[Title 11 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2022 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 11
Federal Elections
Revised as of January 1, 2022
Containing a codification of documents of general
applicability and future effect
As of January 1, 2022
With Ancillaries
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
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Table of Contents
Page
Explanation................................................. v
Title 11:
Chapter I--Federal Election Commission 3
Chapter II--Election Assistance Commission 363
Finding Aids:
Indexes to Regulations:
Administrative Regulations, Parts 1-8; 200-201 401
General, Parts 100-116 407
General Election Financing, Parts 9001-9007 and 9012 469
Federal Financing of Presidential Nominating
Conventions, Part 9008 481
Presidential Primary Matching Fund, Parts 9031-9039 489
Table of CFR Titles and Chapters........................ 507
Alphabetical List of Agencies Appearing in the CFR...... 527
Redesignation Table..................................... 537
List of CFR Sections Affected........................... 539
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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
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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
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LEGAL STATUS
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The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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``[RESERVED]'' TERMINOLOGY
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that volume.
[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register
January 1, 2022
[[Page ix]]
THIS TITLE
Title 11--Federal Elections is composed of one volume. This volume
contains Chapter I--Federal Election Commission and Chapter II--Election
Assistance Commission. The contents of this volume represent all current
regulations codified under this title of the CFR as of January 1, 2022.
Indexes to regulations for ``parts 1-7,'' ``parts 100-116,'' ``parts
200-201,'' ``parts 9001-9007 and 9012,'' ``part 9008,'' and ``parts
9031-9039,'' appear in the Finding Aids section of this volume.
A Redesignation table appears in the Finding Aids section of this
volume.
For this volume, Michele Bugenhagen was Chief Editor. The Code of
Federal Regulations publication is under the direction of John Hyrum
Martinez, assisted by Stephen J. Frattini.
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TITLE 11--FEDERAL ELECTIONS
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Part
chapter i--Federal Election Commission...................... 1
chapter ii--Election Assistance Commission.................. 9405
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CHAPTER I--FEDERAL ELECTION COMMISSION
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Part Page
1 Privacy Act................................. 5
2 Sunshine regulations; meetings.............. 9
4 Public records and the Freedom of
Information Act......................... 13
5 Access to Public Disclosure and Media
Relations Division Documents............ 23
6 Enforcement of nondiscrimination on the
basis of handicap in programs or
activities conducted by the Federal
Election Commission..................... 26
7 Standards of conduct........................ 32
8 Collection of administrative debts.......... 34
SUBCHAPTER A--GENERAL
100 Scope and definitions (52 U.S.C. 30101)..... 36
101 Candidate status and designations (52 U.S.C.
30102(e))............................... 75
102 Registration, organization, and
recordkeeping by political committees
(52 U.S.C. 30103)....................... 76
103 Campaign depositories (52 U.S.C. 30102(h)).. 89
104 Reports by political committees and other
persons (52 U.S.C. 30104)............... 91
105 Document filing (52 U.S.C. 30102(g))........ 124
106 Allocations of candidate and committee
activities.............................. 124
107 Presidential nominating convention,
registration and reports................ 139
108 Filing copies of reports and statements with
State officers (52 U.S.C. 30113)........ 139
109 Coordinated and independent expenditures (52
U.S.C. 30101(17), 30116(a) and (d), and
Pub.L. 107-155 Sec. 214(C))............. 142
110 Contribution and expenditure limitations and
prohibitions............................ 152
111 Compliance procedure(52 U.S.C. 30109,
30107(a))............................... 180
112 Advisory opinions(52 U.S.C. 30108))......... 195
113 Permitted and prohibited uses of campaign
accounts................................ 198
114 Corporate and labor organization activity... 202
115 Federal contractors......................... 226
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116 Debts owed by candidates and political
committees.............................. 228
SUBCHAPTER B--ADMINISTRATIVE REGULATIONS
200 Petitions for rulemaking.................... 237
201 Ex parte communications..................... 238
SUBCHAPTER C--BIPARTISAN CAMPAIGN REFORM ACT OF 2002--(BCRA) REGULATIONS
300 Non-Federal funds........................... 242
SUBCHAPTER D [RESERVED]
SUBCHAPTER E--PRESIDENTIAL ELECTION CAMPAIGN FUND: GENERAL ELECTION
FINANCING
9001 Scope....................................... 266
9002 Definitions................................. 266
9003 Eligibility for payments.................... 269
9004 Entitlement of eligible candidates to
payments; use of payments............... 279
9005 Certification by Commission................. 288
9006 Reports and recordkeeping................... 289
9007 Examinations and audits; repayments......... 290
9008 Federal financing of Presidential nominating
conventions............................. 299
9009-9011
[Reserved]
9012 Unauthorized expenditures and contributions. 315
SUBCHAPTER F--PRESIDENTIAL ELECTION CAMPAIGN FUND: PRESIDENTIAL PRIMARY
MATCHING FUND
9031 Scope....................................... 317
9032 Definitions................................. 317
9033 Eligibility for payments.................... 319
9034 Entitlements................................ 327
9035 Expenditure limitations..................... 342
9036 Review of matching fund submissions and
certification of payments by Commission. 345
9037 Payments and reporting...................... 351
9038 Examinations and audits..................... 352
9039 Review and investigation authority.......... 361
9040-9099
[Reserved]
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PART 1_PRIVACY ACT--Table of Contents
Sec.
1.1 Purpose and scope.
1.2 Definitions.
1.3 Procedures for requests pertaining to individual records in a record
system.
1.4 Times, places, and requirements for identification of individuals
making requests.
1.5 Disclosure of requested information to individuals.
1.6 Special procedure: Medical records. [Reserved]
1.7 Request for correction or amendment to record.
1.8 Agency review of request for correction or amendment of record.
1.9 Appeal of initial adverse agency determination on amendment or
correction.
1.10 Disclosure of record to person other than the individual to whom it
pertains.
1.11 Fees.
1.12 Penalties.
1.13 General exemptions. [Reserved]
1.14 Specific exemptions.
Authority: 5 U.S.C. 552a.
Source: 41 FR 43064, Sept. 29, 1976, unless otherwise noted.
Sec. 1.1 Purpose and scope.
(a) The purpose of this part is to set forth rules informing the
public as to what information is maintained by the Federal Election
Commission about identifiable individuals and to inform those
individuals how they may gain access to and correct or amend information
about themselves.
(b) The regulations in this part carry out the requirements of the
Privacy Act of 1974 (Pub. L. 93-579) and in particular 5 U.S.C. 552a as
added by that Act.
(c) The regulations in this part apply only to records disclosed or
requested under the Privacy Act of 1974, and not to requests for
information made pursuant to 5 U.S.C. 552, the Freedom of Information
Act, or requests for reports and statements filed with the Federal
Election Commission which are public records and available for
inspection and copying pursuant to 52 U.S.C. 30109(a)(4)(C) and
30111(a)(4)
[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980;
79 FR 77843, Dec. 29, 2014]
Sec. 1.2 Definitions.
As defined in the Privacy Act of 1974 and for the purposes of this
part, unless otherwise required by the context, the following terms
shall have these meanings:
Act means the Federal Election Campaign Act of 1971, as amended and
chapters 95 and 96 of the Internal Revenue Code of 1954.
Commission means the Federal Election Commission, its Commissioners,
and employees. The Commission is located at 1050 First Street NE,
Washington, DC 20463. The Commission's website is www.fec.gov.
Commissioner means an individual appointed to the Federal Election
Commission pursuant to 52 U.S.C. 30106(a).
Individual means a citizen of the United States or an alien lawfully
admitted for permanent residence.
Maintain includes maintain, collect, use or disseminate.
Record means any item, collection, or grouping of information about
an individual that is maintained by an agency, including but not limited
to his or her education, financial transactions, medical history, and
criminal or employment history and that contains his or her name, or the
identifying number, symbol or other identifying particular assigned to
the individual, such as finger or voice print or a photograph.
Routine use means the use of such record for a purpose compatible
with the purpose for which the information was collected.
Systems of Records means a group of any records under the control of
the Federal Election Commission from which information is retrieved by
the name of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual.
