(g)(1); Sec. 114.7(a), (h) and 
      (k)
    -- for corporations, Sec. 100.8(b)(4)(ii) and (iii); Sec. 114.1(c), 
      (h) and (j); Sec. 114.3(a); Sec. 114.5(g)(1)
    -- for labor organizations, Sec. 100.8(b)(4)(iv)(B); 
      Sec. 114.1(e)(2); Sec. 114.3(a); Sec. 114.5(g)(2)
    -- for membership organization, Sec. 100.8(b)(4)(iv)(B); 
      Sec. 114.1(e)(2) and (j); Sec. 114.3(a)(2); Sec. 114.5(g)(1); 
      Sec. 114.7(a) and (h)
    -- for national banks, Sec. 100.8(b)(4)(ii) and (iii); Sec. 114.1(c) 
      and (h); Sec. 114.3(a); Sec. 114.5(g)(1)
    -- for trade associations, Sec. 100.8(b)(4)(iv)(B); 
      Sec. 114.1(e)(2); Sec. 114.3(a)(2); 
      Sec. 114.5(g)(1);Sec. 114.7(c); Sec. 114.8(c), (f), (h) and (i)
    -- for unincorporated association, Sec. 100.8(b)(4)(iv)(B)
  Solicitation of, by corporations, labor organizations or their 
      separate segregated funds, Sec. 110.11(a)(7); Sec. 114.5(g); 
      Sec. 114.7(a)
  See also: FUNDRAISING; SEPARATE SEGREGATED FUND
RETIRING DEBTS
  See: DEBTS
RULES AND REGULATIONS
  Advisory opinions based on, Sec. 112.1(a)
  Effect on State law, Sec. 108.7
  Petitions for rulemaking, See: Index for ADMINISTRATIVE REGULATIONS/
      Rulemaking Petitions
  Scope, Sec. 1.1; Sec. 2.1; Sec. 4.3; Sec. 5.3; Sec. 100.1; 
      Sec. 110.14(a)
RUNOFF ELECTION
  Definition, Sec. 100.2(d)
  Reporting dates, Sec. 104.5(h)


                                    S

SALE/USE RESTRICTION
  Permissible use of contributor information
    -- in newspapers/magazines/books, Sec. 104.15(c)
    -- political committee information, Sec. 104.15(a)

[[Page 343]]

  Prohibited use of individual contributor information, Sec. 104.15(a)
  Soliciting contributions, defined, Sec. 104.15(b)
SECRETARY OF THE SENATE
  Reports filed with, Sec. 105.2
  Transmittal of reports to Commission, Sec. 105.5
SENATORIAL CAMPAIGN COMMITTEE
  Allocation of federal/nonfederal expenses, Sec. 106.5(c)
  See also: ALLOCATION OF EXPENSES
  Contributions by, Sec. 110.2(e); Sec. 110.3(b)(1) and (2)(ii)
  Contributions to, Sec. 110.1(c); Sec. 110.2(c); Sec. 110.3(b)(1) and 
      (2)(ii)
SEPARATE SEGREGATED FUND
  Affiliated
    -- contribution limit shared, Sec. 110.3(a)(1)
    -- definition, Sec. 100.5(g)(2)
    -- factors indicating, Sec. 100.5(g)(3)(ii); Sec. 110.3(a)(3)(ii)
  Allocation of federal/nonfederal expenses, See: ALLOCATION OF EXPENSES
  Collecting agent for, Sec. 102.6(b) and (c)
  Communications to public, Sec. 114.5(i)
    See also: COMMUNICATIONS/ADVERTISING
  Conduit for earmarked contributions, Sec. 110.6(b)(2); 
      Sec. 114.2(f)(2)(iii), (3)(ii) and (4)(iii)
  Connected organization of
    -- control of fund, Sec. 114.5(d)
    -- definition, Sec. 100.6
    -- disclosure of, on Statement of Organization, Sec. 102.2(b)(ii)
    -- name requirement, Sec. 102.14(c)
    -- treasury money used for fund, Sec. 114.5(b)
  Contributions to fund
    -- contributors permitted by law, Sec. 114.5(j)
    -- limitations on, Sec. 110.1(d); Sec. 110.2(d); 
      Sec. 110.3(a)(1)(ii), Sec. 114.5(f)
    -- via employee participation plan, Sec. 114.11
    -- voluntary only, Sec. 114.1(i); Sec. 114.5(a)
  Control of, Sec. 114.5(d)
  Establishment/administration/solicitation costs
    -- connected organization's payment of, Sec. 114.5(b)
    -- contribution/expenditure exemption, Sec. 114.1(a)(2)(iii)
    -- definition, Sec. 114.1(b)
  Facilities used in volunteer activity, Sec. 114.9
  Federal contractor, established by, Sec. 115.3
  Fundraising event, reimbursement to connected organization for, 
      Sec. 114.5(b)(2)
  Membership in, Sec. 114.5(c)
  Multicandidate, See: MULTICANDIDATE COMMITTEE
  Name of, restrictions, Sec. 102.14(c)
  Political committee status, Sec. 100.5(b)
  Registration of, Sec. 102.1(c)
  Reporting by, Sec. 114.5(e)
    See also: REPORTING
  Solicitation of contributions to
    -- by collecting agent, Sec. 102.6(c)(1)
    -- coercive methods prohibited, Sec. 114.5(a)(1)
    -- disclaimer notice not required, Sec. 110.11(a)(7)
    -- employees/members, requirements, Sec. 114.5(a); Sec. 114.7(g)
    -- guidelines for solicitation card, Sec. 114.5(a)(2)
    -- methods for, Sec. 114.1(f) and (g)
    -- not facilitation, Sec. 114.2(f)(1) and (4)(i)
    -- to restricted class only, Sec. 114.5(g); Sec. 114.7(a)
    -- twice yearly solicitations, Sec. 114.6
  Statement of Organization requirements, Sec. 102.2
  Transmittal of funds received by collecting agent for, Sec. 102.6(c)

[[Page 344]]

  Twice yearly solicitations, Sec. 114.6
  Use of treasury funds, Sec. 114.5(b)
  See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK; MEMBERSHIP 
      ORGANIZATION; POLITICAL COMMITTEE; TRADE ASSOCIATION
SINGLE CANDIDATE COMMITTEE
  Contributions to, Sec. 110.1(h)(1); Sec. 110.5(c)(3)(i)
  Definition, Sec. 100.5(e)(2)
SLATE CARD/SAMPLE BALLOT
  Contribution/expenditure exemption, Sec. 100.7(b)(9); 
      Sec. 100.8(b)(10)
  Disclaimer notice required, Sec. 110.11(a)(4)
SOLE PROPRIETOR
  As Federal contractor, Sec. 115.5
SOLICITABLE PERSONNEL
  See: RESTRICTED CLASS
SOLICITATION
  See: CONTRIBUTIONS; FUNDRAISING; SEPARATE SEGREGATED FUND
SPECIAL ELECTION
  Definition, Sec. 100.2(f)
  Report, Sec. 104.5(h)
  See also: ELECTION
SPOUSE
  Contributions by, Sec. 100.7(c); Sec. 110.1(i)(1)
  Expenditures by, Sec. 100.8(c)
  Family of candidate, Sec. 113.1(g)
  Loans, cosigning, Sec. 100.7(a)(1)(i)(D) and (b)(11); 
      Sec. 100.8(b)(12)
  Owned by candidate jointly with, Sec. 110.10(b)(3)
STATE
  Allocation of expenditures, Sec. 106.2
    See also: ALLOCATION BY PRESIDENTIAL CAMPAIGN
  Definition, Sec. 100.11
  Filing with, See: FILING
  Law
    -- effect of Act and regulations on, Sec. 108.7
    -- effect on FECA or FEC regulations, Sec. 100.8(b)(4)(iv)(F), 
      Sec. 114.1(e)(6); Sec. 110.1(g)(1)
  Officeholder
    -- definition, Sec. 113.1(d)
    -- transfers from nonfederal campaign, prohibited, Sec. 110.3(d); 
      Sec. 110.8(d)(2)
  Officer
    -- duties of, Sec. 108.6
    -- filing documents with, part 108
  Waiver program, See: FILING
STATE ORGANIZATION
  As collecting agent for national organization's separate segregated 
      fund, Sec. 102.6(a)(2)(iii)
    -- procedures, Sec. 102.6(c)
    -- registration and reporting, Sec. 102.6(b)(2)
  Member of, defined, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2)
  See also: COLLECTING AGENT
STATE PARTY COMMITTEE
  Allocation of federal/nonfederal expenses, See: ALLOCATION OF EXPENSES
  Committees established and maintained by, Sec. 110.3(b)(3)
  Coordinated party expenditure limits, Sec. 110.7(b) and (c)
  Definition, Sec. 100.14(a)
  Designated as agent of national committee, Sec. 109.1(d)(2); 
      Sec. 110.7(a)(4)
  Multicandidate, See: MULTICANDIDATE COMMITTEE
  See also: PARTY COMMITTEE

[[Page 345]]

STOCKHOLDER
  Communications with, by corporation
    -- nonpartisan, Sec. 114.4
    -- partisan, Sec. 114.3(a)
  Corporate facilities, use of by, Sec. 114.9(a)
  Definition, Sec. 114.1(h); Sec. 114.10(b)(4)
  Solicitations of, Sec. 114.5(g) and (k); Sec. 114.6(d); Sec. 114.6(b); 
      Sec. 114.8(f) and (g)
SUBORDINATE PARTY COMMITTEE
  See: PARTY COMMITTEE
SUNSHINE ACT
  See: Index for ADMINISTRATIVE REGULATIONS/Sunshine Act


                                    T

TERMINATION OF COMMITTEE
  By Commission, Sec. 102.4
  By committee, Sec. 102.3
  Prohibited if committee has unpaid/unsettled debts, Sec. 102.3; 
      Sec. 116.7(a)
  Statement regarding use of assets, Sec. 102.3(a)(2)
  Terminating committee
    -- authorized committee, Sec. 116.2(c)
    -- bankrupt under Chapter 7, Sec. 116.7(g)
    -- debt settlement plan filed by, Sec. 116.7
    -- debts owed by, Sec. 116.2(a); Sec. 116.10(b)
    -- defined, Sec. 116.1(a)
    -- efforts to satisfy debts, ``reasonable,'' Sec. 116.4(c) and 
      (d)(2)
    -- request to find debt unpayable, Sec. 116.9(b)
  See also: DEBTS
TESTING-THE-WATERS EXPENSES
  Contribution/expenditure exemption, pre-candidacy, Sec. 100.7(b)(1); 
      Sec. 100.8(b)(1); Sec. 101.3
  Polling expenses, Sec. 106.2(a)(2); Sec. 106.4(a)
TRADE ASSOCIATION
  Communications by
    -- beyond restricted class, Sec. 114.4; Sec. 114.8(i)
    -- containing express advocacy, to restricted class, Sec. 114.1(j); 
      Sec. 114.3; Sec. 114.8(i)
    -- reporting, Sec. 100.8(b)(4)(iv); Sec. 104.6; Sec. 105.4; 
      Sec. 114.3(b); Sec. 114.5(e)(2)(i)
    -- to general public, Sec. 114.4(a) and (c)
    See also: COMMUNICATIONS/ADVERTISING
  Definition, Sec. 114.8(a)
  Employees, Sec. 114.8(i)
  Federation of, solicitations by, Sec. 114.8(g)
  Member of, defined, Sec. 100.8(b)(4)(iv)(B); Sec. 114.1(e)(2)
  Membership organization, defined as, Sec. 100.8(b)(4)(iv)(A); 
      Sec. 114.1(e)(1)
  Separate segregated fund solicitations
    -- contribution prohibition applies, Sec. 114.8(b)
    -- disclaimer notice not required, Sec. 110.11(a)(7)
    -- notices required, Sec. 104.7(b); Sec. 114.5(a)
    -- of corporate members, Sec. 114.7(c); Sec. 114.8(c), (d), (e), (f) 
      and (i)(2)
    -- of employees, Sec. 114.8(e)(4) and (i)(2)
    -- of member's separate segregated fund, prohibited, Sec. 114.7(j)
    -- of noncorporate members, Sec. 114.7(c)
  Solicitation approvals
    -- limited to one trade association per year, Sec. 114.8(c)(2)
    -- may limit number/scope of solicitations, Sec. 114.8(d)(5) and (e)
    -- of subsidiary of corporate member, Sec. 114.8(f)
    -- retention of, Sec. 114.8(d)(2)
    -- separate designation required for each year, Sec. 114.8(d)(4)
    -- written, Sec. 114.8(d)(2)
    See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK; SEPARATE 
      SEGREGATED FUND

[[Page 346]]

TRANSFER OF FUNDS
  Affiliation criterion, Sec. 100.5(g)(4)(i); Sec. 110.3(a)(3)(i)
  Between
    -- affiliated committees, Sec. 102.6(a)(1); Sec. 110.3(c)(1)
    -- candidate's federal/nonfederal campaign committees, prohibited, 
      Sec. 110.3(d); Sec. 110.8(d)(2)
    -- candidate's previous/current campaign committees, 
      Sec. 110.3(c)(4)
    -- collecting agent and separate segregated fund, Sec. 102.6(b) and 
      (c); Sec. 110.3(c)(1)
    -- dual candidate's campaign committees, Sec. 110.3(c)(5); 
      Sec. 110.8(d)(2)
    -- participants of joint fundraiser, Sec. 102.6(b)(1)(iii); 
      Sec. 102.17(c); Sec. 110.3(c)(2)
    -- party committees of same party, Sec. 102.6(a)(1)(ii); 
      Sec. 110.3(c)(1)
  Excess campaign funds, Sec. 110.3(c)(3) and (4); Sec. 113.2(c)
  For investment purposes, Sec. 103.3(a)
  For payment of allocable expenses, Sec. 106.5(g); Sec. 106.6(e)
    See also: ALLOCATION OF EXPENSES
  Joint fundraising proceeds, Sec. 102.6(a)(1)(iii); Sec. 102.17(c)(7); 
      Sec. 110.3(c)(2)
  Office account funds, Sec. 113.4
  Primary funds to general election campaign, Sec. 110.3(c)(3)
  Prohibited
    -- between publicly funded campaign committee and affiliated 
      committee of dual candidate, Sec. 110.3(c)(5)(iii)
    -- from nonfederal campaign committee to federal campaign committee, 
      Sec. 110.3(d); Sec. 110.8(d)(2)
    -- if transferor has net debts outstanding, Sec. 116.2(c)(2)
  Registration requirements may be triggered by, Sec. 102.6(a)(2); 
      Sec. 102.17(c)(7)(ii)
  Reporting requirements for, Sec. 102.6(c)(7); Sec. 102.17(c)(8); 
      Sec. 104.3(a)(4)(iii), (b)(1)(ii), (b)(2)(ii), (b)(3)(ii), and 
      (b)(4)(ii); Sec. 104.10(a)(2) and (b)(3)
  To allocation account, See: ALLOCATION OF EXPENSES
  Transfer of campaign assets, Sec. 113.1(g)(3)
TRAVEL
  Advance of money for, Sec. 102.9(b)(2)(i)(B); Sec. 116.5(b)
  Allocation of expenses
    -- among States, by Presidential candidates, Sec. 106.2(b)(2)(iv) 
      and (v)
    -- campaign/noncampaign, Sec. 106.3
  Campaign funds used for, Sec. 113.1(g)(1)(ii)(C) and (D); 
      Sec. 113.2(a)(1) and (d)
  Corporate/labor transport for candidate, Sec. 114.9(e)
  Government conveyance used for, Sec. 106.3(e)
  Reimbursed, Sec. 116.5(b)
  Unreimbursed payments for, exempted, Sec. 100.7(b)(8); 
      Sec. 100.8(b)(9)
TREASURER OF POLITICAL COMMITTEE
  Assistant treasurer, designation of, Sec. 102.7(a)
  Custodian of separate segregated fund, Sec. 114.6(d)(5)
  Duties
    -- accepting contributions/making expenditures, Sec. 102.7(b)
    -- authorizing expenditures, Sec. 102.7(c)
    -- calculating net debts, Sec. 110.1(b)(3)(ii); Sec. 110.2(b)(3)(ii)
    -- depositing receipts, Sec. 103.3(a)
    -- filing documents, Sec. 104.14(d)
    -- handling excessive contributions, Sec. 110.1(k)(3)
    -- handling illegal-appearing contributions, Sec. 103.3(b)
    -- recordkeeping, Sec. 102.9; Sec. 104.7; Sec. 104.14(b)
    -- reporting, Sec. 104.1(a); Sec. 104.7
    -- retaining records, Sec. 102.9(c); Sec. 104.14(b)(2) and (3)
    -- signing documents, Sec. 104.14(a)
  Efforts made to
    -- determine contribution's legality, Sec. 103.3(b)(1)
    -- obtain, maintain and submit required information, Sec. 102.9(d); 
      Sec. 104.7
    See also: BEST EFFORTS
  Forwarding contributions to, Sec. 102.8
  Required for political committees, Sec. 102.7(a)

[[Page 347]]

  Vacancy in office, Sec. 102.7(a) and (b)
TRUSTEE PLAN
  Employee participation plan, Sec. 114.11
TRUSTS
  Established for minors, Sec. 110.1(i)(2)
  Personal funds of candidate, Sec. 110.10(b)


                                    U

UNAUTHORIZED COMMITTEE
  Communications on behalf of candidate
    -- independent expenditure, Sec. 109.1
    -- invoking name of candidate, Sec. 102.14(a) and (b)(3)
    -- notice required, Sec. 109.3; Sec. 110.11(a)(1)(iii) and (iv) and 
      (a)(7)
  Contributions to, Sec. 102.8(b); Sec. 110.1(h)
  Definition, Sec. 100.5(f)(2)
  Multicandidate, See: MULTICANDIDATE COMMITTEE
  Name of, restrictions, Sec. 102.14(a)
  Polling results, purchased by, Sec. 106.4(d)
  See also: POLITICAL COMMITTEE; SEPARATE SEGREGATED FUND
  UNUSED CAMPAIGN FUNDS
  See: CAMPAIGN FUNDS, USE OF; EXCESS CAMPAIGN FUNDS
  USE OF FUNDS
  See: CAMPAIGN FUNDS, USE OF
  UNINCORPORATED ASSOCIATION
  See: Membership Organization


                                    V

VENDOR
  Commercial, See: COMMERCIAL VENDOR
  Of food/beverage, discount given by, Sec. 100.7(b)(7); 
      Sec. 100.8(b)(8)
  See also: CREDITOR; DEBTS
VENDOR DISCOUNTS
  Food and beverage, exempted contribution/expenditure, 
      Sec. 100.7(b)(7); Sec. 100.8(b)(8); Sec. 114.1(a)(2)(v)
VICE PRESIDENTIAL CANDIDATE
  See: CANDIDATE FOR PRESIDENT
VIOLATION
  Of contribution/expenditure prohibitions and limitations, 
      Sec. 110.9(a)
  Prohibited contributions, Sec. 110.4
  See also: COMPLIANCE
VOLUNTEER ACTIVITY
  Campaign materials, See: CAMPAIGN MATERIALS
  Church or community room, Sec. 100.7(b)(5); Sec. 100.8(b)(6)
  Corporate/labor facilities and resources used for, Sec. 114.2(f); 
      Sec. 114.9(a) and (b)
  Expenditures made by delegate/delegate committee, Sec. 110.14(f)(1) 
      and (i)(1)
  Food, beverage and invitations, Sec. 100.7(b)(6); Sec. 100.8(b)(7)
  Legal and accounting services, See: LEGAL AND ACCOUNTING SERVICES
  Living expenses, Sec. 100.7(b)(8); Sec. 100.8(b)(9)
  Personal services, Sec. 100.7(b)(3)
  Residential premises, Sec. 100.7(b)(4); Sec. 100.8(b)(5)
  Salary owed to committee staff converted to, Sec. 116.6
  Travel, Sec. 100.7(b)(8); Sec. 100.8(b)(9)
  Vendor discount of food/beverage, Sec. 100.7(b)(7); Sec. 100.8(b)(8); 
      Sec. 114.1(a)(2)(v)
VOTER DRIVES
  By corporation/labor organization
    -- to general public, Sec. 114.4(c) and (d)

[[Page 348]]

    -- to restricted class, Sec. 114.3(c)(4)
  Candidate records and voter guides, See: VOTER GUIDES AND VOTING 
      RECORDS
  Disclaimer notice required, Sec. 110.11(a)(1) and (4)
  Distribution of voting information at place of employment, 
      Sec. 114.4(c)(3)
  Generic, allocation of federal/nonfederal expenses for, See: 
      ALLOCATION OF EXPENSES
  Not attributable to specific candidate, Sec. 106.1(c)(2)
  Party committee-sponsored
    -- disclaimer notice required, Sec. 110.11(a)(1), (2) and (4)
    -- Presidential nominee, on behalf of, Sec. 100.7(b)(17); 
      Sec. 100.8(b)(18); Sec. 106.1(c)(3)
  Presidential election
    -- by party, Sec. 100.7(b)(17); Sec. 100.8(b)(18); Sec. 106.1(c)(3); 
      Sec. 110.11(a)(4)
    -- telephone programs for, Sec. 106.2(b)(2)(iv)
  See also: COMMUNICATIONS/ADVERTISING
VOTER GUIDES AND VOTING RECORDS
  By corporation/labor organization, Sec. 114.4(c)(4) and (5)
  Coordination with candidates, Sec. 100.23(d)
  See also: COMMUNICATIONS/ADVERTISING
VOTING AGE POPULATION
  Basis of expenditure limitations for
    -- coordinated party, Sec. 110.7(a)(2) and (b)(2)(i)(A)
    -- for Presidential candidate, Sec. 110.8(a)(1)
  Definition, Sec. 110.9(d)

[[Page 349]]

         GENERAL ELECTION FINANCING, PARTS 9001-9007 AND 9012 *
---------------------------------------------------------------------------