[41 FR 43064, Sept. 29, 1976, as amended at 75 FR 30, Jan. 4, 2010; 79
FR 77843, Dec. 29, 2014; 82 FR 60852, Dec. 26, 2017; 83 FR 10358, Mar.
9, 2018; 86 FR 72784, Dec. 23, 2021]
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
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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 determine which record system
contains those records, may request assistance by mail or in person from
the Commission's Chief Privacy Officer during the hours of 9 a.m. to
5:30 p.m. at the street address identified in the definition of
``Commission'' in Sec. 1.2.
(c) Requests under paragraphs (a) or (b) of this section shall be
acknowledged by the Commission within 15 days from the date of receipt
of the request. If the Commission is unable to locate the information
requested under paragraphs (a) or (b) of this section, it shall so
notify the individual within 15 days after receipt of the request. Such
acknowledgement may request additional information to assist the
Commission in locating the record or it may advise the individual that
no record or document exists about that individual.
[41 FR 43064, Sept. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985;
75 FR 31, Jan. 4, 2010; 82 FR 60852, Dec. 26, 2017]
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 at the street address
identified in the definition of ``Commission'' in Sec. 1.2, 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;
82 FR 60852, Dec. 26, 2017]
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
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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 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;
[[Page 8]]
(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 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
[[Page 9]]
Commission's power to exercise exclusive civil jurisdiction over the
enforcement of the Act under 52 U.S.C. 30107(a)(6) and (e); and to
defend itself in actions filed against it under 52 U.S.C. 30107(a)(6).
Further the Commission has a duty to investigate violations of the Act
under 52 U.S.C. 30109(a)(2); to conduct audits and investigations
pursuant to 52 U.S.C. 30111(b), 26 U.S.C. 9007 and 9038; and to refer
apparent violations of the Act to the Attorney General or other law
enforcement authorities under 52 U.S.C. 30109(a)(5) and 30107(a)(9).
Information contained in FEC systems 2 and 3 contain the working papers
of the Commission staff and form the basis for either civil and/or
criminal proceedings pursuant to the exercise of the powers and duties
of the Commission. These materials must be protected until such time as
they are subject to public access under the provision of 52 U.S.C.
30109(a)(4)(B) or 5 U.S.C. 552, or other relevant statutes.
(b)(1) Pursuant to 5 U.S.C. 552a(j)(2), records contained in FEC 12,
Office of Inspector General Investigative Files, are exempt from the
provisions of 5 U.S.C. 552a, except subsections (b), (c) (1) and (2),
(e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11) and (f) , and
the corresponding provisions of 11 CFR part 1, to the extent this system
of records relates in any way to the enforcement of criminal laws.
(2) Pursuant to 5 U.S.C. 552a(k)(2), FEC 12, Office of Inspector
General Investigative Files, is exempt from 552a (c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I), and (f), and the corresponding provisions of 11
CFR part 1, to the extent the system of records consists of
investigatory material compiled for law enforcement purposes, except for
material that falls within the exemption included in paragraph (b)(1) of
this section.
(c) The provisions of paragraph (a) of this section shall not apply
to the extent that application of the subsection would deny any
individual any right, privilege or benefit to which he or she would
otherwise be entitled to receive.
[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980;
60 FR 4073, Jan. 20, 1995; 75 FR 31, Jan. 4, 2010; 79 FR 77843, Dec. 29,
2014]
PART 2_SUNSHINE REGULATIONS; MEETINGS--Table of Contents
Sec.
2.1 Scope.
2.2 Definitions.
2.3 General rules.
2.4 Exempted meetings.
2.5 Procedures for closing meetings.
2.6 Transcripts and recordings.
2.7 Announcement of meetings and schedule changes.
2.8 Annual report.
Authority: 5 U.S.C. 552b.
Source: 50 FR 39972, Oct. 1, 1985, unless otherwise noted.
Sec. 2.1 Scope.
These regulations are promulgated pursuant to the directive of 5
U.S.C. 552b(g) which was added by section 3(a) of Public Law 94-409, the
Government in the Sunshine Act, and specifically implement section 3 of
that Act.
Sec. 2.2 Definitions.
(a) Commission. Commission means the Federal Election Commission.
(b) Commissioner or Member. Commissioner or Member means an
individual appointed to the Federal Election Commission pursuant to 52
U.S.C. 30106(a), but does not include a proxy or other designated
representative of a Commissioner.
(c) Person. Person means an individual, including employees of the
Commission, partnership, corporation, association, or public or private
organization, other than an agency of the United States Government.
(d) Meeting. (1) Meeting means the deliberation of at least four
voting members of the Commission in collegia where such deliberations
determine or result in the joint conduct or disposition of official
Commission business. For the purpose of this section, joint conduct does
not include, for example, situations where the requisite number of
members is physically present in one place but not conducting agency
business as a body (e.g., at a meeting at which one member is giving a
speech while a number of other members are present in the audience). A
deliberation conducted through telephone or similar communications
equipment by means of which all persons participating can
[[Page 10]]
hear each other will be considered a meeting under this section.
(2) The term meeting does not include the process of notation voting
by circulated memorandum for the purpose of expediting consideration of
routine matters. It also does not include deliberations to schedule a
meeting, to take action to open or close a meeting, or to release or
withhold information, or to change the subject matter of a meeting under
11 CFR 2.5, 2.6 and 2.7.
[50 FR 39972, Oct. 1, 1985, as amended at 50 FR 50778, Dec. 12, 1985; 65
FR 9206, Feb. 24, 2000; 79 FR 77844, Dec. 29, 2014; 82 FR 60852, Dec.
26, 2017]
Sec. 2.3 General rules.
(a) Commissioners shall not jointly conduct, determine or dispose of
Commission business other than in accordance with this part.
(b) Except as provided in 11 CFR 2.4, every portion of every
Commission meeting shall be open to public observation.
(c) No additional right to participate in Commission meetings is
granted to any person by this part. A meeting is not part of the formal
or informal record of decision of the matters discussed therein except
as otherwise required by law. Statements of views or expressions of
opinions made by Commissioners or FEC employees at meetings are not
intended to represent final determinations or beliefs.
(d) Members of the public attending open Commission meetings may use
small electronic sound recorders to record the meeting, but the use of
other electronic recording equipment and cameras requires advance notice
to and coordination with the Commission's Press Officer.
Sec. 2.4 Exempted meetings.
(a) Meetings required by statute to be closed. Meetings concerning
matters specifically exempted from disclosure by statutes which require
public withholding in such a manner as to leave no discretion for the
Commission on the issue, or which establish particular types of matters
to be withheld, shall be closed to public observation in accordance with
the procedures of 11 CFR 2.5.
(1) As required by 52 U.S.C. 30109(a)(12), all Commission meetings,
or portions of meetings, pertaining to any notification or investigation
that a violation of the Act has occurred, shall be closed to the public.
(2) For the purpose of this section, any notification or
investigation that a violation of the Act has occurred includes, but is
not limited to, determinations pursuant to 52 U.S.C. 30109, the issuance
of subpoenas, discussion of referrals to the Department of Justice, or
consideration of any other matter related to the Commission's
enforcement activity, as set forth in 11 CFR part 111.
(b) Meetings closed by Commission determination. Except as provided
in 11 CFR 2.4(c), the requirement of open meetings will not apply where
the Commission finds, in accordance with 11 CFR 2.5, that an open
meeting or the release of information is likely to result in the
disclosure of:
(1) Matters that relate solely to the Commission's internal
personnel decisions, or internal rules and practices;
(i) This provision includes, but is not limited to, matters relating
to Commission policies on working conditions, or materials prepared
predominantly for internal use, the disclosure of which would risk
circumvention of Commission regulations; but
(ii) This provision does not include discussions or materials
regarding employees' dealings with the public, such as personnel manuals
or Commission directives setting forth job functions or procedures;
(2) Financial or commercial information obtained from any person
which is privileged or confidential;
(3) Matters which involve the consideration of a proceeding of a
formal nature by the Commission against a specific person or the formal
censure of any person;
(4) Information of a personal nature where disclosure would
constitute a clearly unwarranted invasion of personal privacy;
(5) Investigatory records compiled for law enforcement purposes, or
information which if written would be contained in such records, but
only to the extent that the production of such records or information
would:
[[Page 11]]
(i) Interfere with enforcement proceedings,
(ii) Deprive a person of a right to a fair trial or an impartial
adjudication,
(iii) Constitute an unwarranted invasion of personal privacy,
(iv) Disclose the identity of a confidential source,
(v) Disclose investigative techniques and procedures, or
(vi) Endanger the life or physical safety of law enforcement
personnel;
(6) Information the premature disclosure of which would be likely to
have a considerable adverse effect on the implementation of a proposed
Commission action, as long as the Commission has not already disclosed
the content or nature of its proposed action, or is not required by law
to disclose it prior to final action; or
(7) Matters that specifically concern the Commission's participation
in a civil action or proceeding, or an arbitration, or involving a
determination on the record after opportunity for a hearing.
(c) Nothwithstanding the applicability of any exemptions set forth
in 11 CFR 2.4(b), the Commission may determine that the public interest
requires a meeting to be open.
[50 FR 39972, Oct. 1, 1985, as amended at 75 FR 31, Jan. 4, 2010; 79 FR
77844, Dec. 29, 2014]
Sec. 2.5 Procedures for closing meetings.
(a) General. No meeting or portion of a meeting may be closed to the
public observation under this section unless a majority of the
Commissioners votes to take such action. The closing of one portion of a
meeting shall not justify closing any other portion of a meeting.
(b) Certification. Each time the Commission votes to close a
meeting, the General Counsel shall publicly certify that, in his or her
opinion, each item on the agenda may properly be closed to public
observation. The certification shall state each relevant exemption
provision. The original copy of the certification shall be attached to,
and preserved with, the statement required by 11 CFR 2.5(d).
(c) Voting procedures. (1) No meeting need be held to consider
closing a meeting. The Commission may vote to close a meeting or any
portion thereof by using its notation vote procedures.
(i) A separate vote shall be taken with respect to each item on an
agenda proposed to be closed in whole or in part pursuant to 11 CFR 2.4,
or with respect to any information proposed to be withheld under 11 CFR
2.4.
(ii) A single vote may be taken with respect to a particular matter
to be discussed in a series of closed meetings, or with respect to any
information concerning such series of meetings, so long as each meeting
in the series is scheduled to be held no more than 30 days after the
initial meeting.
(iii) This section shall not affect the Commission's practice of
setting dates for closed meetings more than 30 days in advance of such
meetings.
(2) The Commission Secretary shall record the vote of each
Commissioner participating in the vote. No proxies, written or
otherwise, shall be counted.
(3)(i) A Commissioner may object to a recommendation to close the
discussion of a particular matter or may assert a claim of exemption for
a matter scheduled to be discussed in an open meeting. Such objection or
assertion will be discussed by the Commission at the next scheduled
closed meeting, to determine whether the matter in question should be
discussed in a closed meeting.
(ii) An objection for the record only will not cause the objection
to be placed on any agenda.
(d) Public statement of vote. (1) If the Commission votes to close a
meeting, or any portion thereof, under this section, it shall make
publicly available within 24 hours a written statement of the vote. The
written statement shall contain:
(i) A citation to the provision(s) of 11 CFR 2.4 under which the
meeting was closed to public observation and an explanation of why the
specific discussion comes within the cited exemption(s);
(ii) The vote of each Commissioner participating in the vote;
(iii) A list of the names of all persons expected to attend the
closed meeting and their affiliation. For purposes of this section,
affiliation means title or position, and name of employer, and in the
case of a representative, the name of the person represented. In the
case
[[Page 12]]
of Commission employees, the statement will reflect, through the use of
titles rather than individual names, that the Commissioners, specified
division heads and their staff will attend; and
(iv) The signature of the Commission Secretary.
(2) The original copy of the statement shall be maintained by the
Commission Secretary. A copy shall be posted on a public bulletin board
located in the Commission's Public Records Office.
(e) Public request to close a meeting. A person whose interests may
be directly affected by a portion of a meeting may request that the
Commission close that portion to the public for any of the reasons
referred to in 11 CFR 2.4. The following procedures shall apply to such
requests:
(1) The request must be made in writing and shall be directed to the
Chairman of the Commission.
(2) The request shall identify the provisions of 11 CFR 2.4 under
which the requestor seeks to close all or a portion of the meeting.
(3) A recorded vote to close the meeting or a portion thereof shall
be taken.
(4) Requests made under this section shall become part of the
official record of the underlying matter and shall be disclosed in
accordance with 11 CFR 2.6 on completion of the matter.
(5) If the Commission decides to approve a request to close, the
Commission will then follow the procedures for closing a meeting set
forth in 11 CFR 2.5 (a) through (d).
[50 FR 39972, Oct. 1, 1985, as amended at 65 FR 9206, Feb. 24, 2000]
Sec. 2.6 Transcripts and recordings.
(a) The Commission Secretary shall maintain a complete transcript or
electronic recording adequate to record fully the proceedings of each
meeting, or portion of a meeting, closed to public observation. An
electronic recording of a meeting shall be coded, or other records shall
be kept in a manner adequate to identify each speaker.
(b)(1) In the case of any meeting closed pursuant to 11 CFR 2.4(b),
as the last item of business, the Commission will determine which, if
any, portions of the electronic recording or transcript and which if
any, items of information withheld under 11 CFR 2.5 contain information
which should be withheld pursuant to 11 CFR 2.4.
(2) Portions of transcripts or recordings determined to be outside
the scope of any exemptions under 11 CFR 2.6(b)(1) shall be promptly
made available to the public through the Commission's Public Records
Office at a cost sufficient to cover the Commission's actual cost of
duplication or transcription. Requests for such copies shall be made and
processed in accordance with the provisions of 11 CFR part 5.
(3) Portions of transcripts or electronic recordings not made
available immediately pursuant to 11 CFR 2.6(b)(1), and portions of
transcripts or recordings withheld pursuant to 11 CFR 2.4(a), will be
made available on request when the relevant exemptions no longer apply.
Such materials shall be requested and processed under the provisions of
11 CFR 2.6(b)(2).
(c) A complete verbatim copy of the transcript or a complete
electronic recording of each meeting, or portion of a meeting, closed to
the public, shall be maintained by the Commission Secretary in
confidential files of the Commission, for a minimum of two years
subsequent to such meeting, or a minimum of one year after the
conclusion of any agency proceeding with respect to which the meeting,
or portion of the meeting, was held, whichever occurs later.
[50 FR 39972, Oct. 1, 1985, as amended at 75 FR 31, Jan. 4, 2010]
Sec. 2.7 Announcement of meetings and schedule changes.
(a)(1) In the case of each meeting, the Commission shall publicly
announce and shall submit such announcement for publication in the
Federal Register at least seven days prior to the day on which the
meeting is to be called to order. The Commission Secretary shall also
forward a copy of such announcement for posting in the Commission's
Public Records Office.
(2) Announcements made under this section shall contain the
following information:
(i) The date of the meeting;
(ii) The place of the meeting;
[[Page 13]]
(iii) The subject matter of the meeting;
(iv) Whether the meeting is to be open or closed to the public; and
(v) The name and telephone number of the official designated by the
agency to respond to requests for information about the meeting.
(b) The public announcement and submission for publication shall be
made when required by 11 CFR 2.7(a) in the case of every Commission
meeting unless a majority of the Commissioners decide by recorded vote
that Commission business requires that the meeting be called at an
earlier date, in which case the Commission shall make at the earliest
practicable time, the announcement required by this section and a
concurrent submission for publication of that announcement in the
Federal Register.
(c) The time or place of a meeting may be changed following the
public announcement required by 11 CFR 2.7 (a) or (b) only if the
Commission announces the change at the earliest practicable time.
(d) The subject matter of a meeting, or the determination of the
Commission to open or close a meeting, or portions of a meeting, to the
public may be changed following the public announcement required by 11
CFR 2.7 (a) or (b) only if:
(1) A majority of the entire membership of the Commission determines
by recorded vote that Commission business so requires and that no
earlier announcement of the change was possible; and
(2) The Commission publicly announces the change and the vote of
each member upon the change at the earliest practicable time.