  * This index makes occasional reference to parts 102-116 of 11 CFR, 
governing Federal election activity.
---------------------------------------------------------------------------


                                    A

ACCOUNTS
  See: CAMPAIGN DEPOSITORY
ADJUSTMENT OF ENTITLEMENT
  See: ENTITLEMENT; PAYMENTS
AGREEMENT
  Candidate agrees to
    -- accept burden of proof, Sec. 9003.1(b)(1)
    -- comply with Act and regulations, Sec. 9003.1(b)(8)
    -- comply with documentation requirements, Sec. 9003.1(b)(2)
    -- file reports electronically, Sec. 9003.1(b)(11)
    -- furnish computerized records, if kept, Sec. 9003.1(b)(4)
    -- identify depositories, Sec. 9003.1(b)(7)
    -- identify treasurer, Sec. 9003.1(b)(7)
    -- keep books and records, Sec. 9003.1(b)(4)
    -- make repayments, Sec. 9003.1(b)(6)
    -- pay civil penalty, if required, Sec. 9003.1(b)(9)
    -- permit/facilitate audit and examination, Sec. 9003.1(b)(6)
    -- provide explanation/additional information, Sec. 9003.1(b)(3), 
      (4) and (5); Sec. 9012.4
    -- use closed captioning in television ads, Sec. 9003.1(b)(10)
  Eligibility for payments requires, Sec. 9003.1(a)(1)
  Submission dates for, Sec. 9003.1(a)(2)
  See also: ELIGIBILITY
ALLOCATION
  Alternative methods of determining compliance-related costs, 
      Sec. 9003.3(a)(2)(ii)(F) and (b)(7)
  Of expenditures among states, Sec. 106.2
  Of travel expenditures, Sec. 9004.7
  Recordkeeping, Sec. 9003.3(a)(2)(ii)(A) and (3)
AUDIT AND EXAMINATION
  Additional, Sec. 9007.1(a)(2); Sec. 9007.4
  Agreement to permit, Sec. 9003.1(b)(6)
  Committee response to, Sec. 9007.1(c)
    -- extension of time for, Sec. 9007.3
    -- repayment determination, Sec. 9007.2(a)(2)
  Computerized records provided for, Sec. 9003.1(b)(4); Sec. 9003.6; 
      Sec. 9007.1(b)(1)
  Exit Conference, Sec. 9007.1(b)(2)(iii)
  Fieldwork, Sec. 9007.1(b)
    -- conduct of, Sec. 9007.1(b)(1)
    -- exit conference, Sec. 9007.1(b)(2)(iii)
    -- information provided to committee, Sec. 9007.1(b)(2), (3) and (4)
    -- records, office and staff provided for, Sec. 9007.1(b)(1)
    -- settlement of dispute arising during, Sec. 9007.1(b)(1)(iv)
  Investigative procedures, Sec. 9007.1(b)(1)(v)
    Preliminary Audit Report, 9007.1(c)
  Report, prepared by FEC, 9007.1(d)-(f)
    -- copy to committee, Sec. 9007.1(e)(3)
    -- copy to public, Sec. 9007.1(d)(2) and (e) (1) and (2)

[[Page 350]]

    -- preparation of, Sec. 9007.1(d)
    -- public release of, Sec. 9007.1(e)
  Sampling, Sec. 9007.1(f)
  See also: REPAYMENTS
AUTHORIZED COMMITTEE
  Candidate's responsibilities, references to include, Sec. 9002.1(d)
  Definition, Sec. 9002.1
  Expenses incurred by, are qualified campaign expenses, Sec. 9002.11(b)
  Expenses incurred by, in excess of entitlement, Sec. 9012.1
  National committee may be designated as, Sec. 9002.1(c)
  Recordkeeping by, See: RECORDKEEPING
  Reporting by, Sec. 9003.3(a)(3)(ii) and (b)(11); Sec. 9003.4(c); 
      Sec. 9006.1; Sec. 9006.3
  Stale-dated committee checks, Sec. 9007.6
  Support of other candidates by, Sec. 9002.11(b)(3)
  Withdrawal of authorization, Sec. 9002.1(b)
  See also: CANDIDATE; POLITICAL COMMITTEE


                                    C

CAMPAIGN DEPOSITORY
  Candidate agreement, Sec. 9003.1(b)(7)
  Compliance fund, major party candidate, Sec. 9003.3(a)(3)
  Individuals' contributions, depository for, Sec. 9003.2(c)(6); 
      Sec. 9003.3(a)(3), (b)(2) and (c)(3); Sec. 9003.4(c); 
      Sec. 9005.2(c)
  Loans for expenses incurred prior to receipt of funds, Sec. 9003.4(c)
  Minor or new party candidates, Sec. 9003.3(c)(3)
  Pledged future receipts, separate, Sec. 100.7(b)(11)(i)(B); 
      Sec. 100.8(b)(12)(i)(B)
  Public funds, depository for, Sec. 9005.2(c)
  Segregation of compliance and public funds, Sec. 9003.3(a)(3)(i)
CANDIDATE
  Agreements, Sec. 9003.1
    See also: AGREEMENT
  Authorized committee of, See: AUTHORIZED COMMITTEE
  Certification by, Sec. 9003.2
    See also: CERTIFICATION
  Compliance, Sec. 9003.1(b)(8)
  Credit card used by, Sec. 9003.2(c)(8)
  Definition, Sec. 9002.2
  Eligible, defined, Sec. 9002.4
    See also: ELIGIBILITY
  Entitlement of, See: ENTITLEMENT
  Family of, Sec. 9003.2(c)(1)
  Independent, Sec. 9002.7
  Major party candidate
    -- certification of, Sec. 9003.2(a)
    -- definition of, Sec. 9002.2(a)(1)
    -- entitlement of, Sec. 9004.1
  Minor party candidate
    -- certification of, Sec. 9003.2(b)
    -- definition of, Sec. 9002.7
    -- entitlement of, Sec. 9004.2; Sec. 9004.3
  New party candidate
    -- certification of, Sec. 9003.2(b)
    -- definition of, Sec. 9002.8
    -- entitlement of, Sec. 9004.2
    -- post-election payments to, Sec. 9004.3
  Payments to, Sec. 9004.4(b)(6)
  Personal funds of, Sec. 9003.2(c)

[[Page 351]]

  Support of other candidates by, Sec. 9002.11(b)(3)
  Vice Presidential
    -- authorized committee of, Sec. 9002.1(a)
    -- certification of, Sec. 9003.2(a) and (b)
    -- contributions to, Sec. 9035.3
    -- definition, Sec. 9002.2(a)(1)
    -- eligibility, Sec. 9002.4
    -- expenditures by, Sec. 9035.3
    -- expenditures for, Sec. 9002.11(b)(1)
    -- personal funds of, Sec. 9003.2(c)(4)
  Withdrawal by, Sec. 9004.8
    -- eligibility ceases, Sec. 9004.8(b)
    -- repayment required, Sec. 9004.9(c)
CERTIFICATION
  Administrative record for, Sec. 9007.7
  By FEC to Secretary of Treasury
    -- finality of, Sec. 9005.1(d)
    -- for major party candidates, Sec. 9005.1(a)
    -- for minor/new party candidates, post-election, Sec. 9005.1(c)
    -- for minor/new party candidates, pre-election, Sec. 9005.1(b)
    -- payments by Secretary based on receipt of, Sec. 9005.2
  By major party candidate to FEC, Sec. 9003.2(a) and (c)
    -- contribution limitations, Sec. 9003.2(a)(2)
    -- deadline for submission, Sec. 9003.2(d)
    -- expenditure limitations, Sec. 9003.2(a)(1)
    -- personal and family expenditures, limitations on, Sec. 9003.2(c)
  By minor/new party candidate to FEC, Sec. 9003.2(b) and (c)
    -- contribution limitations, Sec. 9003.2(b)(2)
    -- deadline for submission, Sec. 9003.2(d)
    -- expenditure limitations, Sec. 9003.2(b)(1)
    -- personal and family expenditures, limitations on, Sec. 9003.2(c)
    See also: ENTITLEMENT; PAYMENTS
COMMISSION
  Definition, Sec. 9002.3
COMPLIANCE FUND
  See: LEGAL AND ACCOUNTING COMPLIANCE FUND
CONTRIBUTIONS
  Allowable, Sec. 9003.3
  Corporate/labor, prohibited, Sec. 9003.3(a)(1)(i)(B), (b)(4) and 
      (c)(2)
  Definition, Sec. 9002.13
  Disgorgement of illegal, Sec. 9007.1(f)(3)
  From family members or personal funds, Sec. 9003.2(c)
  Legal and accounting compliance fund, Sec. 9003.3(a)(1) and (c)(3)(iv)
  Limitations and prohibitions, Sec. 9003.3(a)(1)(i)(B), (b)(4) and 
      (c)(2)
  Redesignation of, Sec. 9003.3(a)(1)
  Reporting of, Sec. 9006.1(b)(1)(i) and (ii)
  Solicitation of
    -- by major party candidate, Sec. 9003.3(a) and (b)
    -- by minor/new party candidate, Sec. 9003.3(c)
  Source of repayment, Sec. 9007.2(a)(4)
  Used for qualified campaign expenses, See: QUALIFIED CAMPAIGN EXPENSES
  See also: LEGAL AND ACCOUNTING COMPLIANCE FUND; QUALIFIED CAMPAIGN 
      EXPENSES
CONVENTION FUNDING
  See: PART 9008


                                    D

DEBTS AND SETTLEMENTS
  Assignment of, to affiliated committee, Sec. 116.2(c)(3)

[[Page 352]]

  Determination of uncollectability, Sec. 9004.9(e)
  For nonqualified expenses, Sec. 9004.9(a)(3)
  Settlement, repayment obligations not subject to, Sec. 116.7(c)(1)
  Used to reduce expenditures counting against limit, Sec. 9004.4(b)(2)
DEFICIENCY IN FUND
  Minor/new party candidate entitlement, adjusted due to, 
      Sec. 9004.3(b)(2)
  Payment withheld due to, Sec. 9005.2(b)
  Sale of assets acquired for fundraising permitted if, Sec. 9004.10
  Solicitation of contributions, major party candidate
    -- campaign depository for, Sec. 9003.2(a)(2); Sec. 9003.3(b)(2)
    -- cost of solicitation, Sec. 9003.3(b)(5) and (6)
    -- limitations and prohibitions applicable, Sec. 9003.3(b)(4)
    -- reporting of, Sec. 9006.1(b)(1)(i)
    -- to defray qualified campaign expenses only, Sec. 9003.3(b)(2)
    -- transfer from legal and accounting compliance fund, 
      Sec. 9003.3(b)(3)
DEFINITIONS
  Authorized committee, Sec. 9002.1(a)
  Candidate, Sec. 9002.2
  Capital assets, Sec. 9004.9(d)(1)
  Cash on hand, Sec. 9004.9(a)(2)(i)
  Closing date, Sec. 9003.2(c)(8)
  Commission, Sec. 9002.3
  Contribution, Sec. 9002.13
  Eligible candidates, Sec. 9002.4
  Expenditure report period, Sec. 9002.12
  Fund, Sec. 9002.5
  Immediate family, Sec. 9003.2(c)(1)
  Major party, Sec. 9002.6
  Minor party, Sec. 9002.7
  New party, Sec. 9002.8
  Payee, Sec. 9003.5(b)(3)(i)
  Personal funds, Sec. 9003.2(c)(3)
  Political committee, Sec. 9002.9
  Presidential election, Sec. 9002.10
  Purpose of campaign expense, Sec. 9003.5(b)(3)(ii)
  Qualified campaign expense, Sec. 9002.11
  Secretary, Sec. 9002.14
DISBURSEMENTS
  Agreement to document, Sec. 9003.1(b)(2)-(6)
  Disgorgement, Sec. 9007.1(f)(3)
  Documentation required for, Sec. 9003.5(b)
  From legal/accounting compliance fund, Sec. 9003.3(a)(3)(ii)
  Reporting of, Sec. 9006.1
  See also: EXPENDITURES
DOCUMENTATION
  Candidate agreement, Sec. 9003.1(b)(2)-(5)
  Of disbursements, Sec. 9003.5
  See also: AGREEMENT; CERTIFICATION; RECORDKEEPING


                                    E

ELECTION
  Expenditure report period for, Sec. 9002.12
  Party status defined by results of
    -- major, Sec. 9002.6
    -- minor, Sec. 9002.7
    -- new, Sec. 9002.8
  Post-election payments based on result of
    -- minor/new party candidate, Sec. 9004.3

[[Page 353]]

  Pre-election payments based on result of previous
    -- minor party candidate, Sec. 9004.2(a) and (b)
    -- new party candidate, Sec. 9004.2(c)
  Presidential, defined, Sec. 9002.10
ELIGIBILITY
  Administrative record for determinations of, Sec. 9007.7
  Agreement required to establish, Sec. 9003.1
  Certification required to establish, Sec. 9003.2
  Eligible candidates, defined, Sec. 9002.4
  FEC certification of, to Secretary, Sec. 9005.1
  Withdrawal terminates, Sec. 9004.8(a)
  See also: AGREEMENT; CERTIFICATION
ENTITLEMENT
  Adjustment of, due to deficiency in fund, Sec. 9004.3(b)(2); 
      Sec. 9005.2(b)
  Expenditures exceed, Sec. 9012.1
  Major party candidate, maximum amount of, Sec. 9004.1; 
      Sec. 9004.3(b)(2) and (c)
  Minor/new party candidate
    -- election results determine, Sec. 9004.3(a)
    -- maximum amount of, Sec. 9004.3(b) and (c)
    -- net outstanding qualified campaign expenses, Sec. 9004.9
    -- pre-election, Sec. 9004.2
  Payment to candidates, See: PAYMENTS
  Withdrawal of candidate affects, Sec. 9004.8
EXPENDITURES
  Committee policy for, Sec. 9003.5(b)(1)(iv)
  Disposition of stale-dated committee checks, Sec. 9007.6
  Documentation of, Sec. 9003.1(b)(2)-(6); Sec. 9003.5
  Expenditure report period, Sec. 9002.12
  Legal and accounting compliance expenses, See: LEGAL AND ACCOUNTING 
      COMPLIANCE FUND
  Limitations
    -- major party candidate, Sec. 9003.2(a)(1)
    -- minor/new party candidate, Sec. 9003.2(b)(1)
    -- party committee, Sec. 110.7(a)
    -- personal and family funds, Sec. 9003.2(c)
    -- Vice Presidential candidate, Sec. 9003.2(c)(4)
  Limitations, exceptions, See: QUALIFIED CAMPAIGN EXPENSES
  Nonqualified campaign expenses
    -- civil or criminal penalties, Sec. 9004.4(b)(4)
    -- incurred after expenditure report period, Sec. 9004.4(b)(3)
    -- incurred in excess of limitations, Sec. 9004.4(b)(2); Sec. 9012.1
    -- incurred to support other candidate, Sec. 9002.11(b)(3)
    -- lost, misplaced, or stolen items, Sec. 9004.4(b)(8)
    -- net loss resulting from investment of funds, Sec. 9004.5
    -- payments to candidate, Sec. 9004.4(b)(6)
    -- solicitation costs, major party candidate, Sec. 9004.4(b)(5)
    -- transfer to another campaign, Sec. 9004.4(b)(7)
  Reporting, Sec. 9006.1; Sec. 9006.3
  Travel
    -- for campaign staff, Sec. 9004.7
    -- for media personnel, Sec. 9004.6
    -- for Secret Service, Sec. 9004.6
    See also: TRAVEL
  Unauthorized, Sec. 9012.6
  Use of credit card for, Sec. 9003.2(c)(8)
  Use of public funds for, See: QUALIFIED CAMPAIGN EXPENSES

[[Page 354]]

                                    F

FILING
  Dates, Sec. 104.5; Sec. 9006.2
  Electronic, required, Sec. 9003.1(b)(11)
  See also: REPORTING
FUNDRAISING
  See: CONTRIBUTIONS; LEGAL AND ACCOUNTING COMPLIANCE FUND
FUNDS
  See: ENTITLEMENT; PAYMENTS; USE OF FUNDS


                                    G

GELAC FUND
  See: LEGAL AND ACCOUNTING COMPLIANCE FUND (GELAC FUND)
GENERAL ELECTION
  See: ELECTION
GOVERNMENT CONTRACTOR
  Contributions from, prohibited, Sec. 9003.3(a)(1)(i)(B), (b)(4) and 
      (c)(2)


                                    I

INVESTMENT OF PUBLIC FUNDS
  Permissible, Sec. 9004.5
  Repayment of income/loss resulting from, Sec. 9004.5; 
      Sec. 9007.2(b)(4)


                                    L

LABOR ORGANIZATION
  Contributions from, prohibited, Sec. 9003.3(a)(1)(i)(B), (b)(4) and 
      (c)(2)
LEGAL AND ACCOUNTING COMPLIANCE FUND (GELAC FUND)
  Contributions to, Sec. 9003.3(a)(1)
    -- designation of contributions for, Sec. 9003.3(a)(1)(i)(C) and 
      (vi)
    -- redesignation of contributions to, Sec. 9003.3(a)(1)(ii)-(v)
    -- subject to limitations and prohibitions, Sec. 9003.3(a)(1)(i)(B)
  Establishment of, prior to nomination, Sec. 9003.3(a)(1)(i)
  Expenditures from, exempt from limitations, Sec. 9003.3(a)(2)(iii)
  Recordkeeping, Sec. 9003.3(a)(3)(ii)
  Reporting, Sec. 9003.3(a)(3)(ii); Sec. 9006.1(b)(2)
  Separate account required for, Sec. 9003.3(a)(3)(i)
  Solicitations for, Sec. 9003.3(a)(1)(i)(A) and (2)(i)(E)
  Transfers into GELAC fund, Sec. 9003.3(a)(1)(ii)-(v)
  Uses of funds in
    -- administrative expenses, Sec. 9003.3(a)(2)(i)(B) and (ii)
    -- civil and criminal penalties, payment of, Sec. 9003.3(b)(2)(i)(C)
    -- computer costs, Sec. 9003.3(a)(2)(ii)(D) and (E)
    -- defraying expenses incurred prior to expenditure report period, 
      Sec. 9003.4(a)(2)
    -- legal and accounting services, Sec. 9003.3(a)(2)(i)(A) and (B)
    -- repayments, Sec. 9003.3(a)(2)(i)(D)
    -- transfers to other accounts, Sec. 9003.3(a)(2)(iv)
    -- transportation and services for Secret Service, 
      Sec. 9003.3(a)(2)(i)(H)
LOANS
  Incurred for qualified campaign expenses, Sec. 9003.4(b)
  Public funds used to repay, Sec. 9004.4(a)(2)
  Repayment of, Sec. 9003.4(b)
  Source of
    -- banks, Sec. 9003.4(b)(1)
    -- excess primary campaign funds, Sec. 9003.4(b)(4)(i)
    -- legal and accounting compliance fund, Sec. 9003.3(a)(2)(i)(G) and 
      (iii)
    -- personal funds, Sec. 9003.4(a)(5)

[[Page 355]]

                                    M

MAJOR PARTY
  Candidate adherence to limitations on
    -- contributions, Sec. 9003.2(a)(2)
    -- expenditures, Sec. 9003.2(a)(1)
  Definition, Sec. 9002.6
  Entitlement, Sec. 9004.1
  Reports, See: REPORTING
MEDIA
    -- Expenditure for transportation and services provided to, 
      Sec. 9004.6
MINOR PARTY
  Candidate adherence to limitations on
    -- contributions, Sec. 9003.2(b)(2)
    -- expenditures, Sec. 9003.2(b)(1)
  Definition, Sec. 9002.7
  Entitlement for
    -- post-election payments, Sec. 9004.3(a)
    -- pre-election payments, Sec. 9004.2
  Reports, See: REPORTING


                                    N

NATIONAL PARTY COMMITTEE
  Convention expenses in excess of entitlement, Sec. 9012.1(b)
  Designated as candidate's principal campaign committee, Sec. 9002.1(c)
  Expenditure limitations, Sec. 110.7(a)
  Kickbacks given or accepted by, Sec. 9012.5
NET OUTSTANDING QUALIFIED CAMPAIGN EXPENSES
  Assets included in computation of, Sec. 9004.9(d); Sec. 9007.2(g)
  Collectability of accounts receivable, Sec. 9004.9(e)
  Commission review of statement, Sec. 9004.9(f)
  Computation of, Sec. 9004.9(a) and (d)
  Date for filing statement of
    -- all candidates, Sec. 9004.9(b)
    -- candidates who withdraw prior to election, Sec. 9004.8(b)(2); 
      Sec. 9004.9(c)
  Determines post-election funding, Sec. 9004.9(f)(2); Sec. 9005.1(c)
  Exemptions from outstanding obligations, Sec. 9004.9(a)(3)
  Statement of, required, Sec. 9004.9
  Winding down costs included, Sec. 9004.9(a)(1)(iii)
  See also: PAYMENTS; REPAYMENTS
NEW PARTY
  Candidate adherence to limitations on
    -- contributions, Sec. 9003.2(b)(2)
    -- expenditures, Sec. 9003.2(b)(1)
  Definition, Sec. 9002.8
  Entitlement, Sec. 9004.2; Sec. 9004.3
  Reports, Sec. 9006.1
NONQUALIFIED CAMPAIGN EXPENSES
  See: EXPENDITURES
NOTIFICATIONS
  By candidate to FEC concerning
    -- disputed initial determination, Sec. 9005.1(b)(2) and (c)(4)
    -- disputed repayment, Sec. 9007.2(c)
    -- extension of time, request for, Sec. 9007.3
    -- newly discovered assets, Sec. 9007.2(g)
    -- post-election entitlement, Sec. 9004.9(f)(2)
    -- stale-dated committee checks, Sec. 9007.6
    -- withdrawal of candidacy, Sec. 9004.8(b)(2)
  By FEC to candidate concerning
    -- additional repayment, Sec. 9007.2(f)