Immediately following this announcement, the Commission shall submit for
publication in the Federal Register a notice containing the information
required by 11 CFR 2.7(a)(2), including a description of any change from
the earlier published notice.
Sec. 2.8 Annual report.
The Commission shall report annually to Congress regarding its
compliance with the requirements of the Government in the Sunshine Act
and of this part, including:
(a) A tabulation of the total number of Commission meetings open to
the public;
(b) The total number of such meetings closed to the public;
(c) The reasons for closing such meetings; and
(d) A description of any litigation brought against the Commission
under the Sunshine Act, including any costs assessed against the
Commission in such litigation (whether or not paid by the Commission).
PART 4_PUBLIC RECORDS AND THE FREEDOM OF INFORMATION ACT-
-Table of Contents
Sec.
4.1 Definitions.
4.2 Policy on disclosure of records.
4.3 Scope.
4.4 Availability of records.
4.5 Categories of exemptions.
4.6 Discretionary release of exempt records.
4.7 Requests for records.
4.8 Appeal of denial.
4.9 Fees.
Authority: 5 U.S.C. 552, as amended.
Source: 44 FR 33368, June 8, 1979, unless otherwise noted.
Sec. 4.1 Definitions.
As used in this part:
(a) Commission means the Federal Election Commission, established by
the Federal Election Campaign Act of 1971, as amended.
(b) Commissioner means an individual appointed to the Federal
Election Commission pursuant to 52 U.S.C. 30106(a).
(c) Request means to seek the release of records under 5 U.S.C. 552.
(d) Requestor is any person who submits a request to the Commission.
(e) Act means the Federal Election Campaign Act of 1971, as amended
by the Federal Election Campaign Act Amendments of 1974, 1976, and 1979,
and unless specifically excluded, includes chapters 95 and 96 of the
Internal Revenue Code of 1954 relating to public financing of Federal
elections.
(f) Public Disclosure and Media Relations Division of the Commission
is that division which is responsible for, among other things, the
processing of requests for public access to records
[[Page 14]]
which are submitted to the Commission pursuant to 52 U.S.C. 30108(d),
30109(a)(4)(B)(ii), and 30111(a).
(g) Direct costs means those expenditures which the Commission
actually incurs in searching for and duplicating (and, in the case of
commercial use requestors, reviewing) documents to respond to a FOIA
request. Direct costs include the salary of the employee performing the
work (the basic rate of pay for the employee plus 16 percent of that
rate to cover benefits) and the cost of operating duplicating equipment.
Direct costs do not include overhead expenses such as the cost of space
and heating or lighting the facility in which the records are stored.
(h) Search means all time spent reviewing, manually or by automated
means, Commission records for the purpose of locating those records that
are responsive to a FOIA request, including page-by-page or line-by-line
identification of material within documents. Search time does not
include review of material in order to determine whether the material is
exempt from disclosure.
(i) Review means the process of examining a document located in
response to a commercial use request to determine whether any portion of
the document located is exempt from disclosure. Review also refers to
processing any document for disclosure, i.e., doing all that is
necessary to excise exempt portions of the document and otherwise
prepare the document for release. Review does not include time spent by
the Commission resolving general legal or policy issues regarding the
application of exemptions.
(j) Duplication means the process of making a copy of a document
necessary to respond to a FOIA request. Examples of the form such copies
can take include, but are not limited to, paper copy, microform, audio-
visual materials, or machine readable documentation (e.g., magnetic tape
or disk).
(k) Commercial use means a purpose that furthers the commercial,
trade, or profit interests of the requestor or the person on whose
behalf the request is made. The Commission's determination as to whether
documents are being requested for a commercial use will be based on the
purpose for which the documents are being requested. Where the
Commission has reasonable cause to doubt the use for which the requestor
claims to have made the request or where that use is not clear from the
request itself, the Commission will seek additional clarification before
assigning the request to a specific category.
(l) Educational institution means a preschool, a public or private
elementary or secondary school, an institution of graduate higher
education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
(m) Non-commercial scientific institution means an organization that
is not operated on a commercial basis, as that term is defined in
paragraph (k) of this section, and which is operated solely for the
purpose of conducting scientific research the results of which are not
intended to promote any particular product or industry.
(n) Representative of the news media means a person actively
gathering news for an entity that is organized and operated to publish
or broadcast news to the public. The term news means information that is
about current events or that would be of current interest to the public.
Examples of news media entities include, but are not limited to,
television or radio stations broadcasting to the public at large, and
publishers of periodicals (but only in those instances when they can
qualify as disseminators of news, as defined in this paragraph) who make
their products available for purchase or subscription by the general
public. A freelance journalist may be regarded as working for a news
organization and therefore considered a representative of the news media
if that person can demonstrate a solid basis for expecting publication
by that news organization, even though that person is not actually
employed by that organization. The best means by which a freelance
journalist can demonstrate a solid basis for expecting publication by a
news organization is by having a publication contract with that news
organization. When no such contract is present, the
[[Page 15]]
Commission will look to the freelance journalist's past publication
record in making this determination.
(o) Record and any other term used in this part in reference to
information includes any information that would be a Commission record
subject to the requirements of this part when maintained by the
Commission in any format, including an electronic format.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 52
FR 39212, Oct. 21, 1987; 65 FR 9206, Feb. 24, 2000; 79 FR 77844, Dec.
29, 2014; 81 FR 92439, Dec. 23, 2016]
Sec. 4.2 Policy on disclosure of records.
(a) The Commission will make the fullest possible disclosure of
records to the public, consistent with the rights of individuals to
privacy, the rights of persons contracting with the Commission with
respect to trade secret and commercial or financial information entitled
to confidential treatment, and the need for the Commission to promote
free internal policy deliberations and to pursue its official activities
without undue disruption.
(b) All Commission records shall be available to the public unless
they are specifically exempt under this part.
(c) To carry out this policy, the Commission shall designate a
Freedom of Information Act Officer.
Sec. 4.3 Scope.
The regulations in this part implement the provisions of the Freedom
of Information Act, 5 U.S.C. 552, with respect to the availability of
records for inspection and copying.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980]
Sec. 4.4 Availability of records.
(a) In accordance with 5 U.S.C. 552(a)(2), the Commission shall make
the following materials available for public inspection and copying:
(1) Statements of policy and interpretation which have been adopted
by the Commission;
(2) Administrative staff manuals and instructions to staff that
affect a member of the public;
(3) Opinions of Commissioners rendered in enforcement cases, General
Counsel's Reports and non-exempt 52 U.S.C. 30109 investigatory materials
shall be placed on the public record of the Agency no later than 30 days
from the date on which all respondents are notified that the Commission
has voted to close such an enforcement file;
(4) Copies of all records, regardless of form or format, which have
been released to any person under this paragraph (a) and which, because
of the nature of their subject matter, the agency determines have become
or are likely to become the subject of subsequent requests for
substantially the same records; and
(5) A general index of the records referred to in paragraph (a)(4)
of this section.
(b) In accordance with 5 U.S.C. 552(a)(3), the Commission shall make
available, upon proper request, all non-exempt Agency records, or
portions of records, not previously made public pursuant to 5 U.S.C.
552(a)(1) and (a)(2).
(c) The Commission shall maintain and make available current indexes
and supplements providing identifying information regarding any matter
issued, adopted or promulgated after April 15, 1975 as required by 5
U.S.C. 552(a)(2)(C) and (E).These indexes and supplements shall be
published and made available on at least a quarterly basis for public
distribution unless the Commission determines by Notice in the Federal
Register that publication would be unnecessary, impracticable, or not
feasible due to budgetary considerations. Nevertheless, copies of any
index or supplement shall be made available upon request at a cost not
to exceed the direct cost of duplication.
(d) The Freedom of Information Act and the provisions of this part
apply only to existing records; they do not require the creation of new
records.
(e) If documents or files contain both disclosable and
nondisclosable information, the nondisclosable information will be
deleted and the disclosable information released unless the disclosable
portions cannot be reasonably segregated from the other portions in a
manner which will allow meaningful information to be disclosed.
(f) All records created in the process of implementing provisions of
5 U.S.C.
[[Page 16]]
552 will be maintained by the Commission in accordance with the
authority granted by General Records Schedule 14, approved by the
National Archives and Records Service of the General Services
Administration.
(g) The Commission encourages the public to explore the information
available on the Commission's World Wide Web site, located at http://
www.fec.gov. The site includes a Commission publication, Availability of
FEC Information, which provides a detailed listing of the types of
documents available from the FEC, including those available under FOIA,
and directions on how to locate and obtain them.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 65
FR 9206, Feb. 24, 2000; 79 FR 77844, Dec. 29, 2014]
Sec. 4.5 Categories of exemptions.
(a) No requests under 5 U.S.C. 552 shall be denied release unless
the record contains, or its disclosure would reveal, matters that are:
(1) Specifically authorized under criteria established by an
executive order to be kept secret in the interest of national defense or
foreign policy and are in fact properly classified pursuant to such
Executive order;
(2) Related solely to the internal personnel rules and practices of
the Commission;
(3) Specifically exempted from disclosure by statute, provided that
such statute (A) requires that the matters be withheld from the public
in such a manner as to leave no discretion on the issue, or (B)
establishes particular criteria for withholding or refers to particular
types of matters to be withheld;
(4) Trade secrets and commercial or financial information obtained
from a person which are privileged or confidential. Such information
includes confidential business information which concerns or relates to
the trade secrets, processes, operations, style of work, or apparatus,
or to the production, sales, shipments, purchases, transfers,
identification of customers, inventories, or amount of source of income,
profits, losses, or expenditures of any person, firm, partnership,
corporation, or other organization, if the disclosure is likely to have
the effect of either impairing the Commission's ability to obtain such
information as is necessary to perform its statutory functions, or
causing substantial harm to the competitive position of the person,
firm, partnership, corporation, or other organization from which the
information was obtained, unless the Commission is required by law to
disclose such information. These procedures shall be used for submitting
business information in confidence:
(i) A request for confidential treatment shall be addressed to the
Chief FOIA Officer, Federal Election Commission, at the street address
identified in the definition of ``Commission'' in Sec. 1.2, and shall
indicate clearly on the envelope that it is a request for confidential
treatment.
(ii) With each submission of, or offer to submit, business
information which a submitter desires to be treated as confidential
under paragraph (a)(4) of this section, the submitter shall provide the
following, which may be disclosed to the public: (A) A written
description of the nature of the subject information, and a
justification for the request for its confidential treatment, and (B) a
certification in writing under oath that substantially identical
information is not available to the public.
(iii) Approval or denial of requests shall be made only by the Chief
FOIA Officer or his or her designees. A denial shall be in writing,
shall specify the reason therefore, and shall advise the submitter of
the right to appeal to the Commission.
(iv) For good cause shown, the Commission may grant an appeal from a
denial by the Chief FOIA Officer or his or her designee if the appeal is
filed within fifteen (15) days after receipt of the denial. An appeal
shall be addressed to the Chief FOIA Officer, Federal Election
Commission, at the street address identified in the definition of
``Commission'' in Sec. 1.2 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
[[Page 17]]
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 52 U.S.C. 30109 are
confidential by statute, the procedures outlined in Sec. 4.5(a)(4) (i)
thru (v) are not applicable.
(5) Inter-agency or intra-agency memoranda or letters which would
not be available by law to a party in litigation with the Commission.
(6) Personnel and medical files and similar files, the disclosure of
which would constitute a clearly unwarranted invasion of personal
privacy.
(7) Records or information compiled for law enforcement purposes,
but only to the extent that the production of such law enforcement
records or information:
(i) Could reasonably be expected to interfere with enforcement
proceedings;
(ii) Would deprive a person of a right to a fair trial or an
impartial adjudication;
(iii) Could reasonably be expected to constitute an unwarranted
invasion of personal privacy;
(iv) Could reasonably be expected to disclose the identity of a
confidential source, including a State, local, or foreign agency or
authority or any private institution which furnished information on a
confidential basis, and, in the case of a record or information compiled
by a criminal law enforcement authority in the course of a criminal
investigation, or by an agency conducting a lawful national security
intelligence investigation, information furnished by a confidential
source;
(v) Would disclose techniques and procedures for law enforcement
investigations or prosecutions, or would disclose guidelines for law
enforcement investigations or prosecutions if such disclosure could
reasonably be expected to risk circumvention of the law; or
(vi) Could reasonably be expected to endanger the life or physical
safety of any individual.
(b) Whenever a request is made which involves access to records
described in 11 CFR 4.5(a)(7); and
(1) The investigation or proceeding involves a possible violation of
criminal law; and
(2) There is reason to believe that--
(i) The subject of the investigation or proceeding is not aware of
its pendency; and
(ii) Disclosure of the existence of the records could reasonably be
expected to interfere with enforcement proceedings;
The agency may, during only such time as that circumstance continues,
treat the records as not subject to the requirements of the Freedom of
Information Act.
(c) Any reasonably segregable portion of a record shall be provided
to any person requesting such record after deletion of the portions
which are exempt. The amount of information deleted shall be indicated
on the released portion of the record, unless including that indication
would harm an interest protected by an exemption in paragraph (a) of
this section under which the deletion is made. If technically feasible,
the amount of the information deleted shall be indicated at the place in
the record where such deletion is made.
(d) If a requested record is one of another government agency or
deals with subject matter to which a government agency other than the
Commission has exclusive or primary responsibility, the request for such
a record shall be promptly referred by the Commission to that agency for
disposition or guidance as to disposition.
(e) Nothing in this part authorizes withholding of information or
limiting the availability of records to the public, except as
specifically provided in this part; nor is this part authority to
withhold information from Congress.
[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985; 52
FR 23638, June 24, 1987; 52 FR 39212, Oct. 21, 1987; 65 FR 9206, Feb.
24, 2000; 75 FR 31, Jan. 4, 2010; 79 FR 77844, Dec. 29, 2014; 82 FR
60852, Dec. 26, 2017]
[[Page 18]]
Sec. 4.6 Discretionary release of exempt records.
The Commission may, in its discretion, release requested records
despite the applicability of the exemptions in Sec. 4.5(a), if it
determines that it is in the public interest and that the rights of
third parties would not be prejudiced.
Sec. 4.7 Requests for records.
(a) [Reserved]
(b)(1) Requests for copies of records pursuant to the Freedom of
Information Act shall be addressed to Chief FOIA Officer, Federal
Election Commission, at the street address identified in the definition
of ``Commission'' in Sec. 1.2. The request shall reasonably describe
the records sought with sufficient specificity with respect to names,
dates, and subject matter, to permit the records to be located. A
requester will be promptly advised if the records cannot be located on
the basis of the description given and that further identifying
information must be provided before the request can be satisfied.
(2) Requests for Commission records and copies thereof shall specify
the preferred form or format (including electronic formats) of the
response. The Commission shall accommodate requesters as to form or
format if the record is readily available in that form or format. When
requesters do not specify the form or format of the response, the
Commission shall respond in the form or format in which the document is
most accessible to the Commission.
(c) The Commission shall determine within twenty working days after
receipt of a request, or twenty working days after an appeal is granted,
whether to comply with such request, unless in unusual circumstances the
time is extended or subject to Sec. 4.9(f)(3), which governs advance
payments. In the event the time is extended, the requestor shall be
notified of the reasons for the extension and the date on which a
determination is expected to be made, but in no case shall the extended
time exceed ten working days. An extension may be made if it is--
(1) Necessary to locate records or transfer them from physically
separate facilities; or
(2) Necessary to search for, collect, and appropriately examine a
large quantity of separate and distinct records which are the subject of
a single request; or
(3) Necessary for consultation with another agency which has a
substantial interest in the determination of the request, or with two or
more components of the Commission which have a substantial subject
matter interest therein.
(d) If the Commission determines that an extension of time greater
than ten working days is necessary to respond to a request satisfying
the ``unusual circumstances'' specified in paragraph (c) of this
section, the Commission shall so notify the requester and give the
requester an opportunity to limit the scope of the request so that it
may be processed within the time limit prescribed in paragraph (c) of
this section, or arrange with the Commission an alternative time frame
for processing the request or a modified request.