[[Page 356]]

    -- final audit report, Sec. 9007.1(e)(3)
    -- repayment, Sec. 9007.2(a)(2), (b) and (c)(1)
  See also: REPORTING


                                    P

PARTY
  See: MAJOR PARTY; MINOR PARTY; NATIONAL PARTY COMMITTEE; NEW PARTY
PAYMENTS
  Audit may affect, Sec. 9007.1
  Campaign depository for
    -- major party candidate, must be separate, Sec. 9005.2(c)
    -- minor party candidate, Sec. 9003.3(c)(3)
  Deficiency in, See: DEFICIENCY IN FUND
  Eligibility for, certification by FEC of, Sec. 9003.1(a)(1)
    -- major party candidate, Sec. 9003.2(a)
    -- minor/new party candidate, Sec. 9003.2(b)
  Entitlement to funds
    -- major party candidate, Sec. 9004.1
    -- minor/new party candidate, Sec. 9004.2; Sec. 9004.3
    See also: ENTITLEMENT
  FEC certification to Secretary of Treasury, Sec. 9005.2(a)
  Future, used as loan collateral, Sec. 100.7(b)(11)(i)(B); 
      Sec. 100.8(b)(12)(i)(B)
  Investment of, Sec. 9004.5; Sec. 9007.2(b)(4)
  Secretary of Treasury makes, Sec. 9005.2(a) and (b)
  Unlawful use of, Sec. 9012.3
  Use of, for qualified campaign expenses only, Sec. 9004.4(a)
  Withheld, if deficiency in fund, Sec. 9005.2(b)
  See also: QUALIFIED CAMPAIGN EXPENSES; REPAYMENTS
PERSONAL FUNDS
  Definition, Sec. 9003.2(c)(3)
  Expended prior to expenditure report period, Sec. 9003.4(b)(5)
  Expenditures from, by Vice Presidential candidate, Sec. 9003.2(c)(4)
  Liability for repayments, Sec. 9003.2(c)(7)
  Limitations on, Sec. 9003.2(c)
  Reporting of, Sec. 9006.1(b)(1)(iv)
  Source of repayment, Sec. 9007.2(a)(4)
POLITICAL COMMITTEE
  Definition, Sec. 9002.9
  See also: AUTHORIZED COMMITTEE
POST-ELECTION PAYMENTS
  See: ENTITLEMENT; PAYMENTS
PRESIDENTIAL ELECTION CAMPAIGN FUND
  See: PAYMENTS; SECRETARY OF THE TREASURY
PRINCIPAL CAMPAIGN COMMITTEE
  See: AUTHORIZED COMMITTEE
PUBLIC FUNDS
  See: ENTITLEMENT; PAYMENTS; REPAYMENTS; USE OF FUNDS


                                    Q

QUALIFIED CAMPAIGN EXPENSES
  Authorized committees incur, Sec. 9002.1; Sec. 9002.11(b)
  Burden of proof on candidate, Sec. 9003.1(b)(1); Sec. 9003.5(a)
  Certification not to exceed limitations on
    -- major party candidate, Sec. 9003.2(a)
    -- minor party candidate, Sec. 9003.2(b)

[[Page 357]]

  Contributions solicited to defray, by minor/new party candidate
    -- administrative costs, Sec. 9003.3(c)(6), (7) and (8)
    -- campaign depository for, Sec. 9003.3(c)(3)
    -- legal and accounting compliance costs, Sec. 9003.3(c)(6), (7) and 
      (8)
    -- limitations and prohibitions, Sec. 9012.2
    -- reporting of, Sec. 9003.3(c)(4) and (9); Sec. 9006.1(b)(1)(ii)
    -- solicitation costs, Sec. 9003.3(c)(5)
    -- to supplement public funds, Sec. 9003.3(c)(1)
  Definition, Sec. 9002.11(a)
  Defrayal of, if candidate withdraws, Sec. 9004.8(b)(1)
  Documentation required for, Sec. 9003.1(b)
  Expenditures in excess of limitations, Sec. 9007.2(b)(2)(ii)(A); 
      Sec. 9012.1
  Furthering election of other candidates, Sec. 9002.11(b)(3)
  Gifts and bonuses, Sec. 9004.4(a)(5)
  Incurred before expenditure report period, Sec. 9002.11(c); 
      Sec. 9003.4(a)
  Incurred on behalf of Vice Presidential candidate, Sec. 9002.11(b)(1)
  Legal and accounting compliance costs, See: LEGAL AND ACCOUNTING 
      COMPLIANCE FUND
  Loans incurred for, Sec. 9003.4(b)
  Media personnel, transportation and services provided to, Sec. 9004.6
  Net outstanding, statement of, Sec. 9004.9
  Nonqualified, See: EXPENDITURES
  Polling costs, Sec. 9003.4(a)(1)
  Recordkeeping, Sec. 9003.1(b)(1); Sec. 9003.5
  Reporting, Sec. 9006.1
  Secret Service personnel, Sec. 9004.6
  Solicitation of contributions by major party candidate, See: 
      DEFICIENCY IN FUND
  Travel, Sec. 9004.7
    See also: TRAVEL
  Unauthorized expenditures, limitations for, Sec. 9012.6
  Use of personal funds for, Sec. 9003.4(c)
  Use of public funds for, Sec. 9004.4(a)
  Use of public funds for other than, Sec. 9007.2(b)(2)
  Winding down costs, Sec. 9004.4(a)(4)


                                    R

RECORDKEEPING
  Candidate agreement, Sec. 9003.1(b)(4)
  Capital and other assets, Sec. 9003.5(d)
  Computerized records, production of, Sec. 9003.1(b)(4); Sec. 9003.6
  Documentation requirements
    -- candidate and committee agreements, Sec. 9003.1(b)
    -- collectability of accounts receivable, Sec. 9004.9(e)
    -- computer tapes, Sec. 9003.1(b)(4)
    -- disbursements, Sec. 9003.5
    -- other organizations related to candidate, Sec. 9003.1(b)(5)
  Falsification in, Sec. 9012.4
  Legal/accounting compliance fund, Sec. 9003.3(a)(3) and (c)(4)
  Production of computer tapes and software, Sec. 9003.1(b)(4)
  Qualified campaign expenses, Sec. 9003.1(b); Sec. 9003.3(b)(2); 
      Sec. 9003.5
  Retention of records, Sec. 9003.5(c)
REIMBURSEMENTS
  For travel by media personnel, Sec. 9004.6
  In computing qualified campaign expenses, Sec. 9002.11(b)(4)
  May be deposited with public funds, Sec. 9005.3(d)
REPAYMENTS
  Additional, Sec. 9007.2(f)

[[Page 358]]

  Administrative record for determinations, Sec. 9007.7
  Bases for
    -- assets newly discovered, Sec. 9007.2(g)
    -- funds remain after qualified campaign expenses paid, 
      Sec. 9007.2(b)(3)
    -- funds used for nonqualified campaign expenses, Sec. 9007.2(b)(2)
    -- investment of funds results in income, Sec. 9004.5; 
      Sec. 9007.2(b)(4)
    -- payments exceed entitlement, Sec. 9007.2(b)(1)
    -- unlawful contributions accepted, major party candidate, 
      Sec. 9007.2(b)(5)
  Candidate agreement to make, if required, Sec. 9003.1(b)(6)
  Committee response to FEC determination, Sec. 9007.2(c)(2)
    -- extension of time, Sec. 9007.3
  Determination of, Sec. 9007.2
  Effect of failure to raise issues, Sec. 9007.5(b)
  Interest assessed on, Sec. 9007.2(d)(3); Sec. 9007.5(c)(4)
  Liability of candidate, Sec. 9003.2(c)(7)
  Limitation of total amount, Sec. 9007.2(h)
  Notification of need for making, Sec. 9007.2(a)(2)
  Petition for rehearing, Sec. 9007.2(i); Sec. 9007.5(a) and (b)
  Priority over other debts, Sec. 9007.2(a)(3)
  Procedures used to determine, Sec. 9007.2(c)
  Settlement for less than amount owed, prohibited, Sec. 116.7(c)(1)
  Sources of, Sec. 9007.2(a)(4)
  Stale-dated committee checks, Sec. 9007.6
  Stay of determination, Sec. 9007.2(i); Sec. 9007.5(c)
    -- criteria for approval, Sec. 9007.5(c)(2) and (3)
    -- payment of interest, Sec. 9007.5(c)(4)
    -- request for, Sec. 9007.5(c)(1)
  Time limitation
    -- computation of, Sec. 9007.2(e)
    -- for Commission to determine need for, Sec. 9007.2(a)(2) and (f)
    -- for committee to dispute determination, Sec. 9007.2(c)(2)(i)
    -- for committee to make, Sec. 9007.2(d)
REPORTING
  Alphabetized schedules, Sec. 9006.3
  Amounts borrowed from primary campaign, Sec. 9003.4(c)
  By authorized committee, part 9006
  Contributions, Sec. 9003.3(a)(3), (b)(2) and (c)(4); 
      Sec. 9006.1(b)(1)(i) and (ii); Sec. 9006.3
  Electronic filing of reports, required, Sec. 104.18; 
      Sec. 9003.1(b)(11)
  Expenditures, Sec. 9006.1(b); Sec. 9006.3
  Falsification of reports, Sec. 9012.4
  Filing dates, Sec. 104.5(b); Sec. 9006.2
  GELAC fund, Sec. 9003.3(a)(3)(ii); Sec. 9006.1(b)(2)
  General election expenses, Sec. 9006.1(b)(1)
  Legal and accounting services, Sec. 9002.11(b)(5)
  Loans from primary election account, Sec. 9003.4(c)
  Reports required, Sec. 9006.1(b)
  Separate reports, Sec. 9006.1
  Travel expenses, Sec. 9004.6(e); 9004.7


                                    S

SECRETARY OF THE TREASURY
  Definition, Sec. 9002.14
  FEC certification to, Sec. 9005.1
  Payment to candidate, Sec. 9005.2(a)
  Repayment to Treasury, See: REPAYMENTS
SETTLEMENTS
  See: DEBTS AND SETTLEMENTS
SOLICITATION OF CONTRIBUTIONS
  See: CONTRIBUTIONS

[[Page 359]]

STATE
  Qualification for State ballots defines candidates, Sec. 9002.2(a)(2)
  Support of candidates for State office, Sec. 9002.11(b)(3)
STATE PARTY
  Expenditure limitations, Sec. 110.7(a)


                                    T

TRANSFERS
  From GELAC fund to primary election account, Sec. 9003.3(a)(2)(iv)
  From primary election account to GELAC fund, Sec. 9003.3(a)(1)(ii)-(v)
  Loans to general election account
    -- from GELAC fund, Sec. 9003.3(a)(2)(i)(G), (a)(2)(iii) and (b)(3); 
      Sec. 9003.4(b)(2)
    -- from primary election account, Sec. 9003.3(b)(3); 
      Sec. 9003.4(b)(4)
  To campaign for different election, Sec. 110.3(c)(4) and (5); 
      Sec. 9004.4(b)(7)
TRAVEL
  Allocation of expenditures for, Sec. 9004.7
  Commercial transportation used for, Sec. 9004.7(b)(7)
  Computing campaign- and noncampaign-related costs, Sec. 9004.7(b)(1) 
      and (2)
  Corporate conveyance used, Sec. 114.9(e); Sec. 9004.7(b)(8)
  Government conveyance used, Sec. 9004.7(b)(4) and (5)
  Itinerary required, Sec. 9004.7(b)(3)
  Media personnel, transportation and services provided to, Sec. 9004.6
  Passenger list required, Sec. 9004.7(b)(4)
  Qualified campaign expense for campaign-related, Sec. 9004.7(a)
  Reimbursement to government, Sec. 9004.7(b)(5)
  Reporting of, Sec. 9004.6(c); Sec. 9004.7
  Secret Service, costs of, Sec. 9003.3(a)(2)(i)(H); Sec. 9004.6
  Spouse or family, costs for, Sec. 9004.7(b)(6)
  Staff's costs, Sec. 9004.7(a)


                                    U

UNAUTHORIZED COMMITTEE
  Contributions and expenditures by, Sec. 9012.6
USE OF FUNDS
  Contributions from individuals, uses for
    -- make up deficiency in payments, Sec. 9003.3(b)(1)
    -- may not pay primary debt, Sec. 9003.3(a)(2)(iv)
    -- must be segregated from public funds, Sec. 9003.3(a)(3)
    -- legal and accounting compliance costs, Sec. 9003.3(a)
  Legal and accounting compliance fund, uses of, Sec. 9003.3(a)(2)
    -- See also: LEGAL AND ACCOUNTING COMPLIANCE FUND (GELAC FUND)
  Public funds used by candidate
    -- control over, Sec. 9005.3(a)
    -- defray qualified campaign expenses, Sec. 9004.4(a)(1)
    -- gifts and bonuses, Sec. 9004.4(a)(5)
    -- investment, Sec. 9004.5; Sec. 9007.2(a)(6)
    -- loan repayment, Sec. 9004.4(a)(2)
    -- support other candidates, Sec. 9002.11(b)(3)
    -- transfer to previous campaign, Sec. 9004.4(b)(7)
    -- winding down costs, Sec. 9004.4(a)(4)
  See also: QUALIFIED CAMPAIGN EXPENSES


                                    V

VICE PRESIDENTIAL CANDIDATE
  See: CANDIDATE

[[Page 361]]

   FEDERAL FINANCING OF PRESIDENTIAL NOMINATING CONVENTIONS, PART 9008


                                    A

ACCOUNTS
  Maintained by convention committee
    -- for deposit of private and public funds, Sec. 9008.3(a)(4)(iii); 
      Sec. 9008.6(a)(3)
    -- limitation on payments from, Sec. 9008.4(c)
    -- records for, furnished when requested by FEC, Sec. 9008.10(f)
ADMINISTRATIVE EXPENSES
  Host committee's, defrayed by contributions, Sec. 9008.52(c)(1)(iv)
  National committee's, defrayed by public funds, Sec. 9008.7(a)(4)(x)
AGREEMENTS
  By convention committee, letter of agreement, Sec. 9008.3(a)(1) and
      (4)
    -- binding also for national committee, Sec. 9008.3(a)(4)
    -- date for filing, Sec. 9008.3(a)(5)
    -- to comply with expenditure limitations, Sec. 9008.3(a)(4)(i)
    -- to comply with Federal Election Campaign Act and FEC regulations, 
      Sec. 9008.3(a)(4)(vii)
    -- to establish accounts, Sec. 9008.3(a)(4)(iii)
    -- to file convention reports, Sec. 9008.3(a)(4)(ii)
    -- to furnish books, records and computerized information, 
      Sec. 9008.3(a)(4)(v)
    -- to make repayments, Sec. 9008.3(a)(4)(vi)
    -- to pay civil penalties, Sec. 9008.3(a)(4)(viii)
    -- to permit audits and examinations, Sec. 9008.3(a)(4)(vi)
  By national committee, application statement, Sec. 9008.3(a)(1) and 
      (3)
AUDITS AND EXAMINATIONS
  Additional, Sec. 9008.13
  Agreement to permit, Sec. 9008.3(a)(4)(vi)
  Computerized information required, Sec. 9008.10(h)
  Conducted by FEC, Sec. 9008.11; Sec. 9008.13; Sec. 9008.54
  Documentation of disbursements, Sec. 9008.10
  See also: DOCUMENTATION
  Of
    -- convention committee, Sec. 9008.11; Sec. 9008.13
    -- host committee, Sec. 9008.13; Sec. 9008.54
  Repayments based on findings of, Sec. 9008.12(a)(1)


                                    B

BANKS
  May not donate to government agency or municipal corporation, 
      Sec. 9008.53(b)(1)
  May not donate to host committee, Sec. 9008.52(c)(1)
  May provide items of de minimis value, Sec. 9008.9(c)
  See also: ACCOUNTS


                                    C

CANDIDATE
  Expenditure by, to attend convention, excepted from expenditure
      limitation, Sec. 9008.8(b)(3)
  Expenses of, may not be defrayed by convention funds, 
      Sec. 9008.7(b)(1)

[[Page 362]]

CERTIFICATION
  By FEC to Secretary of Treasury for entitlement, Sec. 9008.6(d)
COMMERCIAL VENDOR
  Goods and services provided by, to convention committee
    -- at reduced/discounted rate, Sec. 9008.9(a)
    -- for promotional consideration, Sec. 9008.9(b)
    -- samples and promotional material provided, Sec. 9008.9(c)
  Goods and services provided to government agency or municipal
      corporation, Sec. 9008.9; Sec. 9008.53
  Goods and services provided to host committee, Sec. 9008.9; 
      Sec. 9008.52(b)
COMMISSION
  See: FEDERAL ELECTION COMMISSION
CONTRIBUTIONS
  Excessive, repayment required, Sec. 9008.12(b)(3)
  For legal/accounting compliance costs, Sec. 9008.8(b)(4)(ii)
  From commercial vendors, Sec. 9008.9
    See also: COMMERCIAL VENDOR
  Private
    -- account for, Sec. 9008.6(a)(3)
    -- entitlement adjusted if committee opts to receive, 
      Sec. 9008.6(a)(2)
    -- limitations and prohibitions of Act apply, Sec. 9008.6(a)(3)
    -- must be reported, Sec. 9008.6(a)(3)
  Samples and promotional material, Sec. 9008.9(b); Sec. 9008.52(b)
  To
    -- convention committee, Sec. 9008.3(a)(2); Sec. 9008.6(a); 
      Sec. 9008.9
    -- host committee, from local businesses, Sec. 9008.52(b) and (c)
    -- national committee, Sec. 9008.7(b)(3); Sec. 9008.9
    -- state or local government agency or municipal corporation, from 
      local businesses, Sec. 9008.53
  Vendor discounts, Sec. 9008.9(a); Sec. 9008.52(b)
CONVENTION
  See: NOMINATING CONVENTION
CONVENTION COMMITTEE
  Audit of, by FEC, Sec. 9008.11; Sec. 9008.13
  Cessation of activity, Sec. 9008.3(c)
  Contributions to, Sec. 9008.3(a)(2); Sec. 9008.6(a); Sec. 9008.9
  Duties of, Sec. 9008.3(a)(2)
    -- makes expenditures for convention expenses, Sec. 9008.3(a)(2)
    -- receives all private contributions to defray convention expenses, 
      Sec. 9008.3(a)(2)
    -- receives all public funds, Sec. 9008.3(a)(2)
  Establishment of by national committee, requirement for
      eligibility, Sec. 9008.3(a)(2)
  Letter of agreement, Sec. 9008.3(a)(4)
    See also: AGREEMENTS
  Officers of, Sec. 9008.3(a)(3)(iv)
  Registration requirements, Sec. 9008.3(b)(1)(i)
  Reporting requirements, Sec. 9008.3(b)(2)
CORPORATION
  Commercial vendors, provision of goods and services by, Sec. 9008.9
    -- at reduced/discounted rate, Sec. 9008.9(a)
    -- items provided for promotional consideration, Sec. 9008.9(b)
    -- samples and promotional material provided, Sec. 9008.9(c)
    -- to government agency or municipal corporation, Sec. 9008.9; 
      Sec. 9008.53
    -- to host committee, Sec. 9008.9; Sec. 9008.52(b)
  Contributions to
    -- government agency or municipal corporation, Sec. 9008.53
    -- host committee, Sec. 9008.52(b) and (c)
    -- national committee, Sec. 9008.9
  Local business, definition, Sec. 9008.52(c)(2); Sec. 9008.53(b)(2)

[[Page 363]]

  Municipal corporations
    -- expenditures by, not considered expenditure by national committee 
      subject to limit, Sec. 9008.8(b)(2)
    -- receipt of donations by, Sec. 9008.53
    -- registration and reporting by, Sec. 9008.50; Sec. 9008.51(c)
  See also: BANKS


                                    D

DEFINITIONS
  Capital asset, Sec. 9008.10(g)(4)
  Commission, Sec. 9008.2(a)
  Convention, Sec. 9008.2(g)
  Convention committee, Sec. 9008.3(a)(2)
  Convention expenses, Sec. 9008.7(a)(4)
  Fund, Sec. 9008.2(b)
  Host committee, Sec. 9008.52(a)
  Local business, Sec. 9008.52(c)(2); Sec. 9008.53(b)(2)
  Major party, Sec. 9008.2(c)
  Minor party, Sec. 9008.2(d)
  National committee, Sec. 9008.2(e)
  New party, Sec. 9008.2(f)
  Nominating convention, Sec. 9008.2(g)
  Other asset, Sec. 9008.10(g)(5)
  Payee, Sec. 9008.10(c)
  Purpose, Sec. 9008.10(d)
  Secretary, Sec. 9008.2(h)
  Winding down costs, Sec. 9008.10(g)(7)
DELEGATES
  Convention expenses paid by public funds, prohibited, 
      Sec. 9008.7(b)(1)
  Personal funds of, used to attend convention, Sec. 9008.8(b)(3)
DISBURSEMENT
  See: DOCUMENTATION; EXPENDITURES
DOCUMENTATION
  Connection of expense to convention explained, Sec. 9008.10(e)
  Net outstanding convention expenses, statement of, Sec. 9008.10(g)
    See also: NET OUTSTANDING CONVENTION EXPENSES
  Of disbursements, Sec. 9008.10
  Payee, defined, Sec. 9008.10(c)
  Production of computerized information, Sec. 9008.10(h)
    -- information to be provided, Sec. 9008.10(h)(1) and (4)
    -- organization of, Sec. 9008.10(h)(3)
    -- time for, Sec. 9008.10(h)(2)
  Purpose, defined, Sec. 9008.10(d)
  Required for
    -- disbursements aggregating over $200 to a payee, Sec. 9008.10(a)
    -- smaller disbursements, Sec. 9008.10(b)
  Retention of records, Sec. 9008.10(f)