(e) The Commission may aggregate and process as a single request
requests by the same requester, or a group of requesters acting in
concert, if the Commission reasonably believes that the requests
actually constitute a single request that would otherwise satisfy the
unusual circumstances specified in paragraph (c) of this section, and
the requests involve clearly related matters.
(f) The Commission uses a multitrack system to process requests
under the Freedom of Information Act that is based on the amount of work
and/or time involved in processing requests. Requests for records are
processed in the order they are received within each track. Upon receipt
of a request for records, the Commission shall determine which track is
appropriate for the request. The Commission may contact requesters whose
requests do not appear to qualify for the fastest tracks and provide
such requesters the opportunity to limit their requests so as to qualify
for a faster track. Requesters who believe that their requests qualify
for the fastest tracks and who wish to be notified if the Commission
disagrees may so indicate in the request and, where appropriate and
feasible, shall
[[Page 19]]
also be given an opportunity to limit their requests.
(g) The Commission shall consider requests for the expedited
processing of requests in cases where the requester demonstrates a
compelling need for such processing.
(1) The term compelling need means:
(i) That a failure to obtain requested records on an expedited basis
could reasonably be expected to pose an imminent threat to the life or
physical safety of an individual; or
(ii) With respect to a request made by a person primarily engaged in
disseminating information, urgency to inform the public concerning
actual or alleged Federal government activity.
(2) Requesters for expedited processing must include in their
requests a statement setting forth the basis for the claim that a
``compelling need'' exists for the requested information, certified by
the requester to be true and correct to the best of his or her knowledge
and belief.
(3) The Commission shall determine whether to grant a request for
expedited processing and notify the requester of such determination
within ten days of receipt of the request. Denials of requests for
expedited processing may be appealed as set forth in Sec. 4.8. The
Commission shall expeditiously determine any such appeal. As soon as
practicable, the Commission shall process the documents responsive to a
request for which expedited processing is granted.
(h) Any person denied access to records by the Commission shall be
notified immediately giving reasons therefore, and notified of the right
of such person to appeal such adverse determination to the Commission.
(i) The date of receipt of a request under this part shall be the
date on which the FOIA Officer actually receives the request.
[44 FR 33368, June 8, 1979, as amended at 45 FR 31292, May 13, 1980; 50
FR 50778, Dec. 12, 1985; 52 FR 39213, Oct. 21, 1987; 65 FR 9206, Feb.
24, 2000; 75 FR 31, Jan. 4, 2010; 82 FR 60853, Dec. 26, 2017]
Sec. 4.8 Appeal of denial.
(a) Any person who has been notified pursuant to Sec. 4.7(h) of
this part that his/her request for inspection of a record or for a copy
has been denied, or who has received no response within twenty working
days (or within such extended period as is permitted under Sec. 4.7(c)
of this part) after the request has been received by the Commission, may
appeal the adverse determination or the failure to respond by requesting
the Commission to direct that the record be made available.
(b) The appeal request shall be in writing, shall clearly and
prominently state on the envelope or other cover and at the top of the
first page ``FOIA Appeal'', and shall identify the record in the form in
which it was originally requested.
(c) The appeal request should be delivered or addressed to the Chief
FOIA Officer, Federal Election Commission, at the street address
identified in the definition of ``Commission'' in Sec. 1.2.
(d) The requestor may state facts and cite legal or other
authorities as he/she deems appropriate in support of the appeal
request.
(e) For good cause shown, the Commission may disclose a record which
is subject to one of the exemptions listed in Sec. 4.5 of this part.
(f) The Commission will make a determination with respect to any
appeal within twenty days (excluding Saturdays, Sundays and legal
holidays) after receipt of the appeal (or within such extended period as
is permitted under Sec. 4.7(c) of this part). If on appeal, the denial
of the request for a record or a copy is in whole or in part upheld, the
Commission shall advise the requestor of the denial and shall notify
him/her of the provisions for judicial review of that determination as
set forth in 5 U.S.C. 552(a)(4).
(g) Because of the risk of misunderstanding inherent in oral
communications, the Commission will not entertain any appeal from an
alleged denial or failure to comply with an oral request. Any person who
has orally requested a copy of a record that he/she believes to have
been improperly denied should resubmit the request in writing as set
forth in Sec. 4.7.
[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985; 75
FR 31, Jan. 4, 2010; 79 FR 16663, Mar. 26, 2014; 81 FR 34863, June 1,
2016; 82 FR 60853, Dec. 26, 2017]
[[Page 20]]
Sec. 4.9 Fees.
(a) Exceptions to fee charges--(1) General. Except for a commercial
use requester, the Commission will not charge a fee to any requester for
the first two hours of search time and the first 100 pages of
duplication in response to any FOIA request.
(2) Free computer search time. For purposes of this paragraph, the
term search time is based on the concept of a manual search. To apply
this to a search conducted by a computer, the Commission will provide
the equivalent dollar value of two hours of professional staff time,
calculated according to paragraph (c)(4) of this section, in computer
search time. Computer search time is determined by adding the cost of
the computer connect time actually used for the search, calculated at
the rate of $25.00 per hour, to the cost of the operator's salary for
the time spent conducting the computer search, calculated at the
professional staff time rate set forth at paragraph (c)(4) of this
section.
(3) Definition of pages. For purposes of this paragraph, the word
pages refers to paper copies of a standard agency size which will
normally be 8\1/2\ x 11 or 8\1/2\ x
14. Thus, while a requester would not be entitled to 100 free
computer disks, for example, a requester would be entitled to 100 free
pages of a computer printout.
(4) Minimum charge. The Commission will not charge a fee to any
requester when the allowable direct cost of that FOIA request is equal
to or less than the Commission's cost of routinely collecting and
processing a FOIA request fee.
(b) Fee reduction or waiver--(1) The Commission will consider
requests for the reduction or waiver of any fees assessed pursuant to
paragraph (c)(1) of this section if it determines, either as a result of
its own motion or in response to a written submission by the requester,
that disclosure of the information is in the public interest because it
is likely to contribute significantly to public understanding of the
operations or activities of the government and that disclosure of the
information is not primarily in the commercial interest of the
requester.
(2) A request for a reduction or waiver of fees shall be made in
writing by the FOIA requestor; shall accompany the relevant FOIA request
so as to be considered timely; and shall include a specific explanation
as to why the fee for that FOIA request should be reduced or waived,
applying the standard stated in paragraph (b)(1) of this section to the
facts of that particular request. In addition, the explanation shall
include: the requester's (and user's, if the requester and the user are
different persons or entities) identity, qualifications and expertise in
the subject area, and ability and intention to disseminate the
information to the public; and a discussion of any commercial or
personal benefit that the requestor (and user, if the requestor and user
are different persons or entities) expects as a result of disclosure,
including whether the information disclosed would be resold in any form
at a fee above actual cost.
(c) Fees to be charged. (1) The FOIA services provided by the
Commission in response to a FOIA request for which the requestor will be
charged will depend upon the category of the requestor. The categories
of FOIA requestors are as follows:
(i) Commercial use requestors. A requestor of documents for
commercial use will be assessed reasonable standard charges for the full
allowable direct costs of searching for, reviewing for release and
duplicating the records sought, according to the Commission's schedule
of fees for those services as set forth at paragraph (c)(4) of this
section. A commercial use requestor is not entitled to two hours of free
search time nor 100 free pages of duplication of documents.
(ii) Educational and non-commercial scientific institution
requestors. The Commission will provide documents to requestors in this
category for the cost of duplication of the records provided by the
Commission in response to the request, according to the Commission's
schedule of fees as set forth at paragraph (c)(4) of this section,
excluding charges for the first 100 pages of duplication. Requestors in
this category will not be charged for search time. To be eligible for
inclusion in this category, requestors must show that the request
[[Page 21]]
is being made as authorized by and under the auspices of a qualifying
institution and that the records are not sought for a commercial use,
but are sought in furtherance of scholarly (if the request is from an
educational institution) or scientific (if the request is from a non-
commercial scientific institution) research.
(iii) Requestors who are representatives of the news media. The
Commission will provide documents to requestors in this category for the
cost of duplication of the records provided by the Commission in
response to the request, according to the Commission's schedule of fees
as set forth at paragraph (c)(4) of this section, excluding charges for
the first 100 pages of duplication. Requestors in this category will not
be charged for search time. To be eligible for inclusion in this
category, the requestor must meet the criteria listed at 11 CFR 4.1(n)
and his or her request must not be made for a commercial use. A request
for records supporting the news dissemination function of the requestor
shall not be considered to be a request that is for a commercial use.
(iv) All other requestors. The Commission will charge requestors who
do not fit into any of the categories listed in paragraph (c)(1)(i),
(ii) or (iii) of this section the full direct costs of searching for and
duplicating records in response to the request, according to the
Commission's schedule of fees as set forth at paragraph (c)(4) of this
section, excluding charges for the first two hours of search time and
the first 100 pages of duplication. Requests from persons for records
about themselves will continue to be treated under the fee provisions of
the Privacy Act of 1974, which permit fees only for duplication.
(2) The Commission may assess fees for the full allowable direct
costs of searching for documents in response to a request even if the
Commission fails to locate any documents which are responsive to that
request and, in the case of commercial use requestors, of reviewing
documents located in response to a request which the Commission
determines are exempt from disclosure.
(3) If the Commission estimates that search or duplication charges
are likely to exceed $25.00, it will notify the requestor of the
estimated amount of the fee unless the requestor has indicated in
advance a willingness to pay a fee as high as that estimated by the
Commission. Through this notification, the Commission will offer the
requestor the opportunity to confer with Commission staff to reformulate
the original request in order to meet the requestor's needs at a lower
cost.
(4) The following is the schedule of the Commission's standard fees.
The cost of staff time will be added to all of the following fees,
generally at the Professional rate listed below, except for the cost of
Photocopying from photocopying machines which has been calculated to
include staff time.
Photocopying
Photocopying from photocopying machines--$.07 per page
Photocopying from microfilm reader-printer--$.15 per page
Paper copies from microfilm-paper print machine--$.05 per frame page
Reels of Microfilm
Daily film (partial or complete roll)--$2.85 per roll
Other film (partial or complete roll)--$5.00 per roll
Publications: (new or not from available stocks)
Cost of photocopying document--$.07 per page
Cost of binding document--$.30 per inch
Publications: (available stock)
If available from stock on hand, cost is based on previously calculated
cost as stated in the publication (based on actual cost per copy,
including reproduction and binding). Commission publications for which
fees will be charged include, but are not limited to, the following:
Advisory Opinion Index, Report on Financial Activity, Financial Control
and Compliance Manual, MUR Index, and Guideline for Presentation in Good
Order.
Computer Tapes
Cost to process the request at the rate of $25.00 per hour connect time
plus the cost of the computer tape ($25.00) and professional staff time
(see Staff Time).
[[Page 22]]
Computer Indexes (including Name Searches)
Cost to process the request at the rate of $25.00 per hour connect time
plus the cost of professional staff time (see Staff Time).
Staff Time
Clerical: $4.50 per each half hour (agency average of staff below a GS-
11) for each request.
Professional: $12.40 per each half hour (agency average of staff at GS-
11 and above) for each request.
Other Charges
Certification of a Document: $7.35 per quarter hour.
Transcripts of Commission meetings not previously transcribed: $7.50 per
half hour (equivalent of a GS-11 executive secretary).
The Commission will not charge a fee for ordinary packaging and mailing
of records requested. When a request for special mailing or delivery
services is received the Commission will package the records requested.
The requestor will make all arrangements for pick-up and delivery of the
requested materials. The requestor shall pay all costs associated with
special mailing or delivery services directly to the courier or mail
service.
(5) Upon receipt of any request for the production of computer tape
or microfilm, the Commission will advise the requestor of the identity
of the private contractor who will perform the duplication services. If
fees are charged for the production of computer tape or microfilm, they
shall be made payable to that private contractor and shall be forwarded
to the Commission.
(d) Interest charges. FOIA requestors should pay fees within 30 days
following the day on which the invoice for that request was sent to the
requestor. If the invoice is unpaid on the 31st day following the day on
which the invoice was sent, the Commission will begin assessing interest
charges, which will accrue from the date the invoice was mailed.
Interest will be charged at a rate that is equal to the average
investment rate for the Treasury tax and loan accounts for the 12-month
period ending on September 30 of each year, rounded to the nearest whole
percentage point, pursuant to 31 U.S.C. 3717. The accrual of interest
will be stayed by the Commission's receipt of the fee, even if the fee
has not yet been processed.
(e) Aggregating requests. A requestor may not file multiple
requests, each seeking portions of a document or documents, in order to
avoid payment of fees. When the Commission reasonably believes that a
FOIA requestor or group of requestors acting in concert is attempting to
break a request down into a series of requests for the purpose of
evading the assessment of fees, the Commission will aggregate any such
requests and charge the appropriate fees. In making this determination,
the Commission will consider the time period in which the requests have
occurred, the relationship of the requestors, and the subject matter of
the requests.
(f) Advance payments. The Commission will require a requestor to
make an advance payment, i.e., a payment before work is commenced or
continued on a request, when:
(1) The Commission estimates or determines that allowable charges
that a requestor may be required to pay are likely to exceed $250. In
such a case, the Commission will notify the requestor of the likely cost
and, where the requestor has a history of prompt payment of FOIA fees,
obtain satisfactory assurance of full payment, or in the case of a
requestor with no FOIA fee payment history, the Commission will require
an advance payment of an amount up to the full estimated charges; or
(2) A requestor has previously failed to pay a fee in a timely
fashion (i.e., within 30 days of the date of the billing). In such a
case, the Commission may require that the requestor pay the full amount
owed plus any applicable interest or demonstrate that the fee has been
paid and make an advance payment of the full amount of the estimated fee
before the Commission begins to process a new request or a pending
request from that requestor.
(3) If the provisions of paragraph (f) (1) or (2) of this section
apply, the administrative time limits prescribed in 11 CFR 4.7(c) will
begin only after the Commission has received the payments or the
requestor has made acceptable arrangements to make the payments
[[Page 23]]
required by paragraph (f) (1) or (2) of this section.
[52 FR 39213, Oct. 21, 1987, as amended at 75 FR 31, Jan. 4, 2010]
PART 5_ACCESS TO PUBLIC DISCLOSURE AND MEDIA RELATIONS DIVISION DOCUMENTS-
-Table of Contents
Sec.
5.1 Definitions.
5.2 Policy on disclosure of records.
5.3 Scope.
5.4 Availability of records.
5.5 Request for records.
5.6 Fees.
Authority: 52 U.S.C. 30108(d), 30109(a)(4)(B)(ii), 30111(a); 31
U.S.C. 9701.
Source: 45 FR 31293, May 13, 1980, unless otherwise noted.
Sec. 5.1 Definitions.
(a) Commission means the Federal Election Commission established by
the Federal Election Campaign Act of 1971, as amended.
(b) Commissioner means an individual appointed to the Federal
Election Commission pursuant to 52 U.S.C. 30109 6(a).
(c) Request means to seek access to Commission materials subject to
the provisions of the Federal Election Campaign Act of 1971, as amended.
(d) Requestor is any person who submits a request to the Commission.
(e) Act means the Federal Election Campaign Act, as amended by the
Federal Election Campaign Act Amendments of 1974, 1976, and 1979, and
unless specifically excluded, includes chapters 95 and 96 of the
Internal Revenue Code of 1954 relating to public financing of Federal
elections.
(f) Public Disclosure and Media Relations Division of the Commission
is that division which is responsible for, among other things, the
processing of requests for public access to records which are submitted
to the Commission pursuant to 52 U.S.C. 30109(a)(4)(B)(ii) and 30111(a).
[45 FR 31293, May 13, 1980, as amended at 65 FR 9207, Feb. 24, 2000; 79
FR 77844, Dec. 29, 2014; 81 FR 94240, Dec. 23, 2016]
Sec. 5.2 Policy on disclosure of records.