                                    E

ELIGIBILITY
  Convention committee, required, Sec. 9008.3(a)(2)
  Requirements for, Sec. 9008.3(a)
    -- application statement, Sec. 9008.3(a)(3) and (5)
    -- establishment of convention committee, Sec. 9008.3(a)(2)
    -- letter of agreement filed by convention committee, 
      Sec. 9008.3(a)(4)
  See also: AGREEMENTS; ENTITLEMENT
ENTITLEMENT
  Acceptance of payment, Sec. 9008.6(a)

[[Page 364]]

  Adjustment of
    -- by amount of private contributions received, Sec. 9008.5(b)
    -- by Consumer Price Index, Sec. 9008.5(a)
  Eligibility requirements, Sec. 9008.3(a)
    See also: ELIGIBILITY
  New parties, not entitled to receive payments, Sec. 9008.1(a)
  Of major parties, Sec. 9008.1(a); Sec. 9008.4(a)
  Of minor parties, Sec. 9008.1(a); Sec. 9008.4(b)
  Private contributions, effect on, Sec. 9008.5(b); Sec. 9008.6(a)(2)
  To payments from fund, Sec. 9008.4
  See also: PAYMENTS
EXAMINATIONS
  See: AUDITS AND EXAMINATIONS
EXPENDITURES
  By
    -- convention committee, Sec. 9008.7
    -- delegates, Sec. 9008.8(b)(3)
    -- government agency or municipal corporation, Sec. 9008.52(c)(1); 
      Sec. 9008.53(b)(1)
    -- host committee, Sec. 9008.52(c)(1)
  Documentation of, Sec. 9008.3(a)(4)(iv); Sec. 9008.10
    See also: DOCUMENTATION
  Limitation on, Sec. 9008.8(a)
    -- agreement to adhere to, Sec. 9008.3(a)(4)(i)
    -- authorization to exceed, Sec. 9008.8(a)(3)
    -- exceeded, repayment required, Sec. 9008.12(b)(2)
    -- major parties, Sec. 9008.8(a)(1)
    -- minor parties, Sec. 9008.8(a)(2)
  Limitation on, exceptions to, Sec. 9008.8(b)
    -- computerized information, Sec. 9008.8(b)(5)
    -- discounts by commercial vendor, Sec. 9008.9(d)
    -- expenditures by government agencies and municipal corporations, 
      Sec. 9008.8(b)(2)
    -- expenditures to participate in or attend convention, 
      Sec. 9008.8(b)(3)
    -- legal and accounting fees, Sec. 9008.8(b)(4)
    Prohibited, Sec. 9008.7(b)
    -- civil/criminal penalties, Sec. 9008.7(b)(3)
    -- defraying expenses of candidate or delegate, Sec. 9008.7(b)(1)
    -- expenses violating state and federal law, Sec. 9008.7(b)(2)
  Use of public funds
  See: USE OF FUNDS


                                    F

FEDERAL ELECTION COMMISSION
  Authorization by, to exceed expenditure limitation, Sec. 9008.8(a)(3)
  Certification by, to Secretary of Treasury, Sec. 9008.6(d)
  Definition, Sec. 9008.2(a)
  Examinations and audits conducted by, Sec. 9008.11; Sec. 9008.13; 
      Sec. 9008.54
    See also: AUDITS AND EXAMINATIONS
  Repayments
    -- notification by, to national committee, Sec. 9008.12(a)(2)
    -- petitions for rehearing, Sec. 9008.14
    See also: REPAYMENTS
FUNDS
  See: ENTITLEMENT; PAYMENTS; USE OF FUNDS


                                    G

GOVERNMENT AGENCY
  Expenditures by, not considered expenditure subject to limit, 
      Sec. 9008.8(b)(2)

[[Page 365]]

  Federal Election Commission, See: FEDERAL ELECTION COMMISSION
  Receipt of donations by, Sec. 9008.53
  Registration and reporting by, Sec. 9008.50; Sec. 9008.51(c)


                                    H

HOST COMMITTEE
  Audit of, required, Sec. 9008.54
  Contributions to
    -- from commercial vendors, Sec. 9008.9; Sec. 9008.52(b)
    -- from individuals, Sec. 9008.52(c)
    -- from local businesses and organizations, Sec. 9008.52(c)
  Definition, Sec. 9008.52(a)
  Expenditures by, not subject to limit, Sec. 9008.8(b)(1)
  Funds, use of, Sec. 9008.52(c)(1)
  Registration of, Sec. 9008.50; Sec. 9008.51(a)
  Reporting by, Sec. 9008.50; Sec. 9008.51(b)


                                    I

INVESTMENT OF PUBLIC FUNDS
  Documentation required, Sec. 9008.10(g)(2)(i)
  Permitted if income defrays convention expenses, Sec. 9008.7(a)(5)
  Repayment of investment income, Sec. 9008.7(b)(6)


                                    L

LEGAL AND ACCOUNTING SERVICES
  Paid for by employer, exception to expenditure limitation, 
      Sec. 9008.8(b)(4)(i)
  Paid for by national committee, exception to expenditure
      limitation, Sec. 9008.8(b)(4)(ii)
  Reporting of, Sec. 9008.8(b)(4)(iii)
LOANS
  Included in statement of net outstanding convention expenses, 
      Sec. 9008.10(g)(1)(i)
  Other assets used as collateral for, Sec. 9008.10(g)(5)
  Repayment of, with public funds, Sec. 9008.7(a)(2) and (4)(xi)


                                    M

MAJOR PARTY
  Definition, Sec. 9008.2(c)
  Entitlement to payments, Sec. 9008.1(a); Sec. 9008.4(a)
    See also: ENTITLEMENT
  Establishment of convention committee, Sec. 9008.3(a)(2)
  Expenditure limitations, Sec. 9008.8(a)(1)
  Private contributions to, Sec. 9008.3(a)(2); Sec. 9008.6(a)(2) and (3)
  Procedures for qualifying for payments, Sec. 9008.3(a)
MINOR PARTY
  Definition, Sec. 9008.2(d)
  Entitlement to payments, Sec. 9008.1(a); Sec. 9008.4(b)
    See also: ENTITLEMENT
  Establishment of convention committee, Sec. 9008.3(a)(2)
  Expenditure limitations, Sec. 9008.8(a)(2)
  Private contributions to, Sec. 9008.3(a)(2); Sec. 9008.6(a)(2) and (3)
  Procedures for qualifying for payments, Sec. 9008.3(a)
MUNICIPAL CORPORATION
  See: CORPORATION; GOVERNMENT AGENCY

[[Page 366]]

                                    N

NATIONAL COMMITTEE
  Convention committee established by, Sec. 9008.3(a)(2)
    See also: CONVENTION COMMITTEE
  Definition, Sec. 9008.2(e)
  Eligibility for public funds, Sec. 9008.3(a)
    See also: ELIGIBILITY
  Entitlement to public funds, Sec. 9008.1(a); Sec. 9008.4(a)
    See also: ENTITLEMENT
  Expenditures by, See: EXPENDITURES
  Payments to, Sec. 9008.6(a)(1)
    See also: PAYMENTS
  Repayments by, Sec. 9008.12(a)(1) and (5)
    See also: REPAYMENTS
  Use of public funds by
    -- permissible uses, Sec. 9008.7(a)
    -- prohibited uses, Sec. 9008.7(b)
  See also: USE OF FUNDS
NET OUTSTANDING CONVENTION EXPENSES
  Capital asset, defined, Sec. 9008.10(g)(4)
  Determination that debt is not collectible, Sec. 9008.10(g)(6)
  Other assets, defined, Sec. 9008.10(g)(5)
  Statement of
    -- certain debts not included in, Sec. 9008.10(g)(3)
    -- filed by convention committee, Sec. 9008.10(g)
    -- review of, Sec. 9008.10(g)(8)
    -- when filed, Sec. 9008.10(g)
  Winding down costs, defined, Sec. 9008.10(g)(7)
NEW PARTY
  Definition, Sec. 9008.2(f)
  Not entitled to public funds, Sec. 9008.1(a)
NOMINATING CONVENTION
  Committee established for, Sec. 9008.3(a)(2)
    See also: CONVENTION COMMITTEE
  Definition, Sec. 9008.2(g)
  Expenditure limitations, See: EXPENDITURES
  Use of funds for, Sec. 9008.7
    See also: USE OF FUNDS


                                    P

PARTY
  See: MAJOR PARTY; MINOR PARTY; NATIONAL COMMITTEE; NEW PARTY
PAYMENTS
  Acceptance of, Sec. 9008.6(a)(1) and (2)
  Application for, Sec. 9008.3(a)(1) and (3)
  Bank depository for, Sec. 9008.3(a)(4)(iii); Sec. 9008.6(a)(3)
  Certification by Commission to Secretary of Treasury, Sec. 9008.6(d)
  Convention committee receives, Sec. 9008.3(a)(2); Sec. 9008.6(a)(3)
  Date for receiving, Sec. 9008.6(c)
  Eligibility for, Sec. 9008.3(a)
    See also: ELIGIBILITY
  Entitlement of national committee to, Sec. 9008.1(a); Sec. 9008.4; 
      Sec. 9008.5
    See also: ENTITLEMENT
  Excess, repayment of, Sec. 9008.12(b)(1)
  Increase in certified amount, Sec. 9008.6(b)
  Investment of, Sec. 9008.7(a)(5)
  Limitation on, Sec. 9008.4(c)
  Optional, Sec. 9008.6(a)
  Private contributions affect, Sec. 9008.6(a)(2)

[[Page 367]]

  Procedure for qualifying for, Sec. 9008.3(a)
  Repayments, See: REPAYMENTS
  Schedule for, Sec. 9008.6(c)
PUBLIC FUNDS
  See: ELIGIBILITY; ENTITLEMENT; PAYMENTS; REPAYMENTS; USE OF
  FUNDS


                                    R

RECORDKEEPING
  See: DOCUMENTATION
REGISTRATION
  Convention committee, Sec. 9008.3(b)(1)(i)
  Government agency or municipal corporation, Sec. 9008.51(c)
  Host committees, Sec. 9008.51(a)
  Political party committees, Sec. 9008.3(b)
REPAYMENTS
  Bases for requiring, Sec. 9008.12(b)
    -- excess payments, Sec. 9008.12(b)(1)
    -- excessive contributions, Sec. 9008.12(b)(3)
    -- excessive expenditures, Sec. 9008.12(b)(2)
    -- improper contribution to/expenditure by host committee, 
      government agency or municipal corporation, Sec. 9008.12(b)(7)
    -- improper usage or documentation, Sec. 9008.12(b)(4)
    -- investment income, Sec. 9008.12(b)(6)
    -- unspent funds, Sec. 9008.12(b)(5)
  Committee agreement to make, Sec. 9008.3(a)(4)(vi)
  Extensions of time, Sec. 9008.15
  Notification by FEC of need for, Sec. 9008.12(a)(2) and (3)
  Payable to U.S. Treasury, Sec. 9008.12(a)(1)
  Petitions for rehearing determinations, Sec. 9008.14
  Stale-dated committee checks, Sec. 9008.16
  Unspent funds
    -- date for making final repayment, Sec. 9008.12(b)(5)(iii)
    -- must be repaid, Sec. 9008.12(b)(5)(i)
    -- refunded, but later needed to defray expenses, 
      Sec. 9008.12(b)(5)(ii)
REPORTING
  By convention committee, Sec. 107.1
    -- agreement to file reports, Sec. 9008.3(a)(4)(ii)
    -- post-convention report, Sec. 9008.3(b)(2)(ii)
    -- quarterly reports, Sec. 9008.3(b)(2)(i)
    -- registration, Sec. 107.1; Sec. 9008.3(b)(1)
  By government agencies, Sec. 9008.50; Sec. 9008.51(c)
    -- not required for unsuccessful attempts to attract a convention, 
      Sec. 9008.50
    -- post-convention statement required, Sec. 9008.51(c)
  By host committees, Sec. 107.2; Sec. 9008.50; Sec. 9008.51(b)
    -- post-convention report by, Sec. 9008.51(b)(1)
    -- quarterly reporting by, Sec. 9008.51(b)(2)
    -- registration by, Sec. 107.2; Sec. 9008.51(a)
  By municipal corporations, Sec. 9008.50; Sec. 9008.51(c)
    -- not required for unsuccessful attempts to attract a convention, 
      Sec. 9008.50
    -- post-convention statement required, Sec. 9008.51(c)
  By political parties, Sec. 9008.3(b)
  Civil or criminal penalties paid, Sec. 9008.7(b)(3)
  Exceptions
    -- State or local party committees, Sec. 9008.3(b)(1)(ii)
    -- unsuccessful efforts to attract convention, Sec. 9008.50
  Legal and accounting fees, Sec. 9008.8(b)(4)(iii)
  Private contributions received, Sec. 9008.6(a)(3)

[[Page 368]]

                                    S

SECRETARY OF TREASURY
  Definition, Sec. 9008.2(h)
  FEC certifications to, for payment of entitlement, Sec. 9008.6(d)
  Repayments made to, Sec. 9008.12(a)(1)


                                    U

USE OF FUNDS
  By
    -- convention committee, Sec. 9008.7
    -- host committee, Sec. 9008.52(c)
    -- national committee, Sec. 9008.7
  Investment of funds, Sec. 9008.7(a)(5)
  Permissible uses of public funds
    -- biographical film about Presidential candidate, 
      Sec. 9008.7(a)(4)(xiii)
    -- convention-related expenses, Sec. 9008.7(a)(4)(i)-(x)
    -- gifts and bonuses, Sec. 9008.7(a)(4)(xii)
    -- investment of funds, Sec. 9008.7(a)(5)
    -- repayment of loans and interest, Sec. 9008.7(a)(4)(xi)
  Private contributions used by national committee, Sec. 9008.6(a)(2)
      and (3)
  Prohibited uses of public funds
    -- candidate's convention expenses, Sec. 9008.7(b)(1)
    -- civil or criminal penalties, Sec. 9008.7(b)(3)
    -- delegate's convention expenses, Sec. 9008.7(b)(1)
    -- expenses violating State or federal law, Sec. 9008.7(b)(2)
    -- lost, misplaced or stolen items, Sec. 9008.7(c)

[[Page 369]]

          PRESIDENTIAL PRIMARY MATCHING FUND, PARTS 9031-9039 *
---------------------------------------------------------------------------

  * This index makes occasional reference to parts 102-116 of 11 CFR, 
governing Federal election activity.
---------------------------------------------------------------------------


                                    A

ACCOUNTS
  Matching payment account maintained by U.S. Treasury
    -- definition of, Sec. 9032.5
    -- equal distribution of funds from, Sec. 9037.2
    -- repayment of funds from, Sec. 9038.2
    -- transfer of funds from, Sec. 9037.1
  Special account maintained by principal campaign committee
    -- deposit of matching funds into, Sec. 9037.3
    -- designation of, Sec. 9033.1(b)(8)
    -- matching funds no longer contained, Sec. 9038.2(b)(2)(iv)
    -- source of repayment, Sec. 9034.4(c)
AGREEMENTS
  Candidate must agree to
    -- adhere to campaign expenditure limitation, Sec. 9035.1(a)
    -- adhere to personal funds limitation, Sec. 9035.2
    -- comply with agreements, Sec. 9033.1(a)
    -- comply with documentation requirements, Sec. 9033.1(b)
    -- comply with Title 2 and Regulations governing, Sec. 9033.1(b)(10)
    -- file reports electronically, Sec. 9033.1(b)(13)
    -- furnish information on other candidate organizations, 
      Sec. 9033.1(b)(6)
    -- gather books and records in centralized location, 
      Sec. 9033.1(b)(7)
    -- keep and furnish books, computer tapes and records, 
      Sec. 9033.1(b)(5); Sec. 9033.11(c)
    -- make repayments, Sec. 9033.1(b)(7)
    -- obtain and furnish evidence of qualified expenses, 
      Sec. 9033.1(b)(1)
    -- pay civil penalties, Sec. 9033.1(b)(11)
    -- permit audits and examinations, Sec. 9033.1(b)(7)
    -- prepare submissions in good order, Sec. 9033.1(b)(9)
    -- use closed captioning in television ads, Sec. 9033.1(b)(12)
  Date for submitting, Sec. 9033.2(a)(1)
  Eligibility contingent upon, Sec. 9033.1(a)
  Failure to comply with disclosure requirements, Sec. 9033.9
  Joint fundraising, Sec. 9034.8(c)(1)
ALLOCATION
  Among states, Sec. 106.2; Sec. 110.8(c)
  Categories of, Sec. 106.2(b)
    -- administrative costs, Sec. 106.2(b)(2)(iii)
    -- mass mailings, Sec. 106.2(b)(2)(ii)
    -- media, Sec. 106.2(b)(2)(i)
    -- methods for, Sec. 106.2(b)
    -- overhead expenditures of state/regional offices, 
      Sec. 106.2(b)(2)(iii)(A) and (B)
    -- polling, Sec. 106.2(b)(2)(v)
    -- recordkeeping, Sec. 106.2(d)
    -- reporting, Sec. 106.2(c)
    -- telephone programs targeted to State, Sec. 106.2(b)(2)(iv)
    -- testing-the-waters, Sec. 106.2(a)(2)
  Disputed by Commission, Sec. 106.2(a)(1)

[[Page 370]]

  Documentation, Sec. 106.2(a)(1) and (d)
  Joint fundraising, proceeds and expenses, Sec. 9034.8(c)(7) and (8)
  Methods of, Sec. 106.2(b)(1) and (2)
  Not required for
    -- administrative costs of national office, Sec. 106.2(b)(2)(iii)(C)
    -- advertising, national, Sec. 106.2(b)(2)(i)(E)
    -- commissions, Sec. 106.2(b)(2)(i)(G)
    -- compliance, Sec. 106.2(b)(2)(iii)(A)
    -- media production costs, Sec. 106.2(b)(2)(i)(F)
    -- national consulting fees, Sec. 106.2(b)(3)
  Of expenditures between primary and general expenditure limits, 
      Sec. 9034.4(e)
  Overhead expenditures, definition, Sec. 106.2(b)(2)(iii)(D)
  Recordkeeping, Sec. 106.2(d)
  Reporting, Sec. 106.2(c)
  Testing-the-waters expenses, Sec. 106.2(a)(2)
  Travel expenditures, Sec. 9034.7
APPEALS BY CANDIDATE COMMITTEE
  Active candidacy, Sec. 9033.7(c)
  During audit, Sec. 9038.1(b)(1)(iv) and (c)
  Effect of failure to raise issues, Sec. 9038.5(b)
  Expenditure limitation exceeded, Sec. 9033.3(b); Sec. 9033.9
  Failure to comply with disclosure requirements, Sec. 9033.9
  Failure to meet threshold requirements, Sec. 9033.4(a)(2)
  Inactive candidacy, Sec. 9033.6(c)
  Ineligibility for matching funds determination, Sec. 9033.3(b) and (c)
  Petition for rehearing, Sec. 9033.10(e); Sec. 9034.5(g)(4); 
      Sec. 9038.2(h); Sec. 9038.5(a)
    See also: REPAYMENTS
  Repayments, Sec. 9038.2(c) and (h); Sec. 9038.5(a)
  Resubmissions, Sec. 9036.5(e)
  Stay of determination, Sec. 9038.2(h); Sec. 9038.5(c)
    See also: REPAYMENTS
  Suspension of payments, Sec. 9033.9(b) and (d)(1)
ASSETS
  Accurate valuation of, Sec. 9033.10(a)(6); Sec. 9034.5(c) and (g)
  Documentation of, Sec. 9033.11(d)
  In determining net outstanding campaign obligation, Sec. 9034.5(c)
  Newly discovered, Sec. 9038.2(g)
  Sale of, for fundraising purposes, Sec. 9034.9
  Sale of, for liquidation of debts, Sec. 9034.9(b)
AUDITS
  Action taken by Commission after inquiry, Sec. 9039.3(b)(4)
  Agreement to permit, Sec. 9033.1(b)(6)
  Approval and issuance of audit report, Sec. 9038.1(d)
  Computerized records provided for, Sec. 9033.12; Sec. 9038.1(b)(1)
  Copy of report, provided to committee, Sec. 9038.1(e)(1)
  Discretionary, Sec. 9038.1(a)(2); Sec. 9039.3
  Eligibility for funds determined by, Sec. 9033.1; Sec. 9033.11
  Entrance conference, Sec. 9038.1(b)(2)(i)
  Exit conference, Sec. 9038.1(b)(2)(iii)
    -- committee response to, Sec. 9038.1(c)
  Fieldwork required for, Sec. 9038.1(b)
    -- conduct of, Sec. 9038.1(b)
    -- office space and records supplied, Sec. 9038.1(b)(1)(i)
    -- personnel made available, Sec. 9038.1(b)(1)(ii)
  Investigative procedures used, Sec. 9038.1(b)(1)(v); Sec. 9039.3(b)(4)
  Of matching fund submissions, Sec. 9036.4(d)
  Preliminary Audit Report, Sec. 9038.1(c)
  Public release of report, Sec. 9038.1(e)
  Repayments determined by, Sec. 9038.1(a)(3); Sec. 9038.2(a)(1)

[[Page 371]]

  Required, of candidate and authorized committee(s), Sec. 9033.1(b)(7); 
      Sec. 9038.1(a)
  Retention of records for, Sec. 9039.1
  Sampling used during, Sec. 9038.1(f)
  Settlement of disputes arising during, Sec. 9038.1(b)(2)(iv)
  Time period for candidate response, Sec. 9038.1
AUTHORIZED COMMITTEE
  Assets, Sec. 9033.11(d); Sec. 9034.4(c)
  Credit card, liability for, Sec. 9035.2(a)(2)
  Definition, Sec. 9032.1
  Expenses incurred in excess of limitations, Sec. 9033.2(b)(2); 
      Sec. 9033.3; Sec. 9035.1
  Included in
    -- audit and examination requirements, Sec. 9033.1(b)(6); 
      Sec. 9038.1
    -- candidate agreements, Sec. 9033.1(a)(1) and (b)
    -- expenditure limitations, Sec. 9033.2(b)(2); Sec. 9033.3(a); 
      Sec. 9035.1
    -- threshold certification requirements, Sec. 9033.2(b)
  Payments to candidate, Sec. 9034.4(b)(5)
  Qualified campaign expenses incurred by, Sec. 9032.9(a)(1) and (b)
  Reports filed by, See: FILING; REPORTING
  Stale-dated checks, Sec. 9038.6
  Withdrawal of authorization, Sec. 9032.1(b)


                                    C

CAMPAIGN DEPOSITORY
  Agreement to furnish records of, Sec. 9033.1(b)(4), (5) and (8)
  Change in, Sec. 9033.1(b)(8)
  Deposit of contribution required before matching, Sec. 9034.2(a)(3)
  Documentation of, for threshold submission, Sec. 9036.1(b)
  Funds deposited into, Sec. 9037.3
  Joint fundraising, separate account for, Sec. 9034.8(c)(4)
  Vice Presidential candidate's, Sec. 103.4
  See also: ACCOUNTS; RECORDS; 11 CFR PART 103
CANDIDATES
  Active candidacy, Sec. 9033.7
  Agreements by, Sec. 9033.1
    See also: AGREEMENTS
  Appeals, See: APPEALS BY CANDIDATE COMMITTEE
  Authorization
    -- of person who makes qualified campaign expenditures, 
      Sec. 9032.9(b)
    -- of political committee, Sec. 9032.1
    -- See also: AUTHORIZED COMMITTEE
  Certifications, Sec. 9033.2
    See also: CERTIFICATIONS
  Continuation of certifications, Sec. 9036.6
  Contributions to, See: CONTRIBUTIONS
  Definition of Sec. 9032.2
  Deposit of funds by, Sec. 9037.3
  Eligibility for matching funds
    -- initial, Sec. 9033.4
    -- reestablishment of, Sec. 9033.8
    See also: ELIGIBILITY
  Entitlement, Sec. 9034.1
    See also: ENTITLEMENT
  Expenditure limitations, See: EXPENDITURES
  Immediate family of Sec. 9035.2(b)
  Inactive candidacy, Sec. 9033.5(a); Sec. 9033.6
  Ineligibility for matching funds, Sec. 9033.3; Sec. 9033.5; 
      Sec. 9033.6
    See also: ELIGIBILITY
  Net outstanding campaign obligation of, Sec. 9033.10(a)(6); 
      Sec. 9034.5

[[Page 372]]

  Nonparticipation in primary, Sec. 9033.5(b)
  Personal funds of, Sec. 9035.2(a)
  Repayments, See: REPAYMENTS
  Use of credit card, Sec. 9035.2(a)(2)
  Use of funds, See: USE OF FUNDS
CAPITAL ASSETS
  See: ASSETS
CERTIFICATIONS
  Administrative record for, Sec. 9038.7
  By candidates to FEC
    -- date for submitting, Sec. 9033.2(a)
    -- for threshold amount, Sec. 9033.2; Sec. 9036.1
    -- of active candidacy, Sec. 9033.7(a)
    -- of inactive candidacy, Sec. 9033.5(a)
    -- of satisfying requiring for each State, Sec. 9033.2(b)(3)
    -- to comply with expenditure limitations, Sec. 9033.2
  By FEC concerning expenditure limitations, Sec. 9033.3
  By FEC to Secretary of Treasury
    -- additional, Sec. 9036.2
    -- continued, Sec. 9036.6
    -- initial, Sec. 9036.1
    -- payments of less than requested amount, Sec. 9036.4(b) and (c)(2)
    -- required for payments to candidate, Sec. 9037.1
    -- requirements for, Sec. 9036.1; Sec. 9036.2sh; resubmissions, 
      Sec. 9036.5(d)
    -- revised amount, Sec. 9036.4(c)(2)
    -- schedule for, Sec. 9036.2(d); Sec. 9036.5(d)
    -- withheld if expenditure limit exceeded, Sec. 9033.3(a)
    See also: PAYMENTS; SUBMISSIONS
COMPLIANCE COSTS
  See: EXPENDITURES
CONTRIBUTIONS
  Aggregation of, to Presidential and Vice Presidential candidates, 
      Sec. 9035.3
  Allocation of, in joint fundraising, Sec. 9034.8(c)(7)
  By credit or debit card, Sec. 9034.2(b) and (c)(8)
  By internet See: INTERNET
  By money order, Sec. 9034.2(c)(4)
  By written instrument, Sec. 9034.2(a)(4)
  Certification of threshold amount of, Sec. 9036.1
  Costs of soliciting, Sec. 9035.1(c)(2)
  Deposit on receipt of, Sec. 9034.2(a)(3)
  Documentation of excess over purchase price, Sec. 9034.2(c)(5)
  Earmarked, Sec. 9034.8(c)(7)(iv)
  From escrow/trust account, Sec. 9034.2(c)(2)
  From immediate family, Sec. 9035.2
  From joint account, Sec. 9034.2(c)(1)
  From partnership, unincorporated business, Sec. 9034.2(c)(3)
  Fundraising, See: FUNDRAISING; JOINT FUNDRAISING
  Matchable, See: MATCHABLE CAMPAIGN CONTRIBUTIONS
  Name of issuer, identified, Sec. 9034.2(c)(4)(ii)
  Nonmatchable
    -- check drawn on account of committee, corporation, labor 
      organization, government contractor, Sec. 9034.3(f)
    -- contract, promise, Sec. 9034.3(c)
    -- currency, Sec. 9034.3(j)
    -- definition of, Sec. 9034.3
    -- from corporation, labor organization, government contractor, 
      political committee, Sec. 9034.3(d)
    -- illegally made or accepted, Sec. 9034.3(e)
    -- in-kind, Sec. 9034.3(a)

[[Page 373]]

    -- insufficient documentation, Sec. 9036.3
    -- made without donative intent, Sec. 9034.3(i)
    -- pledge card, Sec. 9034.3(c)
    -- purchase price of drawing/raffle ticket, Sec. 9034.3(h)
    -- purchase price of item of value, Sec. 9034.3(g)
    -- redesignated contribution, Sec. 9034.3(k)
    -- submitted for matching, Sec. 9036.4(c)(1)
    -- subscription, loan, advance, etc., Sec. 9034.3(b)
    -- transfer of joint fundraising receipts, Sec. 9034.8(c)(7)
  Prohibited, Sec. 9034.3(d)-(f)
  Rejected for matching, Sec. 9036.5(a)
  Residency requirement for those making, Sec. 9033.2(b)(3)
  Resubmission of, Sec. 9036.5
  Solicitation of, in determining active candidacy, Sec. 9033.6(b)(2)
  Submission of, for matching
    -- alphabetical listing required, Sec. 9036.2(b)(1)(ii); 
      Sec. 9036.1(b)(3)
    -- compliance with Guideline for Presentation in Good Order, 
      Sec. 9033.1(b)(9); Sec. 9036.1(b)(8); Sec. 9036.2(b)
    -- deadline for, Sec. 9036.6
    -- digital imaging used, Sec. 9036.2(b)(1)(vi)
    -- documentation, supporting, Sec. 9036.1(b); Sec. 9036.2(b)
    -- FEC review of, Sec. 9033.4; Sec. 9036.2(d); Sec. 9036.4
    -- for additional payments, Sec. 9036.2
    -- threshold, Sec. 9033.2; Sec. 9036.1
    See also: SUBMISSIONS
  Use of contributions and matching payments
    -- continuing to campaign, Sec. 9034.4(a)(3)
    -- defray qualified campaign expenses, Sec. 9034.4(a)
    -- state or national campaign offices, Sec. 9034.4(e)(3)
    -- ``testing-the-waters'', Sec. 9034.4(a)(2)
    -- transfer between principal and authorized committees, 
      Sec. 9034.4(d)
    -- winding down costs, Sec. 9034.4(a)(3)
    See also: USE OF FUNDS
CORPORATION
  Contributions from corporate account, nonmatchable, Sec. 9034.3(d) and 
      (f)
  Contributions from corporate account, prohibited, Sec. 114.2(a); 
      Sec. 9034.3(e)
CREDIT CARDS
  Contributions by, Sec. 9034.2(b) and (c); Sec. 9036.1(b)(7); 
      Sec. 9036.2(b)(1)(iii)


                                    D

DEBIT CARDS
  Contributions by, Sec. 9034.2(b) and (c); Sec. 9036.1(b)(7); 
      Sec. 9036.2(b)(1)(iii)
DEBTS AND SETTLEMENTS
  Amount charged against expenditure limits, Sec. 9035.1(a)(2)
  Assignment of, to affiliated committee, Sec. 116.2(c)(3)
  Collectibility of accounts receivable, Sec. 9034.5(d)
  Extinguishing through reallocation, Sec. 9034.8(c)(7)(ii)
  Not a basis for entitlement, Sec. 9034.5(b)(1)
  Settlement of bona fide dispute, Sec. 9035.1(a)(2)
  Settlement, repayment obligations not subject to, Sec. 116.7(c)(1)
DEFINITIONS
  Administrative costs, Sec. 9034.6(c)(2)
  Authorized committee Sec. 9032.1
  Candidacy, Sec. 9032.2; Sec. 9033.6; Sec. 9033.7
  Candidate, Sec. 9032.2
  Capital assets, Sec. 9034.5(c)(1)
  Cash on hand, Sec. 9034.5(a)(2)(i)

[[Page 374]]

  Certifications, Sec. 9033.2
  Closing date, Sec. 9035.2(a)(2)
  Commission, Sec. 9032.3
  Contribution, Sec. 9032.4
  Eligibility requirements, part 9033
  ``Essentially political,'' Sec. 9034.2(c)(6)
  Immediate family, Sec. 9035.2(b)
  Ineligibility dates, Sec. 9033.5
  Insufficient documentation, Sec. 9036.3
  Matchable contributions, Sec. 9034.2
  Matching payment account, Sec. 9032.5
  Matching payment period, Sec. 9032.6
  Net outstanding campaign obligations, Sec. 9034.5(a)
  Nonmatchable contributions, Sec. 9034.3
  Nonqualified campaign expenses, Sec. 9034.4(b)
  Payee, Sec. 9033.1(b)(3)(i)
  Personal funds, Sec. 9035.2(c)
  Political committee, Sec. 9032.8
  Political party, Sec. 9033.2(b)(1)
  Presidential Primary Matching Payment Account, Sec. 9032.5
  Primary election, Sec. 9032.7
  Purpose, Sec. 9033.11(b)(3)(ii)
  Qualified campaign expenses, Sec. 9032.9; Sec. 9034.4(a)
  Secretary, Sec. 9032.10
  Seeking nomination, Sec. 9033.2(b)(1)
  Signature, Sec. 9034.2(c)
  State, Sec. 9032.11
  Total deposits, Sec. 9038.3(c)
  Voting age population, Sec. 110.9(d)
  Winding down costs, Sec. 9034.4(a)(3)
  Written instrument, Sec. 9034.2(b)
DISBURSEMENTS
  See: EXPENDITURES; QUALIFIED CAMPAIGN EXPENSES
DISCLOSURE
  See: REPORTING
DOCUMENTATION
  Agreements by candidate and committee, Sec. 9033.1(b)
  Assets, Sec. 9033.11(d); Sec. 9034.5(c)
  Commercial reasonableness, Sec. 9034.5(d)
  Committee policy on disbursement, Sec. 9033.11(b)(1)(iii)
  Disbursements, Sec. 9033.1(b); Sec. 9033.11
  Failure to provide, Sec. 9038.2(b)(3)
  For credit or debit card contributions, Sec. 9034.2(b) and (c)
  For submissions, Sec. 9034.2(c); Sec. 9036.1(b); Sec. 9036.2(b)
  Qualified campaign expense, Sec. 9033.11(a) and (b)
  Retention of records, Sec. 9033.11(c); Sec. 9039.1
  See also: AGREEMENTS; RECORDS; SUBMISSIONS


                                    E

ELECTION
  Contributions, See: CONTRIBUTIONS
  Definition, Sec. 9032.7
  Participation/performance in, as factor for determining eligibility, 
      Sec. 9033.5(b); Sec. 9033.8(b)
ELIGIBILITY
  Candidate agreements, Sec. 9033.1
    See also: AGREEMENTS
  Candidate certifications, Sec. 9033.2
    See also: CERTIFICATIONS

[[Page 375]]

  FEC determination of
    -- administrative record for, Sec. 9038.7
    -- inactive candidacy, Sec. 9033.6
    -- ineligibility, Sec. 9033.3; Sec. 9033.5; Sec. 9033.6
    -- petitions for rehearing, Sec. 9033.10(e)
    -- threshold requirement, Sec. 9033.4
  Participation in primaries, Sec. 9033.5(b)
  Reestablishment of, Sec. 9033.8
  Residence requirements of contributors, Sec. 9033.2(b)(3)(ii)
  Terminated for
    -- exceeding expenditure limits, Sec. 9033.9(a); Sec. 9033.10
    -- failure to comply with disclosure requirements, Sec. 9033.9(a)
    -- inactive candidacy, Sec. 9033.5(a); Sec. 9033.6
    See also: INELIGIBILITY
ENTITLEMENT
  Adjustment due to
    -- inactive status, Sec. 9033.6
    -- unqualified contribution, Sec. 9036.4(b)
  After date of ineligibility, Sec. 9034.1(b)
  Candidate entitlement, Sec. 9034.1
  Certification to Secretary of Treasury, Sec. 9036.1(c)
  Matchable contributions, Sec. 9034.2; Sec. 9034.3
  Maximum entitlement, Sec. 9034.1(d)
  Payments after determination of ineligibility, Sec. 9034.1(b) and (c)
  Payments after suspension, Sec. 9033.9(d); Sec. 9034.1(c)
  Shortage of matching funds, Sec. 9037.1; Sec. 9037.2
  Threshold requirement, Sec. 9033.4
  Use of contributions and matching payments, Sec. 9034.4
  See also: CERTIFICATIONS, PAYMENTS
EXAMINATIONS AND AUDITS
  See: AUDITS
EXPENDITURES
  Aggregation of, by Presidential and Vice presidential candidates, 
      Sec. 9035.3
  Allocation among States, See: ALLOCATION
  As factor for determining active candidacy, Sec. 9033.6(b)(2)
  Attribution between primary and general elections, Sec. 9034.4(e)
  By candidates in both primary and general, Sec. 9034.4(e)
  From petty cash fund, Sec. 9033.11(b)(2)(i)
  Independent expenditures, Sec. 9032.1(d)
  Limitation exemptions
    -- fundraising costs, Sec. 100.8(b)(21); Sec. 110.8(c); 
      Sec. 9035.1(c)
    -- legal and accounting compliance costs, Sec. 106.2(b)(2)(iii); 
      Sec. 9035.1(c)
    -- party-building activity, Sec. 110.8(e)
    -- reimbursement for travel/services, Sec. 9034.6
    -- taxes on non-exempt function income, Sec. 9034.4(a)(4)
    -- travel/services made available to media personnel, Sec. 9034.6
  Limitations, Sec. 110.8; Sec. 9035.1
    -- applicable only if receiving matching funds, Sec. 9035.1(d)
    -- candidate will not exceed, Sec. 9033.2(b)(2); Sec. 9035.1
    -- exceeded by candidate committee, appeal of determination, 
      Sec. 9033.3(b)
    -- exceeded by candidate committee, determination by FEC, 
      Sec. 9033.3(a)
    -- for qualified campaign expenses, Sec. 9034.4(a); Sec. 9035.1
    -- from funds of immediate family, Sec. 9035.2(b)
    -- from personal funds, Sec. 110.8(f)(2); Sec. 9035.2(a)
    -- full debt charged against, Sec. 9035.1(a)(2)
    -- made using a credit card, Sec. 9035.2(a)(2)
    -- voting age population used to determine, Sec. 110.8(a)(1)
  Made by ineligible candidate, Sec. 9033.8(c)
  Made by party, Sec. 110.8(e)

[[Page 376]]

  Made on behalf of a candidate, Sec. 9032.1, Sec. 9032.9(b)
  Made on behalf of Vice Presidential candidate, Sec. 110.8(f)(1) and 
      (g)
  Media, transportation and services, expenses for, Sec. 9034.6
    See also: MEDIA
  Nonqualified expenses
    -- civil or criminal penalty, Sec. 9034.4(b)(4)
    -- continuing campaign after ineligibility, Sec. 9034.4(a)(3) and 
      (b)(3)
    -- excess of limitations, Sec. 9034.4(b)(2)
    -- expenses incurred after date of ineligibility, Sec. 9034.4(b)(3)
    -- expenses incurred for goods and services received after 
      ineligibility, Sec. 9034.4(b)(3)
    -- expenses insufficiently documented, Sec. 9034.4(b)(7)
    -- general election expenses, Sec. 9034.4(b)(3) and (e)
    -- lost, misplaced or stolen items, Sec. 9034.4(b)(8)
    -- payments to candidate, Sec. 9034.4(b)(5)
    -- seeking of repayment for, Sec. 9038.2(b)(2)(iii)
  Polling, allocation of, Sec. 106.4; Sec. 9034.4(e)(2)
  Qualified campaign expenses, See: QUALIFIED CAMPAIGN EXPENSES
  Starting date of review of expenditures, Sec. 9038.2(b)(2)(iii)(B)
  Transfers to other campaigns, Sec. 9034.4(d)


                                    F

FILING
  Dates, Sec. 104.5(b)
  Electronic, required, Sec. 104.18; Sec. 9033.1(b)(13)
  Places of, Sec. 105.3; Sec. 108.2
FUNDRAISING
  Allocation of expenditures made for, Sec. 106.2(b); Sec. 110.8(c)
  By candidates in both primary and general, Sec. 9034.4(e)(6)
  ``Donative intent'' required for matching contributions, 
      Sec. 9034.3(i)
  Entertainment, purchase price of, Sec. 9034.2(c)(5)
  ``Essentially political'' activity, admission price for, 
      Sec. 9034.2(c)(6)
  Expenditures exempted from State allocation, Sec. 110.8(c)(2); 
      Sec. 9035.1(c)
  Joint, See: JOINT FUNDRAISING
  Sale of assets for, Sec. 9034.9
  Sale of lottery/raffle tickets, Sec. 9034.3(h)


                                    G

GOVERNMENT CONTRACTORS
  Contributions from, nonmatchable, Sec. 9034.3(d) and (f)
  Contributions from, prohibited, Sec. 115.2(a)


                                    H

HEARINGS
  See: APPEALS


                                    I

INACTIVE CANDIDACY
  Candidate shall notify FEC, Sec. 9033.5(a)
  Criteria determination, Sec. 9033.6(a) and (b)
    See also: CANDIDATE
INELIGIBILITY
  Appeal of FEC determination, Sec. 9033.3(b)
  Date of, Sec. 9033.5
  Expenses
    -- incurred during, Sec. 9033.8(c)
    -- post-ineligibility, Sec. 9034.4(a)(3) and (b)(3)

[[Page 377]]

  For exceeding expenditure limitations, Sec. 9033.3
  Inactive candidacy, Sec. 9033.6
  Net outstanding campaign obligation after, Sec. 9034.1(a) and (b); 
      Sec. 9034.5
  See also: ELIGIBILITY
INTERNET
  Contributions made over, Sec. 9034.2(b) and (c); Sec. 9036.1(b)(7); 
      9036.2(b)(1)(vii)
INVESTIGATIONS
  See: AUDITS


                                    J

JOINT FUNDRAISING
  Aggregate contribution to, Sec. 9034.8(c)(6) and (7)
  Agreement required, Sec. 9034.8(c)(1)
  Allocation of contributions, Sec. 9034.8(c)(7)
  Committee/representative/agent for, Sec. 9034.8(b)
  Contribution limitations, Sec. 9034.8(c)(6) and (7)
  Depository for receipts from, separate, Sec. 9034.8(c)(4)
  Disbursements, reporting of, Sec. 9034.8(c)(9)(ii)
  Exemptions from allocation, Sec. 9034.8(c)(7)
  Expenditure exemption for, Sec. 9035.1(c)
  Expenses, allocation of, Sec. 9034.8(c)(8)
  Expenses from series, allocation of, Sec. 9034.8(c)(8)(i)(C)
  Formula for allocation, Sec. 9034.8(c)(1)
  Funds advanced for start-up costs, Sec. 9034.8(c)(2)
  Notice required for solicitations, Sec. 9034.8(c)(3)
  Procedures for, Sec. 9034.8(c)
  Proceeds, allocation of, Sec. 9034.8(c)(7)
  Receipts from, submitted for matching payments, Sec. 9034.2(c)(7); 
      Sec. 9034.8(a)(2)(i) and (c)(7)
  Recordkeeping requirements, Sec. 9034.8(c)(5) and (9)
  Representative
    -- duties, Sec. 9034.8(c)(5)
    -- participant as, Sec. 9034.8(b)(3)
    -- selection of, Sec. 9034.8(b)
    -- separate committee as, Sec. 9034.8(b)(1) and (2)
  Sale of assets acquired for, Sec. 9034.9
  Use of contributions received from, Sec. 9034.8(a)(2)


                                    L

LABOR ORGANIZATION
  Contributions from union account, nonmatchable, Sec. 9034.3(d) and (f)
  Contributions from union account, prohibited, Sec. 114.2(a)
LOANS
  Future matching payments as collateral, Sec. 100.7(b)(11)(i)(B); 
      Sec. 100.8(b)(12)(i)(B)
  Not matchable, Sec. 9034.3(b)
  Public funds may be used to repay, Sec. 9034.4(a)(1)


                                    M

MATCHABLE CAMPAIGN CONTRIBUTIONS
  Additional submissions for, Sec. 9036.2
  Candidate satisfies requirements for, Sec. 9036.1(c)
  Credit or debit cards, contributions by, Sec. 9034.2(b) and (c); 
      Sec. 9036.1(b)(7); Sec. 9036.2(b)(1)(iii)
  Definition of, Sec. 9034.2; Sec. 9034.3
  Documentation required for matching payments, Sec. 9034.2(c); 
      Sec. 9036.1(b); Sec. 9036.2(b)
  Eligibility for, See: ELIGIBILITY
  Examples of, Sec. 9034.2(c)
    -- attributed to more than one person, Sec. 9034.2(c)(1)

[[Page 378]]

    -- check drawn on escrow or trust account, Sec. 9034.2(c)(2)
    -- check drawn on joint checking account, Sec. 9034.2(c)(1)
    -- from joint fundraising activity, Sec. 9034.2(c)(7)
    -- negotiable instruments, Sec. 9034.2(c)(4)
    -- ticket purchases, Sec. 9034.2(c)(5) and (6)
    -- written on accounts of unincorporated associations, 
      Sec. 9034.2(c)(3)
  First submission after threshold, contents of, Sec. 9036.2(b)
  For ``essentially political event,'' Sec. 9034.2(c)(6)
  Ineligibility for, See: INELIGIBILITY
  Insufficient documentation of, Sec. 9036.3
  Joint fundraising receipts, Sec. 9034.8(a)(2) and (c)(6)
  Must comply with Guideline for Presentation in Good Order, 
      Sec. 9036.1(b)(8); Sec. 9036.2(b)
  Reattributed, Sec. 9034.2(c)(1)(iii)
  Received after reestablishment of active candidacy, Sec. 9034.1(c)
  Repayment of amounts in excess of entitlement, Sec. 9038.2(b)(1)(ii) 
      and (iii)
  Requirements, Sec. 9034.2(a)
  Threshold submissions, Sec. 9036.1
  See also: CONTRIBUTIONS; SUBMISSIONS
MATCHING PAYMENT ACCOUNT
  Definition, Sec. 9032.5
  Matching funds no longer contained, Sec. 9038.2(b)(2)(iii)(B)
  Source of repayments, Sec. 9034.4(c)
  See also: ACCOUNTS; PAYMENTS
MATCHING PAYMENT PERIOD
  Audits after close of, Sec. 9038.1
  Definition of, Sec. 9032.6
  End of, Sec. 9033.5(c)
  Payment of matching funds begins with, Sec. 9036.1(c); Sec. 9037.1
  See also: PAYMENTS
MEDIA
  Costs
    -- allocated among States, Sec. 106.2(b)(2)(i)
    -- attribution to primary or general, Sec. 9034.4(e)(5)
  Personnel, transportation and services provided to, Sec. 9034.6
  Production costs, not allocated, Sec. 106.2(b)(2)(i)(F)
  Reporting of reimbursement, Sec. 9034.6(e)


                                    N

NET OUTSTANDING CAMPAIGN OBLIGATIONS (NOCO)
  Considered in FEC determination, Sec. 9033.10(a)(6)
  Explanation of revisions, Sec. 9034.5(f)(2)
  Items not included on statement, Sec. 9034.5(b)(1)
  Matching funds to defray, Sec. 9034.1(b)
  Payments made on basis of debts, Sec. 9038.2(b)(1)
  Revised statement in event of shortfall, Sec. 9034.5(f)(3)
  Statement contents, Sec. 9034.5(a), (b), (c) and (f)
  Submission of statement(s), Sec. 9034.5(a) and (f)
  Valuation of assets, Sec. 9034.5(g)
  Winding down costs included, Sec. 9034.5(b)(2)
NONMATCHABLE CONTRIBUTIONS
  See: CONTRIBUTIONS
NOTIFICATIONS
  By candidate to FEC concerning
    -- authorization of committee, Sec. 9032.2(d)
    -- candidate agreements, Sec. 9033.1
    -- depository, Sec. 9033.1(b)(8)

[[Page 379]]

    -- disputed ineligibility determination, Sec. 9033.3(b)
    -- disputed repayment, Sec. 9038.2(c)(2) and (h); Sec. 9038.5
    -- disputed resubmission, Sec. 9036.5(e)
    -- explanation of expenditures, Sec. 9033.1(b)(3)
    -- extension of repayment period, Sec. 9038.2(d)
    -- identification of person entitled to receive matching funds, 
      Sec. 9033.1(b)(8)
    -- inactive candidacy, Sec. 9033.5(a)(2); Sec. 9033.7(a)
    -- liquidation of all obligations, Sec. 9038.3(b)
    -- net outstanding campaign obligations, Sec. 9034.5(a)
    -- newly discovered assets, Sec. 9038.2(g)
    -- nonmatchable contribution submitted, Sec. 9036.4(c)(1)
    -- refunded contribution, Sec. 9036.4(c)(1)
    -- request for resubmission, Sec. 9036.5
    -- stale-dated committee checks, Sec. 9038.6
    -- threshold requirements, Sec. 9033.4(b)
  By FEC to candidate concerning
    -- audit report, Sec. 9038.1(e)(1)
    -- certification of less than requested amount, Sec. 9036.4(b) and 
      (c)(2)
    -- continuing review, Sec. 9039.2(b)
    -- determination of active candidacy, Sec. 9033.7(b)
    -- determination of inactive candidacy, Sec. 9033.6(c)
    -- determination of ineligibility, Sec. 9033.3(b)
    -- determination to suspend payments, Sec. 9033.9(b)
    -- disputed unmatchable contributions, Sec. 9036.5(e)
    -- eligibility and certification requirements, Sec. 9034.1(a)
    -- failure to meet threshold requirements, Sec. 9033.4(a)(2)
    -- initial certification, Sec. 9036.1(c)
    -- lack of matching funds available, Sec. 9036.4(c)(2)
    -- last date for submission of contributions, Sec. 9036.6
    -- noncompliance with Title 2, Sec. 9033.9(b)
    -- possible candidate status, Sec. 9032.2(d)
    -- repayments, Sec. 9038.2(a) and (c)
    -- resubmission of documentation, Sec. 9036.4(b)
    -- result of inquiry, Sec. 9039.3(b)(4)
    -- review of submission, Sec. 9033.2(c)
    -- threshold requirements, Sec. 9033.4(b)


                                    P

PAYMENTS
  Bank depository for, Sec. 9033.1(b)(8); Sec. 9037.3
  By committee to candidate, Sec. 9034.4(b)(5)
  Candidate documentation of matchable contributions
    -- additional submissions, Sec. 9036.2(a) and (c)
    -- resubmissions, Sec. 9036.5
    -- threshold submissions, Sec. 9033.2
  Candidate eligibility for
    -- FEC determination of, Sec. 9036.1
    -- reestablishment of, Sec. 9033.8
    -- requirements, Sec. 9033.1; Sec. 9033.2; Sec. 9035.1
    See also: ELIGIBILITY
  Candidate ineligible for, Sec. 9033.3(a) and (d); Sec. 9034.1(a)
    See also: INELIGIBILITY
  Certification of funds by FEC to Secretary of Treasury
    -- additional amounts, Sec. 9036.2(d); Sec. 9036.6
    -- disputed submissions, Sec. 9036.5(c)
    -- for less than amount requested, Sec. 9036.4(b) and (c)(2)
    -- for threshold submission, Sec. 9036.1(c)

[[Page 380]]

  Changes in recipient information, Sec. 9033.1(b)(8)
  Collateral for bank loan, Sec. 100.7(b)(11)(i)(B); 
      Sec. 100.8(b)(12)(i)(B)
  Continuation of payments after ineligibility, Sec. 9034.1(b)
  Entitlement to funds, Sec. 9034.1
  Equal distribution of funds by Secretary of Treasury, Sec. 9037.2
  Excessive, examples of, Sec. 9038.2(b)(1)
  Limitation of, Sec. 9034.1(d)
  Matchable campaign contributions, Sec. 9034.2
  Matching payment account, Sec. 9032.5
  Matching payment period, Sec. 9032.6
  Net outstanding campaign obligations, based on, Sec. 9033.10(a); 
      Sec. 9034.1
  Nonmatchable campaign contributions, Sec. 9034.3
  Payment schedule, Sec. 9036.1(c); Sec. 9036.2(d)
  Post-election payments, Sec. 9036.6
  Reimbursement to candidate for campaign expenses, Sec. 9034.4(b)(5)
  Repayments, See: REPAYMENTS
  Secretary of the Treasury disbursements, Sec. 9037.1; Sec. 9037.2
  Shortfall in matching payment account, Sec. 9036.4(c)(2); Sec. 9037.1; 
      Sec. 9037.2
  Suspension of, for noncompliance, Sec. 9033.3(b); Sec. 9033.9
  Suspension of, right to appeal, Sec. 9033.3(b); Sec. 9033.10
  Termination of payments, Sec. 9033.6; Sec. 9034.1
  Use of, See: USE OF FUNDS
PERSONAL FUNDS
  Definition, Sec. 9035.2
  Limitations on, Sec. 9035.2
  Of Vice Presidential candidate, Sec. 110.8(f)(2)
  Repayments, source of, Sec. 9034.4(c)
PETITIONS FOR HEARING
  See: REPAYMENTS
POLITICAL COMMITTEE
  Authorized by candidate, Sec. 9032.1
  Contributions not matchable, Sec. 9034.3(d)
  Definition, Sec. 9032.8
POLLING
  See: EXPENDITURES
PRIMARY
  See: ELECTION
PRIMARY MATCHING FUNDS
  See: ENTITLEMENT, PAYMENTS
PUBLIC FUNDS
  See: ENTITLEMENT; PAYMENTS; REPAYMENTS; USE OF FUNDS


                                    Q

QUALIFIED CAMPAIGN EXPENSES
  Attribution to primary/general election, Sec. 9034.4(e)
  Authorization to make, Sec. 9032.9(b)
  Burden of proof, Sec. 9033.1(b)(1); Sec. 9033.11(a)
  Certification not to exceed limitations, Sec. 9033.2(b)(2)
  Definition, Sec. 9032.9; Sec. 9034.4(a)
  Documentation required to prove, Sec. 9033.11(a) and (b); 
      Sec. 9034.4(b)(7)
  Gifts and bonuses, Sec. 9034.4(a)(5)
  Limitation on, Sec. 9035.1
  Liquidation of, Sec. 9038.3
  Matchability contingent upon, Sec. 9034.4(a)
  Media
    -- allocation of costs, by State, Sec. 106.2(b)(1)(i)
    -- attribution to primary/general election, Sec. 9034.4(e)(5)
    -- nationwide advertising, Sec. 106.2(b)(2)(i)(E)

[[Page 381]]

    -- personnel, transportation and services provided to, Sec. 9034.6
    -- production costs incurred for, Sec. 106.2(b)(2)(i)(F)
  Nonqualified campaign expenses, Sec. 9034.4(b)
    -- See also: EXPENDITURES
  Secret Service, transportation and services for, Sec. 9034.6(a)
  Taxes, Sec. 9034.4(a)(4)
  Termination of political activity, Sec. 9034.4(a)(3)
  ``Testing-the-waters,'' Sec. 9034.4(a)(2)
  Travel, allocation of
    -- between primary/general election, Sec. 9034.4(e)(7)
    -- candidate's spouse/family accompanying, Sec. 9034.7(b)(6)
    -- charters, Sec. 9034.7(b)(4) and (7)(i)
    -- commercial airlines, Sec. 9034.7(b)(7)(ii)
    -- government conveyance, Sec. 9034.7(b)(4) and (5)
    -- incidental contacts, Sec. 9034.7(b)(2)
    -- itinerary required, Sec. 9034.7(b)(3)
    -- noncampaign-related stops, Sec. 9034.7(b)(2)
  Use of public funds for, Sec. 9034.4(a)
  Use of public funds for other than, Sec. 9034.4(b); Sec. 9038.2(b)(2)
  Winding down costs, Sec. 9034.4(a)(3)
  See also: EXPENDITURES


                                    R

RECEIPTS
  See: CONTRIBUTIONS; MATCHABLE CAMPAIGN CONTRIBUTIONS
RECORDS
  Agreement to keep, Sec. 9033.1(a) and (b)(2)-(6)
  Allocation of exempted expenditures, Sec. 9035.1(c)
  Audit review of, Sec. 9033.1(b)(7); Sec. 9038.1
  Capital and other assets, requirements for, Sec. 9033.11(d); 
      Sec. 9034.5(c)
  Computerized
    -- agreement to furnish, Sec. 9033.1(b)(5)
    -- digital imaging, Sec. 9036.2(b)(1)(vi)
    -- production of, Sec. 9033.12
    -- requested during audit, Sec. 9038.1(b)
  Joint fundraising, requirements for, Sec. 9034.8(c)(5) and (9)
  Recordkeeping requirements, Sec. 9033.11
  Retention of, Sec. 9033.11(c); Sec. 9039.1
  See also: DOCUMENTATION; REPORTING; SUBMISSIONS; 11 CFR PART 102
REPAYMENTS
  Additional determinations, Sec. 9038.2(f) and (g)
  Agreement to comply with determination, Sec. 9033.1(b)(7)
  Appeal procedures, Sec. 9038.2(c) and (h); Sec. 9038.5
  Bases for, Sec. 9038.2(b)
    -- debts settled for less than owed, Sec. 9038.2(b)(1)(v)
    -- failure to provide adequate documentation, Sec. 9038.2(b)(3)
    -- funds used for nonqualified campaign expenses, Sec. 9038.2(b)(2)
    -- payments exceed entitlement, Sec. 9038.2(b)(1)
    -- surplus of funds, Sec. 9038.2(b)(4); Sec. 9038.3(c)
  Exempted from limitations on personal funds, Sec. 9035.2(a)(1)
  FEC determination of need for making, Sec. 9038.2(a)(1)
    -- administrative record for, Sec. 9038.7
    -- notification of, Sec. 9038.2(a)(2) and (c)(1)
    -- procedures for, Sec. 9038.2(c)
    -- time limit on, Sec. 9038.2(a)(2)
  Inquiry resulting in, Sec. 9039.3(b)(4)
  Liquidation of obligations, Sec. 9038.3

[[Page 382]]

  Newly discovered assets, Sec. 9038.2(g)
  Petitions for rehearing
    -- effect of failure to raise issues, Sec. 9038.5(b)
    -- requirements to file, Sec. 9038.5(a)(1)
    -- suspension of time for repayment, Sec. 9038.5(a)(2)
    -- time of filing, Sec. 9038.5(a)(1)(i)
  Primary obligation, over other debts, Sec. 9038.2(a)(3)
  Settlement for less than amount owed, prohibited, Sec. 116.7(c)(1)
  Sources of, Sec. 9038.2(a)(4)
  Stay of determination
    -- amount of interest due, Sec. 9038.5(c)(4)
    -- amount placed in separate account, Sec. 9038.5(c)(2)(i)
    -- amount requested to be stayed, Sec. 9038.5(c)(1)(i)
    -- basis for Commission approval, Sec. 9038.5(c)(2) and (3)
    -- criteria for candidate to meet, Sec. 9038.5(c)(2)(iii)
    -- payment of interest required, Sec. 9038.5(c)(4)
    -- surety bond, posted on amount, Sec. 9038.5(c)(2)(ii)
    -- time of making request, Sec. 9038.5(c)(1)(ii)
  Stale-dated checks, Sec. 9038.6
  Time period for making, Sec. 9038.2(d) and (e); Sec. 9038.4
REPORTING
  Allocation of expenditures by State, Sec. 106.2(c)
  Alphabetized schedules, Sec. 9037.4
  Appeal of FEC determination of failure to file, Sec. 9033.9
  Compliance with requirements by candidate/committee, Sec. 9033.1(a) 
      and (b)(10)
  Computer-generated, Sec. 104.2(d); Sec. 9033.1(b)(5); Sec. 9037.4
  Electronic filing of reports, Sec. 104.18; Sec. 9033.1(b)(13)
  Fundraising representative's duties, Sec. 9034.8(b)
  Joint fundraising, receipts and disbursements, Sec. 9034.8(c)(9)
  Location for filing, Sec. 105.3; Sec. 108.2
  Media, reimbursement for travel/services provided to, Sec. 9034.6(e)
  Net outstanding campaign obligations, Sec. 9034.5(a)
  Requirements, Sec. 9033.1(b)(10)
  Review by FEC, Sec. 9039.2; Sec. 9039.3
  Schedule for filing, Sec. 104.5(b)
  Travel expenses, Sec. 9034.7(a)
  See also: QUALIFIED CAMPAIGN EXPENSES; 11 CFR PARTS 104, 105 and 108
RESUBMISSIONS
  See: SUBMISSIONS
REVIEW
  See: AUDITS; SUBMISSIONS


                                    S

SECRETARY OF TREASURY
  Definition, Sec. 9032.10
  Equitable distribution of funds by, Sec. 9037.2
  Establishment of primary matching payment account, Sec. 9032.5
  FEC certifications to Secretary for
    -- additional requests, Sec. 9036.2(d)
    -- disputed submissions, Sec. 9036.5(d)
    -- less than requested amount, Sec. 9036.4(b) and (c)(2)
    -- threshold amount, Sec. 9036.1(c)(2)
    -- undisputed submissions, Sec. 9036.4(b)(3)
  Repayment by committee to, Sec. 9038.2(d); Sec. 9038.6
STATE
  Action under State law to qualify as candidate, Sec. 9032.2(a)
  Activity in more than one State
    -- defines eligibility of candidate, Sec. 9033.2(b)

[[Page 383]]

    -- defines ineligibility date, Sec. 9033.5(a) and (b)
    -- determines inactive candidacy, Sec. 9033.6(a) and (c)
    -- reestablishes eligibility, Sec. 9033.8(a) and (b)
  Contributions submitted for matching, segregated by
    -- for additional submissions, Sec. 9036.2(b)(1)
    -- for threshold submissions, Sec. 9036.1(b)(3)
  Definition of State, Sec. 9032.11
  Filing with Secretary of, part 108
  Preemption of State law, Sec. 9032.9(a)(3)
  Violation of State law, Sec. 9032.9(a)(3)
SUBMISSIONS
  Additional
    -- alphabetical list, Sec. 9036.2(b)(1)(ii)
    -- amount to be certified, Sec. 9036.2(d)
    -- certification by FEC, Sec. 9036.2(d)
    -- contributions returned to contributor, Sec. 9036.2(b)(1)(iii) and 
      (iv)
    -- contributor information required, Sec. 9036.2(b)(1)(v)
    -- dates for presenting, Sec. 9036.2(a); Sec. 9036.6
    -- digital imaging used for, Sec. 9036.2(b)(1)(vi)
    -- documentation supporting, Sec. 9036.2(b)
    -- first additional submission, Sec. 9036.2(b)(1)
    -- format for, Sec. 9036.2(b)
    -- in non-Presidential election year, Sec. 9036.2(c)
    -- last date for submitting contributions, Sec. 9036.6
    -- notification of last date by FEC, Sec. 9036.6
    -- photocopies of checks required, Sec. 9036.2(b)(1)(vi)
  Adjustments to, Sec. 9036.4(c)
  Audit of, Sec. 9036.4(d)
  Credit or debit cards, Sec. 9036.2(b)(1)(vii)
  Errors, Sec. 9035.1(c)(1)
    -- discrepancy between contribution list and written instrument, 
      Sec. 9036.3(b)
    -- discrepancy in written instrument, Sec. 9036.3(a)
    -- inconsistency within/between contributor lists, Sec. 9036.3(c)
    -- insufficient documentation as basis for rejection, Sec. 9036.3
    -- omission of information/supporting documentation, Sec. 9036.3(d)
  Insufficient documentation as basis for ineligibility, Sec. 9036.3
  Nonmatchable contribution, Sec. 9036.4(c)(1)
  Resubmissions
    -- alternative methods of, Sec. 9036.5(a)
    -- certification of, Sec. 9036.5(d)
    -- cutoff date, Sec. 9036.5(b)
    -- dates for presenting, Sec. 9036.5(b)
    -- documentation required, Sec. 9036.5(c)
    -- final determination of, Sec. 9036.5(e) and (f)
    -- format for, Sec. 9036.5(c)
  Review by FEC
    -- accepted for matching, Sec. 9036.4(b)
    -- adjustment of amount to be matched, Sec. 9036.4(c)
    -- certification of less than amount requested, Sec. 9036.4(b) and 
      (c)
    -- continuing, Sec. 9039.2
    -- error rate leading to cessation of review, Sec. 9036.2(d)(2); 
      Sec. 9036.4(a)(2)
    -- past actions considered, Sec. 9033.4(d)(2); Sec. 9036.4(a)(2)
    -- rejected for noncompliance with Guideline, Sec. 9036.4(a)
    -- statistical sampling techniques used, Sec. 9036.4(b)
  Revised NOCO statement in event of shortfall, Sec. 9034.5(f)
  Schedule, as designated by FEC, Sec. 9036.6
  Threshold submissions
    -- bank depository documentation required, Sec. 9036.1(b)(3)

[[Page 384]]

    -- certification by FEC, Sec. 9036.1(c)(2)
    -- computerized information, Sec. 9036.1(b)(2)
    -- content of, Sec. 9036.1(b)
    -- contributor information required, Sec. 9036.1(b)(1)
    -- date for making, Sec. 9036.1(a)
    -- documentation required, Sec. 9036.1(b)(3)
    -- Guideline for Presentation in Good Order, Sec. 9036.1(b)(7)
    -- notification of eligibility, Sec. 9036.1(c)
    -- photocopy of written instrument, Sec. 9036.1(b)
    -- refunded contributions, listed, Sec. 9036.1(b)(6)
    -- segregation of contributions by State, Sec. 9036.1(b)
  See also: CERTIFICATIONS; CONTRIBUTIONS; NOTIFICATIONS; RECORDS


                                    T

TERMINATION OF PAYMENTS
  See: ELIGIBILITY; INELIGIBILITY; PAYMENTS
THRESHOLD
  See: CERTIFICATIONS; ELIGIBILITY; SUBMISSIONS
TRANSFERS
  Between
    -- affiliated committees, Sec. 110.3(c)(1)
    -- candidate's nonfederal and federal campaigns, Sec. 110.3(c)(6)
    -- candidate's previous and current committees, Sec. 110.3(c)(4)
    -- candidate's primary and general election campaigns, 
      Sec. 110.3(c)(3)
    -- committees of one party, Sec. 102.6(a); Sec. 110.3(c)
    -- dual candidate's campaign committees, Sec. 110.3(c)(5) and (7); 
      Sec. 110.8(d)(2); Sec. 9034.4(d)
  Not qualified campaign expense, Sec. 9034.4(b)(6)
  Of joint fundraising proceeds, Sec. 110.3(c)(2)
  Recordkeeping required, Sec. 102.9(b)(1); Sec. 110.3(c)(6)(i)
  Reporting
    -- by transferring nonfederal campaign committee, 
      Sec. 110.3(c)(6)(i)
    -- from committee, Sec. 104.3(b)(4)(ii)
    -- to committee, Sec. 104.3(a)(4)(iii)(A)
  Unlimited, Sec. 102.6(a); Sec. 110.3(c)(1); Sec. 113.2(c)
  When actively seeking election to more than one office, 
      Sec. 110.3(c)(5)(i); Sec. 110.8(d)(2); Sec. 9034.4(d)
TRANSPORTATION
  Interstate, not allocable, Sec. 106.2(c)(4)
  Intra-State, allocable, Sec. 106.2(a)(2)
  Of media personnel, Sec. 9034.6
TRAVEL
  See: QUALIFIED CAMPAIGN EXPENSES
TREASURY
  See: SECRETARY OF TREASURY


                                    U

USE OF FUNDS
  Continuing to campaign, Sec. 9034.4(a)(3) and (b)(3)
  Depository for matching funds, Sec. 9037.3
  Determining whether to become candidate, Sec. 9034.4(a)(2)
  Expenses incurred during period of ineligibility, Sec. 9034.1(c)
  Net outstanding campaign obligations, Sec. 9034.1(b)
  Qualified campaign expenses, Sec. 9034.4
    -- See also: QUALIFIED CAMPAIGN EXPENSES
  State or national campaign offices, Sec. 9034.4(e)(3)
  Terminating political activity, Sec. 9034.4(a)(3)(i)

[[Page 385]]

  Transfers to other campaigns, Sec. 110.3(c)(5); Sec. 110.8(d); 
      Sec. 9034.4(d)
  Winding down costs, Sec. 9034.4(a)(3)


                                    V

VICE PRESIDENTIAL CANDIDATES
  Contributions to and expenditures by, Sec. 9035.3
VOTING AGE POPULATION
  Definition, Sec. 110.9(d)
  Used in determining expenditure limitations, Sec. 110.8(a)(1)



[[Page 387]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2002)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

              

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3201)

[[Page 388]]

     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
    LXXIII  Department of Agriculture (Part 8301)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

              

[[Page 389]]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
      XIII  Northeast Dairy Compact Commission (Parts 1300--1399)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)

[[Page 390]]

      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--599)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

[[Page 391]]

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Office of Management and Budget (Parts 1300--1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)

[[Page 392]]

        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)

[[Page 393]]

        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)

[[Page 394]]

        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)

[[Page 395]]

       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

[[Page 396]]

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)

[[Page 397]]

        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)

[[Page 398]]

        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

[[Page 399]]

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-70)

[[Page 400]]

       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)

[[Page 401]]

         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  United States Agency for International Development 
                (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)

[[Page 402]]

         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)

[[Page 403]]

        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Transportation (Parts 1500--1599)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 405]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2002)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 406]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 407]]

  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   5, LIV; 40, I, IV, VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                5, III, LXXVII; 14, VI; 
                                                  48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV

[[Page 408]]

Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulation          41, 101

[[Page 409]]

  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Centers for Medicare & Medicaid Services        42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Centers for Medicare & Medicaid Services          42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV

[[Page 410]]

  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I, XI; 40, 
                                                  IV
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99

[[Page 411]]

Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   45, XII, XXV
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Dairy Compact Commission                7, XIII
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35

[[Page 412]]

Panama Canal Regulations                          35, I
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Commercial Space Transportation                 14, III

[[Page 413]]

  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Security Administration          49, XII
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Brureau                 49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 415]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven 
separate volumes.

                                  1986

11 CFR
                                                                   51 FR
                                                                    Page
Chapter I
7  Added...........................................................34446

                                  1987

11 CFR
                                                                   52 FR
                                                                    Page
Chapter I
4  Authority citation revised...............................23637, 39212
4.1  (g) through (n) added; interim................................23637
    (g) through (n) revised........................................39212
4.5  (a) introductory text and (7) revised; (b) through (d) 
        redesignated as (c) through (e); new (b) added; interim....23638
    (a) introductory text and (7) and (b) revised..................39212
4.7  (c) revised; interim..........................................23638
    (c) revised....................................................39213
4.9  Revised; interim..............................................23638
    Revised........................................................39213
5.6  (a)(1) amended; interim.......................................23640
    (a)(1) amended.................................................39214
100.5  (e)(5) revised (effective date pending).....................35534
    Eff. 11-20-87..................................................44594
100.7  (c) revised (effective date pending)..........................773
    Eff. 4-8-87....................................................11187
100.8  (c) revised (effective date pending)..........................773
    Eff. 4-8-87....................................................11187
102.9  Introductory text and (e) revised; (f) added (effective 
        date pending)................................................773
    Eff. 4-8-87....................................................11187
103.3  Revised (effective date pending)..............................774
    Eff. 4-8-87....................................................11187
104  Authority citation revised......................................774
104.8  (d) revised (effective date pending)..........................774
    Eff. 4-8-87....................................................11187
106  Authority citation revised....................................20874
106.2  Revised (effective date pending)............................20874
    Eff. 8-18-87...................................................30904
110  Authority citation revised......................................769
110.1  Revised (effective date pending)..............................769
    Eff. 4-8-87....................................................11187
    (m) added (effective date pending).............................35534
    Eff. 11-20-87..................................................44594
110.2  Revised (effective date pending)..............................772
    Eff. 4-8-87....................................................11187
    (j) added (effective date pending).............................35534
    Eff. 11-20-87..................................................44594
110.14  Revised (effective date pending)...........................35534
    Eff. 11-20-87..................................................44594
9001  Revised (effective date pending).............................20876
    Eff. 8-18-87...................................................30904
9002  Revised (effective date pending).............................20876
    Eff. 8-18-87...................................................30904

[[Page 416]]

9003  Revised (effective date pending).............................20877
    Eff. 8-18-87...................................................30904
9004  Revised (effective date pending).............................20882
    Eff. 8-18-87...................................................30904
9005  Revised (effective date pending).............................20886
    Eff. 8-18-87...................................................30904
9006  Revised (effective date pending).............................20887
    Eff. 8-18-87...................................................30904
9007  Revised (effective date pending).............................20887
    Eff. 8-18-87...................................................30904
9012  Revised (effective date pending).............................20891
    Eff. 8-18-87...................................................30904
9031--9039 (Subchapter F)  Revised (effective date pending)........20892
    Eff. 8-18-87...................................................30904

                                  1988

                       (No regulations published)

                                  1989

11 CFR
                                                                   54 FR
                                                                    Page
Chapter I
100.5  (g) revised (effective date pending)........................34109
    Regulation at 54 FR 34109 eff. 11-24-89........................48580
102.2  (b)(1) introductory text and (i) revised (effective date 
        pending)...................................................34109
    Regulation at 54 FR 34109 eff. 11-24-89........................48580
110.1  (f)(3) revised (effective date pending).....................34110
    Regulation at 54 FR 34110 eff. 11-24-89........................48580
110.3  Revised (effective date pending)............................34110
    Regulation at 54 FR 34110 eff. 11-24-89........................48580
110.4  Revised (effective date pending)............................34112
    Regulation at 54 FR 34112 eff. 11-24-89........................48580
    (a) revised (effective date pending)...........................48582
110.5  Revised (effective date pending)............................34112
    Regulation at 54 FR 34112 eff. 11-24-89........................48580
110.6  Revised (effective date pending)............................34113
    Regulation at 54 FR 34113 eff. 11-24-89........................48580
110.8  (d)(2) revised (effective date pending).....................34114
    Regulation at 54 FR 34114 eff. 11-24-89........................48580
114  Authority citation revised....................................10622
114.5  (g)(1) revised (effective date pending).....................34114
    Regulation at 54 FR 34114 eff. 11-24-89........................48580
114.8  (f) revised (effective date pending)........................10622
    Regulation at 54 FR 10622 eff. 6-28-89.........................27154
    (g)(1) introductory text revised (effective date pending)......34114
    Regulation at 54 FR 34114 eff. 11-24-89........................48580
9034.4  (d) revised (effective date pending).......................34114
    Regulation at 54 FR 34114 eff. 11-24-89........................48580

                                  1990

11 CFR
                                                                   55 FR
                                                                    Page
Chapter I
100.7  (a)(4) revised (effective date pending).....................26385
    Regulation at 55 FR 26385 effective 10-3-90....................40377
102.5  (a)(1)(i) revised; (a)(3) added; effective date pending)....26067
    Regulation at 55 FR 26067 effective date 1-1-91................40377
104.3  (d) revised (effective date pending)........................26386
    Regulation at 55 FR 26386 effective 10-3-90....................40377
104.8  Heading and (a) revised; (e) and (f) added (effective date 
        pending)...................................................26067
    Regulation at 55 FR 26067 effective 1-1-91.....................40377
104.9  Heading and (a) revised; (c), (d), and (e) added (effective 
        date pending)..............................................26067
    Regulation at 55 FR 26067 effective 1-1-91.....................40377
104.10  Revised (effective date pending)...........................26068

[[Page 417]]

    (b)(1)(i), (ii)(B), and (5) corrected..........................34007
    Regulation at 55 FR 26068 effective 1-1-91.....................40377
104.11  (b) revised (effective date pending).......................26386
    Regulation at 55 FR 26386 effective 10-3-90....................40377
106  Authority citation revised.............................26069, 26394
106.1  Heading, (a), and (e) revised (effective date pending)......26069
    Regulation at 55 FR 26069 effective 1-1-91.....................40377
106.2  (c)(5)(i) revised (effective date pending)..................26394
    Regulation at 55 FR 26394 effective 10-3-90....................40378
106.5  Added (effective date pending)..............................26069
    Regulation at 55 FR 26069 effective 1-1-91.....................40377
106.6  Added (effective date pending)..............................26071
    Regulation at 55 FR 26071 effective 1-1-91.....................40377
110.1  (f)(3) corrected.............................................2281
110.4  (a)(3) Correctly designated..................................1139
    Regulation at 54 FR 48580 eff. 4-11-90.........................13507
114.8  (g)(1) introductory text corrected...........................2281
114.10  Removed (effective date pending)...........................26386
    Regulation at 55 FR 26386 effective 10-3-90....................40377
116  Added (effective date pending)................................26386
    Regulation at 55 FR 26386 effective 10-3-90....................40377
116.1  (c) corrected...............................................34007
9003.3  (a)(2)(i)(E), (iii), (b)(6), and (c)(3)(iv) revised; 
        (a)(2)(i)(F) redesignated as (a)(2)(i)(G); new 
        (a)(2)(i)(F) and (c)(3)(v) added (effective date pending) 
                                                                   26395
    Regulation at 55 FR 26395 effective 10-3-90....................40378
9003.6  Added (effective date pending).............................26395
    Regulation at 55 FR 26395 effective 10-3-90....................40378
9007.1  (b)(1) revised (effective date pending)....................26396
    Regulation at 55 FR 26396 effective 10-3-90....................40378
9033  Designation corrected........................................34007
9033.12  Added (effective date pending)............................26396
    (a)(3) corrected...............................................34007
    Regulation at 55 FR 26396 effective 10-3-90....................40378
9035.1  (c)(1) revised (effective date pending)....................26396
    (c)(1) corrected...............................................34007
    Regulation at 55 FR 26396 effective 10-3-90....................40378
9038.1  (b)(1) introductory text revised (effective date pending) 
                                                                   26397
    Regulation at 55 FR 26397 effective 10-3-90....................40378

                                  1991

11 CFR
                                                                   56 FR
                                                                    Page
Chapter I
100.7  (b)(11)(i) and (ii) added (effective date pending)..........67123
100.8  (b)(21) revised (effective date pending)....................35908
    Regulation at 56 FR 35908 eff. 11-6-91.........................56570
    (b)(12)(i) and (ii) added (effective date pending).............67123
102.3  (a) redesignated as (a)(1); (a)(2) added (effective date 
        pending)...................................................34126
    Regulation at 56 FR 34126 eff. 11-6-91.........................56570
102.17  (a)(1)(i), (c)(1) and (6)(ii) revised; (c)(7)(i)(C) added 
        (effective date pending)...................................35909
    Regulation at 56 FR 35909 eff. 11-6-91.........................56570
104.3  (d)(1), (2) and (3) added (effective date pending)..........67124
106.2  Revised (effective date pending)............................35909
    Regulation at 56 FR 35909 eff. 11-6-91.........................56570
110.1  (l) revised (effective date pending)........................35911
    Regulation at 56 FR 35911 eff. 11-6-91.........................56570
110.8  (c)(2) revised; (f)(2) amended (effective date pending).....35911
    Regulation at 56 FR 35911 eff. 11-6-91.........................56570

[[Page 418]]

110.12  (a), (b) introductory text, (1) and (5) revised.............9276
    (a) corrected..................................................12583
113.1  (f) added (effective date pending)..........................34126
    Corrected......................................................41890
    Regulation at 56 FR 34126 eff. 11-6-91.........................56570
113.2  (d) revised; (e) and (f) added (effective date pending).....34126
    Regulation at 56 FR 34126 eff. 11-6-91.........................56570
116.5  (b)(2) revised (effective date pending).....................35911
    Regulation at 56 FR 35911 eff. 11-6-91.........................56570
9001  Revised (effective date pending).............................35911
    Regulation at 56 FR 35911 eff. 11-6-91.........................56570
9002  Revised (effective date pending).............................35911
    Regulation at 56 FR 35911 eff. 11-6-91.........................56570
9003  Revised (effective date pending).............................35913
    Regulation at 56 FR 35913 eff. 11-6-91.........................56570
9004  Revised (effective date pending).............................35919
    Regulation at 56 FR 35919 eff. 11-6-91.........................56570
9005  Revised (effective date pending).............................35923
    Regulation at 56 FR 35923 eff. 11-6-91.........................56570
9005.1  (a) corrected..............................................42380
    (a) corrected..................................................55972
9006  Revised (effective date pending).............................35924
    Regulation at 56 FR 35924 eff. 11-6-91.........................56570
9007  Revised (effective date pending).............................35924
    Regulation at 56 FR 35924 eff. 11-6-91.........................56570
9007.1  (b)(1) introductory text corrected.........................42380
9012  Revised (effective date pending).............................35928
    Authority citation corrected...................................42380
    Regulation at 56 FR 35928 eff. 11-6-91.........................56570
9031  Revised (effective date pending).............................35929
    Regulation at 56 FR 35929 eff. 11-6-91.........................56570
9032  Revised (effective date pending).............................35929
    Regulation at 56 FR 35929 eff. 11-6-91.........................56570
9033  Revised (effective date pending).............................35930
    Regulation at 56 FR 35930 eff. 11-6-91.........................56570
9034  Revised (effective date pending).............................35934
    Regulation at 56 FR 35934 eff. 11-6-91.........................56570
9034.1  (a) revised (effective date pending).......................34132
    Regulation at 56 FR 34132 eff. 11-6-91.........................56570
9034.5  (f) revised (effective date pending).......................34132
    (g)(2) corrected...............................................42380
    Regulation at 56 FR 34132 eff. 11-6-91.........................56570
9034.8  (b)(1) introductory text and (c)(1) corrected..............42380
9035  Revised (effective date pending).............................35941
    Regulation at 56 FR 35941 eff. 11-6-91.........................56570
9036  Revised (effective date pending).............................35941
    Regulation at 56 FR 35941 eff. 11-6-91.........................56570
9036.2  Revised (effective date pending)...........................34132
    (d)(2) corrected...............................................41891
    Regulation at 56 FR 34132 eff. 11-6-91.........................56570
9036.3  Heading corrected..........................................42380
9036.4  Revised (effective date pending)...........................34133
    Regulation at 56 FR 34133 eff. 11-6-91.........................56570
9036.5  (d) revised (effective date pending).......................34134
    Regulation at 56 FR 34134 eff. 11-6-91.........................56570
9036.6  Revised (effective date pending)...........................34134
    Regulation at 56 FR 34134 eff. 11-6-91.........................56570
9037  Revised (effective date pending).............................35944
    Regulation at 56 FR 35944 eff. 11-6-91.........................56570

[[Page 419]]

9037.1  Revised (effective date pending)...........................34134
    Regulation at 56 FR 34134 eff. 11-6-91.........................56570
9037.2  Revised (effective date pending)...........................34134
    Regulation at 56 FR 34134 eff. 11-6-91.........................56570
9038  Revised (effective date pending).............................35945
    Regulation at 56 FR 35945 eff. 11-6-91.........................56570
9038.1  (b)(1)(ii) and (c)(2) corrected............................42380
9039  Revised (effective date pending).............................35949
    Regulation at 56 FR 35949 eff. 11-6-91.........................56570
9039.3  (b)(2)(v) corrected........................................42380

                                  1992

11 CFR
                                                                   57 FR
                                                                    Page
Chapter I
100.7  (b)(19) removed..............................................1640
    Technical correction............................................2638
    Regulation at 56 FR 67123 eff. 4-2-92..........................11263
100.8  Technical correction.........................................2638
    Regulation at 56 FR 67123 eff. 4-2-92..........................11263
102.14  (a) revised (effective date pending).......................31426
    Regulation at 57 FR 31426 eff. 11-4-92.........................47258
104.3  Technical correction.........................................2638
    Regulation at 56 FR 67124 eff. 4-2-92..........................11263
106.5  (d)(1)(ii) amended; (f) and (g)(2)(ii)(B) revised 
        (effective date pending)....................................8993
    (f) heading and (1) corrected..................................11137
    Regulation at 57 FR 8993 effective in part 1-1-91 and 6-18-92 
                                                                   27146
106.6  (d) and (e)(2)(ii)(B) revised (effective date pending).......8993
    Regulation at 57 FR 8993 eff. 6-18-92..........................27146
110  Authority citation revised.....................................1640
110.3  (c) heading revised; (c)(6) removed; (d) added (effective 
        date pending)..............................................36345
110.12  Removed.....................................................1640
114.1  (a)(2)(iv) removed...........................................1640
200 (Subchapter B)  Added..........................................34510
200.1  Corrected...................................................39743
201  Added; interim................................................58135
9034.1  Regulations at 56 FR 34132 and 56570 effective date 
        corrected to 11-7-91........................................6665
9034.5  Regulations at 56 FR 34132 and 56570 effective date 
        corrected to 11-7-91........................................6665
9036.2  Regulations at 56 FR 34132 and 56570 effective date 
        corrected to 11-7-91........................................6665
9036.4  Regulations at 56 FR 34133 and 56570 effective date 
        corrected to 11-7-91........................................6665
9036.5  Regulations at 56 FR 34134 and 56570 effective date 
        corrected to 11-7-91........................................6665
9036.6  Regulations at 56 FR 34134 and 56570 effective date 
        corrected to 11-7-91........................................6665
9037.1  Regulations at 56 FR 34134 and 56570 effective date 
        corrected to 11-7-91........................................6665
9037.2  Regulations at 56 FR 34134 and 56570 effective date 
        corrected to 11-7-91........................................6665

                                  1993

11 CFR
                                                                   58 FR
                                                                    Page
Chapter I
Chapter  I Clarification...........................................59640
100.8  (b)(4)(iv) revised (effective date pending).................45774
    Regulation at 58 FR 45774 eff. 11-10-93........................59641
102.2  (a)(3) added (effective date pending).......................42173
    Regulation at 58 FR 42173 eff. 1-1-94..........................59641
104.7  (b) revised (effective date pending)........................57729
    (b)(1) corrected...............................................60244
110.2  (a) redesignated as (a)(1); (a)(2) added (effective date 
        pending)...................................................42173
    Regulation at 58 FR 42173 eff. 1-1-94..........................59641
110.3  (c) heading revised; (c)(6) removed; (d) added...............3476
    Regulation at 58 FR 3476 eff. date delayed to 7-1-93...........14310
    Regulation at 58 FR 3476 eff. 7-1-93...........................17968
112  Policy statement..............................................59642

[[Page 420]]

    Advisory opinion comment procedure.............................62259
114.1  (e) revised (effective date pending)........................45775
    Regulation at 58 FR 45775 eff. 11-10-93........................59641
114.7  (k) added (effective date pending)..........................45775
    Regulation at 58 FR 45775 eff. 11-10-93........................59641
201  Hearing.................................................6875, 14510
    Revised; interim...............................................59645

                                  1994

11 CFR
                                                                   59 FR
                                                                    Page
Chapter I
8  Added...........................................................32323
8.4  (a)(2) corrected..............................................40639
8.7  (c) revised...................................................64560
102.14  (b)(3) added (effective date pending)......................17269
    Regulation  at 59 FR 17269 eff. 6-30-94........................33643
    (b)(3)  corrected..............................................35785
104.7  Regulation at 58 FR 57729 eff. 3-3-94.......................10057
107  Revised (effective date pending)..............................33615
    Technical  correction..........................................39635
    Regulation  at 59 FR 33615 eff. 8-25-94........................43726
114  Technical correction..........................................39635
114.1  (a)(2)(viii) revised (effective date pending)...............33615
    Regulation  at 59 FR 33615 eff. 8-25-94........................43726
9008  Revised (effective date pending).............................33616
    Technical  correction..........................................39635
    Regulation  at 59 FR 33616 eff. 8-25-94........................43726

                                  1995

11 CFR
                                                                   60 FR
                                                                    Page
Chapter I
1.14  (b) redesignated as (c); new (b) added........................4073
100.7  (b)(21) revised (effective date pending)....................64272
100.8  (b)(22) revised (effective date pending).....................7874
    Regulation at 60 FR 7874 eff. 4-5-95...........................17193
    (b)(3) and (23) revised; (effective date pending)..............64272
100.17  Revised (effective date pending)...........................35304
    Regulation at 60 FR 35304 eff. 10-5-95.........................52069
100.22  Added (effective date pending).............................35304
    Regulation at 60 FR 35304 eff. 10-5-95.........................52069
102.4  (c)(1) revised (effective date pending).....................64273
104  Authority citation revised.....................................7874
104.3  Heading revised; (b)(4)(i)(B) added (effective date 
        pending)....................................................7874
    Regulation at 60 FR 7874 eff. 4-5-95...........................17193
104.17  Removed (effective date pending)...........................31381
    Regulation at 60 FR 31381 eff. 11-9-95.........................56506
106  Technical correction..........................................57537
106.1  (d) revised (effective date pending)........................35305
    Regulation at 60 FR 35305 eff. 10-5-95.........................52069
106.2  (a)(1) amended (effective date pending).....................31872
    Regulation at 60 FR 31872 eff. 8-16-95.........................42429
109.1  (b)(1), (2) and (3) revised (effective date pending)........35305
    Regulation at 60 FR 35305 eff. 10-5-95.........................52069
    (b)(4) revised (effective date pending)........................64273
110  Technical correction..........................................61200
110.1  (g) removed (effective date pending)........................31381
    Regulation at 60 FR 31381 eff. 11-9-95.........................56506
110.11  (a) revised (effective date pending).......................52072
    Regulation at 60 FR 52072 eff. 12-20-95........................65515
110.12  Added (effective date pending).............................64273
110.13  Revised (effective date pending)...........................64273
113.1  (g) added (effective date pending)...........................7874
    Regulation at 60 FR 7874 eff. 4-5-95...........................17193
113.2  (a) revised (effective date pending).........................7875

[[Page 421]]

    Regulation at 60 FR 7875 eff. 4-5-95...........................17193
114.1  (a)(1), (2) introductory text and (ii) revised; (j) added 
        (effective date pending)...................................64273
114.2  (b) revised (effective date pending)........................35305
    Regulation at 60 FR 35305 eff. 10-5-95.........................52069
    Revised (effective date pending)...............................64274
114.3  Revised (effective date pending)............................64275
114.4  Revised (effective date pending)............................64276
114.10  Added (effective date pending).............................35305
    Regulation at 60 FR 35305 eff. 10-5-95.........................52069
114.12  (d) removed (effective date pending).......................31382
    Regulation at 60 FR 31382 eff. 11-9-95.........................56506
    Heading revised; (b) removed (effective date pending)..........64279
114.13  Added (effective date pending).............................64279
9002  Technical correction.........................................57537
9002.11  (c) amended (effective date pending)......................31872
    Regulation at 60 FR 31872 eff. 8-16-95.........................42429
9003.1  (b)(4) and (9) revised; (b)(10) added (effective date 
        pending)...................................................31872
    Regulation at 60 FR 31872 eff. 8-16-95.........................42429
9003.3  Revised (effective date pending)...........................31872
    Regulation at 60 FR 31872 eff. 8-16-95.........................42429
    (b)(5) corrected...............................................57537
9003.4  (a)(1) amended (effective date pending)....................31874
    Regulation at 60 FR 31874 eff. 8-16-95.........................42429
    (a)(1) corrected...............................................57537
9003.5  Revised (effective date pending)...........................31874
    Regulation at 60 FR 31874 eff. 8-16-95.........................42429
9004  Technical correction.........................................57537
9004.4  (a) revised; (b)(8) added; (c) removed (effective date 
        pending)...................................................31875
    Regulation at 60 FR 31875 eff. 8-16-95.........................42429
9004.5  Revised (effective date pending)...........................31876
    Regulation at 60 FR 31876 eff. 8-16-95.........................42429
9004.6  Revised (effective date pending)...........................31876
    Regulation at 60 FR 31876 eff. 8-16-95.........................42429
9004.7  Revised (effective date pending)...........................31876
    Regulation at 60 FR 31876 eff. 8-16-95.........................42429
9004.9  (a)(1)(iii) and (d)(1) revised; (a)(4) added (effective 
        date pending)..............................................31877
    Regulation at 60 FR 31877 eff. 8-16-95.........................42429
9006  Technical correction.........................................57537
9006.3  Added (effective date pending).............................31877
    Regulation at 60 FR 31877 eff. 8-16-95.........................42429
9007  Technical correction.........................................57537
9007.1  (b)(2)(iii), (c), (d) and (e) revised; (f) added 
        (effective date pending)...................................31878
    Regulation at 60 FR 31878 eff. 8-16-95.........................42429
9007.2  (a)(2) and (3), (b)(4), (c), (d) and (i) revised; (a)(4) 
        added; (f) and (g) amended (effective date pending)........31878
    Regulation at 60 FR 31878 eff. 8-16-95.........................42429
9007.3  (c) amended (effective date pending).......................31880
    Regulation at 60 FR 31880 eff. 8-16-95.........................42429
9007.5  (a), (b). (c)(1)(ii) and (4) introductory text revised 
        (effective date pending)...................................31880
    Regulation at 60 FR 31880 eff. 8-16-95.........................42429
9007.7  Added (effective date pending).............................31880
    Regulation at 60 FR 31880 eff. 8-16-95.........................42429
9008  Technical correction.........................................57537
9008.12  (a)(2) amended (effective date pending)...................31880
    Regulation at 60 FR 31880 eff. 8-16-95.........................42429
9032  Technical correction.........................................57537

[[Page 422]]

9032.9  (c) amended (effective date pending).......................31880
    Regulation at 60 FR 31880 eff. 8-16-95.........................42429
9033  Authority citation revised...................................31880
    Technical correction...........................................57537
9033.1  (b)(5) and (11) revised; (b)(7) amended; (b)(12) added 
        (effective date pending)...................................31880
    Regulation at 60 FR 31880 eff. 8-16-95.........................42429
9033.4  (b) removed; (c) redesignated as (b) (effective date 
        pending)...................................................31881
    Regulation at 60 FR 31881 eff. 8-16-95.........................42429
9033.11  Revised (effective date pending)..........................31881
    Regulation at 60 FR 31881 eff. 8-16-95.........................42429
9034.4  (a), (b)(3) and (d)(2) revised; (b)(8) and (e) added; (c) 
        removed (effective date pending)...........................31881
    Regulation at 60 FR 31881 eff. 8-16-95.........................42429
    (a)(3)(i) and (iii) corrected..................................57537
    (a)(3) heading and (ii) revised................................57538
9034.5  (b), (c)(1) and (f) revised (effective date pending).......31883
    Regulation at 60 FR 31883 eff. 8-16-95.........................42429
9034.6  Revised (effective date pending)...........................31883
    Regulation at 60 FR 31883 eff. 8-16-95.........................42429
    (c) corrected..................................................57537
9034.7  Revised (effective date pending)...........................31884
    Regulation at 60 FR 31884 eff. 8-16-95.........................42429
9036  Technical correction.........................................57537
9036.2  (b)(1)(ii) revised; (b)(1)(vi) amended (effective date 
        pending)...................................................31885
    Regulation at 60 FR 31885 eff. 8-16-95.........................42429
9036.5  (a) introductory text revised (effective date pending).....31885
    Regulation at 60 FR 31885 eff. 8-16-95.........................42429
9037  Technical correction.........................................57537
9037.4  Added (effective date pending).............................31885
    Regulation at 60 FR 31885 eff. 8-16-95.........................42429
9038  Heading revised (effective date pending).....................31885
    Regulation at 60 FR 31885 eff. 8-16-95.........................42429
9038.1  (b)(2)(iii), (c), (d) and (e) revised; (f) added 
        (effective date pending)...................................31885
    Regulation at 60 FR 31885 eff. 8-16-95.........................42429
9038.2  (a)(2), (3), (b)(2)(iii), (4), (c), (d) and (f) revised; 
        (a)(4) and (h) added; (g) amended (effective date pending)
                                                                   31886
    Regulation at 60 FR 31886 eff. 8-16-95.........................42429
    (a)(3) and (h) corrected.......................................57538
    (b)(2)(iii)(B) amended.........................................57539
9038.4  (c) amended (effective date pending).......................31887
    Regulation at 60 FR 31887 eff. 8-16-95.........................42429
9038.5  (a), (b), (c)(1)(ii) and (4) introductory text revised 
        (effective date pending)...................................31887
    Regulation at 60 FR 31887 eff. 8-16-95.........................42429
9038.7  Added (effective date pending).............................31888
    Regulation at 60 FR 31888 eff. 8-16-95.........................42429
9039  Technical correction.........................................57537
9039.3  (b)(4) added (effective date pending)......................31888
    Regulation at 60 FR 31888 eff. 8-16-95.........................42429

                                  1996

11 CFR
                                                                   61 FR
                                                                    Page
Chapter I
100  Technical correction...........................................4302
100.5  (e)(3)(i) amended............................................3549
100.7  Regulation at 60 FR 64272 eff. 3-13-96......................10269
    (b)(2) amended (effective date pending)........................18051
    Regulation at 61 FR 18051 eff. 6-21-96.........................31824
100.8  Regulation at 60 FR 64272 eff. 3-13-96......................10269
    (b)(2) amended (effective date pending)........................18051
    Regulation at 61 FR 18051 eff. 6-21-96.........................31824

[[Page 423]]

100.19  (a) amended.................................................6095
102  Technical correction...........................................4302
102.4  Regulation at 60 FR 64273 eff. 3-13-96......................10269
104.3  (e)(5) amended...............................................3549
104.4  (c)(3) amended...............................................3549
104.5  (f) amended..................................................3549
104.14  (c) amended.................................................3549
104.15  (a) amended.................................................3549
104.18  Added (effective date pending).............................42376
    Regulation at 61 FR 42376 eff. 1-1-97..........................58460
105.1  Revised......................................................3550
105.4  Amended......................................................3550
105.5  Revised......................................................3550
106  Technical correction...........................................4302
108.8  Amended......................................................6095
109  Technical correction...........................................4302
109.1  Regulation at 60 FR 64273 eff. 3-13-96......................10269
109.2  (a) amended..................................................3550
110  Technical correction...........................................4302
110.6  (c)(1)(i) and (ii) amended...................................3550
110.7  (b)(4) removed..............................................40961
110.12  Regulation at 60 FR 64273 eff. 3-13-96.....................10269
110.13  Regulation at 60 FR 64273 eff. 3-13-96.....................10269
    Revised (effective date pending)...............................18051
    (a)(2) corrected...............................................24533
    Regulation at 61 FR 18051 eff. 6-21-96.........................31824
114  Technical correction...........................................4302
114.1  Regulation at 60 FR 64273 eff. 3-13-96......................10269
114.2  Regulation at 60 FR 64274 eff. 3-13-96......................10269
114.3  Regulation at 60 FR 64275 eff. 3-13-96......................10269
114.4  Regulation at 60 FR 64276 eff. 3-13-96......................10269
    (f) revised (effective date pending)...........................18051
    Regulation at 61 FR 18051 eff. 6-21-96.........................31824
114.6  (d)(3)(i) and (5) amended....................................3550
114.12  Regulations at 60 FR 64275 eff. 3-13-96....................10269
114.13  Regulation at 60 FR 64279 eff. 3-13-96.....................10269
9034.4  Regulation at 60 FR 57538 eff. 2-9-96.......................4849
9038.2  Regulation at 60 FR 57539 eff. 2-9-96.......................4849
    (a)(2) amended.................................................69020

                                  1997

11 CFR
                                                                   62 FR
                                                                    Page
Chapter I
104.7 (b)(1) and (3) revised (effective date pending)..............23336
    Regulation at 62 FR 23336 eff. 7-2-97..........................35670
104.18 Regulation at 61 FR 42376 eff. 4-28-97......................22881
111 Authority citation revised.....................................11317
111.24 Added.......................................................11317
    (b) corrected..................................................18167
    Regulation at 62 FR 11317 eff. date corrected to 4-29-97.......32021

                                  1998

11 CFR
                                                                   63 FR
                                                                    Page
Chapter I
9003.1 (b)(11) added (effective date pending)......................45680
    Regulation at 63 FR 45680 eff. 11-13-98........................63388
9033.1 (b)(13) added (effective date pending)......................45680
    Regulation at 63 FR 45680 eff. 11-13-98........................63388

                                  1999

11 CFR
                                                                   64 FR
                                                                    Page
Chapter I
100.8  (b)(4) introductory text and (iv) revised (effective date 
        pending)...................................................41272
    Regulation at 64 FR 41272 eff. 11-2-99.........................59113
110.1  (g) added; (effective date pending).........................37400
    Regulation at 64 FR 37400 eff. 11-12-99........................55125
110.7  (d) added (effective date pending)..........................42582
    Regulation at 64 FR 42582 eff. 11-3-99.........................59606
114.1  (e) revised (effective date pending)........................41273
    Regulation at 64 FR 41273 eff. 11-2-99.........................59113

[[Page 424]]

9003.3  Heading, (a)(1)(i) introductory text and (A) revised 
        (effective date pending)...................................49362
    Regulation at 64 FR 49362 eff. 6-1-00..........................61475
9003.5  (b)(1)(iv) and (3)(ii) revised (effective date pending)....49362
    Regulation at 64 FR 49362 eff. 11-12-99........................61475
9004.4  (a)(4) and (b)(8) revised (effective date pending).........49362
    Regulation at 64 FR 49362 eff. 11-12-99........................61475
9004.6  (a) and (b) revised (effective date pending)...............42583
    Regulation at 64 FR 42583 eff. 11-3-99.........................59606
9004.9  (d)(1) revised (effective date pending)....................49363
    Regulation at 64 FR 49362 eff. 11-12-99........................61475
9007.1  (b)(2)(iii) and (c) revised; (d)(1) amended (effective 
        date pending)..............................................61780
9008.7  (c) added (effective date pending).........................49363
    Regulation at 64 FR 49363 eff. 11-12-99........................61475
9008.14  Revised (effective date pending)..........................49363
    Regulation at 64 FR 49363 eff. 11-12-99........................61475
9008.52  (c)(1) introductory text revised (effective date pending)
                                                                   49363
    Regulation at 64 FR 49363 eff. 11-12-99........................61475
9008.53  (b)(1) introductory text revised (effective date pending)
                                                                   49363
    Regulation at 64 FR 49363 eff. 11-12-99........................61475
9032.11  Revised (effective date pending)..........................49363
    Regulation at 64 FR 49363 eff. 11-12-99........................61475
9033.11  (b)(1)(iv) and (3)(ii) revised (effective date pending) 
                                                                   49363
    Regulation at 64 FR 49363 eff. 11-12-99........................61475
9034.2  (b) revised; (c) introductory text amended; and (8) added 
        (effective date pending)...................................32397
    Regulation at 64 FR 32397 eff. 1-1-99..........................51423
9034.3  (c) amended (effective date pending).......................32397
    Regulation at 64 FR 32397 eff. 1-1-99..........................51423
9034.4  (a)(3)(iii), (b)(8), (e) heading, introductory text and 
        (6)(i) revised (effective date pending)....................49364
    Regulation at 64 FR 49364 in part eff. 11-12-99 and 6-1-00.....61475
    (e)(1) and (3) revised (effective date pending)................61781
9034.5  (c)(1) revised (effective date pending)....................49364
    Regulation at 64 FR 49364 eff. 11-12-99........................61475
9034.6  (a) and (b) revised (effective date pending)...............42583
    Regulation at 64 FR 42583 eff. 11-3-99.........................59606
9035.1  Revised (effective date pending)...........................49364
    Regulation at 64 FR 49364 eff. 11-12-99........................61475
9035.3  Added (effective date pending).............................61781
9036  Heading revised (effective date pending).....................49364
    Regulation at 64 FR 49364 eff. 11-12-99........................61475
9036.1  (b)(7) and (8) redesignated as (b)(8) and (9); new (b)(7) 
        added (effective date pending).............................42585
    (b)(3) revised (effective date pending)........................49365
    Regulation at 64 FR 42585 eff. 1-1-99..........................59607
    Regulation at 64 FR 49365 eff. 11-12-99........................61475
9036.2  (b)(1)(vii) added (effective date pending).................42585
    (b)(1)(vi) revised (effective date pending)....................49365
    Regulation at 64 FR 42585 eff. 1-1-99..........................59607
    Regulation at 64 FR 49365 eff. 11-12-99........................61475
9038.1  (b)(2)(iii) and (c) revised; (d)(1) amended (effective 
        date pending)..............................................61781

[[Page 425]]

                                  2000

11CFR
                                                                   65 FR
                                                                    Page
Chapter I
2.2  (b) revised....................................................9206
2.5  (a) revised....................................................9206
4.1  (b) and (h) revised; (o) added.................................9206
4.4  (a) and (b) revised; (c) amended; (g) added....................9206
4.5  (c) revised....................................................9206
4.7  (a) removed; (b), (d) and (e) redesignated as (b)(1), (h) and 
        (i); (b)(2), new (d), new (e), (f) and (g) added; (c) 
        amended.....................................................9206
5.1  (b) revised....................................................9207
5.4  (a)(4) revised; (a)(5) through (9) added.......................9207
100  Authority citation revised....................................38422
100.16  Revised (effective date pending)...........................76145
100.19  (c) added (effective date pending).........................38422
    Regulation at 65 FR 38422 eff. 1-1-01..........................63535
100.23  Added (effective date pending).............................76146
101  Authority citation revised....................................38422
101.1  (a) revised (effective date pending)........................38422
    Regulation at 65 FR 38422 eff. 1-1-01..........................63535
102  Authority citation revised....................................38422
102.2  (a)(1)(vi) and (2) revised; (a)(1)(vii) added (effective 
        date pending)..............................................38422
    Regulation at 65 FR 38422 eff. 1-1-01..........................63535
104.3  (a) introductory text, (3) introductory text, (4) 
        introductory text, (i), (v), (vi), (b) introductory text, 
        (2) introductory text, (4)(i), (vi), (c) introductory text 
        and (i) revised; (k) added (effective date pending)........42623
    Regulation at 65 FR 42623 eff. 1-1-01..........................70644
104.5  (i) added...................................................31794
    (e) revised (effective date pending)...........................38423
    Regulation at 65 FR 38423 eff. 1-1-01..........................63535
104.7  (b) introductory text and (1) revised; (b)(2) amended 
        (effective date pending)...................................42624
    Regulation at 65 FR 42624 eff. 1-1-01..........................70644
104.8  (a) revised; (b) amended (effective date pending)...........42624
    Regulation at 65 FR 42624 eff. 1-1-01..........................70644
104.9  (a) and (b) revised (effective date pending)................42624
    Regulation at 65 FR 42624 eff. 1-1-01..........................70644
104.18  Revised (effective date pending)...........................38423
    Regulation at 65 FR 38423 eff. 1-1-01..........................63535
108.1  Existing text designated as (a) and amended; (b) added 
        (effective date pending)...................................15223
    Regulation at 65 FR 15223 eff. 6-7-00..........................36053
108.2  Amended (effective date pending)............................15224
    Regulation at 65 FR 15224 eff. 6-7-00..........................36053
108.3  Revised (effective date pending)............................15224
    Regulation at 65 FR 15224 eff. 6-7-00..........................36053
108.4  Revised (effective date pending)............................15224
    Regulation at 65 FR 15224 eff. 6-7-00..........................36053
108.6  Introductory text and (b) revised; (d) amended; (e) added 
        (effective date pending)...................................15224
    Regulation at 65 FR 15224 eff. 6-7-00..........................36053
109  Authority citation revised....................................38424
109.1  (a), (b)(4) and (d)(1) revised (effective date pending).....76146
109.2  (a) introductory text revised (effective date pending)......38424
    Regulation at 65 FR 38424 eff. 1-1-01..........................63535
110.14  (f)(2)(i) introductory text, (ii) introductory text, 
        (3)(iii), (i)(2)(i) introductory text, (ii) introductory 
        text and (3)(iii) revised (effective date pending).........76146
111.8  (d) added...................................................31794
111.20  (c) added..................................................31794
111.24  (a) revised................................................31794
111.1--111.24 (Subpart A)  Designated as Subpart A.................31794
111.30--111.45 (Subpart B)  Added..................................31794
114  Authority citation revised....................................38424

[[Page 426]]

114.10  (e)(1)(ii) revised (effective date pending)................38424
    Regulation at 65 FR 38424 eff. 1-1-01..........................63535
9003.1  (b)(11) removed (effective date pending)...................38424
    Regulation at 65 FR 38424 eff. 1-1-01..........................63535
9007.1  Regulation at 64 FR 61780 eff. 4-19-00.....................20893
9033.1  (b)(13) removed (effective date pending)...................38424
    Regulation at 65 FR 38424 eff. 1-1-01..........................63535
9034.4  Regulation at 64 FR 61781 eff. 4-19-00.....................20893
9035.3  Regulation at 64 FR 61781 eff. 4-19-00.....................20893
9038.1  Regulation at 64 FR 61781 eff. 4-19-00.....................20893

                                  2001

11 CFR
                                                                   66 FR
                                                                    Page
Chapter I
100.16  Regulation at 65 FR 76145 eff. 5-9-01......................23537
100.23  Regulation at 65 FR 76146 eff. 5-9-01......................23537
104.3  (b)(4)(i)(A) and (B) added..................................59680
109.1  Regulation at 65 FR 76146 eff. 5-9-01.......................23537
110.14  Regulation at 65 FR 76146 eff. 5-9-01......................23537
111.30  Revised....................................................59681


                                  
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