(a) The Commission will make the fullest possible disclosure of
records to the public, consistent with the rights of individuals to
privacy, the rights of persons contracting with the Commission with
respect to trade secrets and commercial or financial information
entitled to confidential treatment, and the need for the Commission to
promote free internal policy deliberations and to pursue its official
activities without undue disruption.
(b) Nothing herein shall be deemed to restrict the public
availability of Commission records falling outside provisions of the
Act, or to restrict such public access to Commission records as is
available pursuant to the Freedom of Information Act and the rules set
forth as part 4 of this chapter.
Sec. 5.3 Scope.
(a) The regulations in this part implement the provisions of 52
U.S.C. 30108(d), 30109(a)(4)(B)(ii), and 30111(a).
(b) Public access to such Commission records as are subject to the
collateral provisions of the Freedom of Information Act and are not
included in the material subject to disclosure under this part
(described in 11 CFR 5.4(a)) shall be governed by the rules set forth as
part 4 of this chapter.
[45 FR 31293, May 13, 1980, as amended at 79 FR 77844, Dec. 29, 2014]
Sec. 5.4 Availability of records.
(a) In accordance with 52 U.S.C. 30111(a), the Commission shall make
the following material available for public inspection and copying
through the Commission's Public Disclosure and Media Relations Division:
(1) Reports of receipts and expenditures, designations of campaign
depositories, statements of organization, candidate designations of
campaign committees and the indices compiled from the filings therein.
(2) Requests for advisory opinions, written comments submitted in
connection therewith, and responses issued by the Commission.
(3) With respect to enforcement matters, any conciliation agreement
entered into between the Commission and any respondent.
(4) Opinions of Commissioners rendered in enforcement cases and
General Counsel's Reports and non-exempt 52 U.S.C. 30109 investigatory
materials
[[Page 24]]
shall be placed on the public record of the Agency no later than 30 days
from the date on which all respondents are notified that the Commission
has voted to close such an enforcement file.
(5) Letter requests for guidance and responses thereto.
(6) The minutes of Commission meetings.
(7) Material routinely prepared for public distribution, e.g.
campaign guidelines, FEC Record, press releases, speeches, notices to
candidates and committees.
(8) Audit reports (if discussed in open session).
(9) Agendas for Commission meetings.
(b) The provisions of this part apply only to existing records;
nothing herein shall be construed as requiring the creation of new
records.
(c) In order to ensure the integrity of the Commission records
subject to the Act and the maximum availability of such records to the
public, nothing herein shall be construed as permitting the physical
removal of any Commission records from the public facilities maintained
by the Public Disclosure and Media Relations Division other than copies
of such records obtained in accordance with the provisions of this part.
(d) Release of records under this section is subject to the
provisions of 5 U.S.C. 552a.
[45 FR 31293, May 13, 1980, as amended at 65 FR 9207, Feb. 24, 2000; 79
FR 77844, Dec. 29, 2014; 81 FR 94240, Dec. 23, 2016]
Sec. 5.5 Request for records.
(a) A request to inspect or copy those public records described in
11 CFR 5.4(a) may be made in person or by mail. The Public Disclosure
and Media Relations Division is open Monday through Friday between the
hours of 9 a.m. and 5 p.m. and is located at the Federal Election
Commission at the street address identified in the definition of
``Commission'' in Sec. 1.2.
(b) Each request shall describe the records sought with sufficient
specificity with respect to names, dates and subject matter to permit
the records to be located with a reasonable amount of effort. A
requester will be promptly advised if the requested records cannot be
located on the basis of the description given and that further
identifying information must be provided before the request can be
satisfied.
(c) Requests for copies of records not available through the Public
Disclosure and Media Relations Division shall be addressed to the Chief
FOIA Officer, Federal Election Commission, at the street address
identified in the definition of ``Commission'' in Sec. 1.2. Requests
for Commission records not described in 11 CFR 5.4(a) shall be treated
as requests made pursuant to the Freedom of Information Act (5 U.S.C.
552) and shall be governed by 11 CFR part 4. In the event that the
Public Disclosure and Media Relations Division receives a written
request for access to materials not described in 11 CFR 5.4(a), it shall
promptly forward such request to the Commission FOIA Officer for
processing in accordance with the provisions of part 4 of this chapter.
[45 FR 31293, May 13, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 75
FR 31, Jan. 4, 2010; 81 FR 94240, Dec. 23, 2016; 82 FR 60853, Dec. 26,
2017]
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)--$5.00 per roll
[[Page 25]]
Publications: (new or not from stocks available)
Cost of photocopying (reproducing) document--$.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.
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
[[Page 26]]
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.
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.
(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
[[Page 27]]
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;
(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;
82 FR 60853, Dec. 26, 2017]
Sec. Sec. 6.104-6.109 [Reserved]
Sec. 6.110 Evaluation.
(a) Within one year of the effective date of this part, the
Commission will conduct, with the assistance of interested persons,
including handicapped persons and organizations representing handicapped
persons, and evaluation of its compliance with section 504. This
evaluation will include a determination of whether the Commission's
policies and practices, and the effects thereof, meet the requirements
of this part and whether modification of any such policies or practices
is required to comply with section 504. If modification of any policy or
practice is found to be required as a result of this evaluation, the
Commission will proceed to make the necessary modifications.
(b) For at least three years following completion of the evaluation
required under paragraph (a), the Commission will maintain on file and
make available for public inspection:
(1) A list of the interested persons consulted;
[[Page 28]]
(2) A description of areas examined and any problems identified; and
(3) A description of any modifications made.
Sec. 6.111 Notice.
The Commission will make available to employees, applicants,
participants, beneficiaries, and other interested persons information
regarding the provisions of this part and its applicability to the
programs or activities conducted by the Commission. The Commission will
make such information available to them in a manner it finds necessary
to effectively apprise such persons of the protections against
discrimination assured them by section 504 and the provisions of this
part.
Sec. Sec. 6.112-6.129 [Reserved]
Sec. 6.130 General prohibitions against discrimination.
(a) No qualified handicapped person shall, on the basis of handicap,
be excluded from participation in, be denied the benefits of, or
otherwise be subjected to discrimination under any program or activity
conducted by the Commission.
(b)(1) The Commission, in providing any aid, benefit, or service,
may not, directly or through contractual, licensing, or other
arrangements, on the basis of handicap--
(i) Deny a qualified handicapped person the opportunity to
participate in or benefit from the aid, benefit, or service;
(ii) Afford a qualified handicapped person an opportunity to
participate in or benefit from the aid, benefit, or service that is not
equal to that afforded others;
(iii) Provide a qualified handicapped person with an aid, benefit,
or service 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
[[Page 29]]
handicapped persons to discrimination on the basis of handicap.
(6) The Commission may not administer a certification program in a
manner that subjects qualified handicapped persons to discrimination on
the basis of handicap, nor may the Commission establish requirements for
the programs or activities of certified entities that subject qualified
handicapped persons to discrimination on the basis of handicap. However,
the programs or activities of entities that are certified by the
Commission are not, themselves, covered by this part.
(c) The exclusion of nonhandicapped persons from the benefits of a
program limited by Federal statute or Executive order to handicapped
persons or the exclusion of a specific class of handicapped persons from
a program limited by Federal statute or Executive Order to a different
class of handicapped persons is not prohibited by this part.
(d) The Commission will administer programs and activities in the
most integrated setting appropriate to the needs of qualified
handicapped persons.
Sec. Sec. 6.131-6.139 [Reserved]
Sec. 6.140 Employment.
No qualified handicapped person shall, on the basis of handicap, be
subjected to discrimination in employment under any program or activity
conducted by the Commission. The definitions, requirements, and
procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C.
791), as established in 29 CFR part 1613, shall apply to employment in
federally conducted programs or activities.
Sec. Sec. 6.141-6.148 [Reserved]
Sec. 6.149 Program accessibility: Discrimination prohibited.
Except as otherwise provided in 11 CFR 6.150 and 11 CFR 6.151, no
qualified handicapped person shall be denied the benefits of, be
excluded from participation in, or otherwise be subjected to
discrimination under any program or activity conducted by the Commission
because its facilities are inaccessible to or unusable by handicapped
persons.
Sec. 6.150 Program accessibility; Existing facilities.
(a) General. The Commission will operate each program or activity so
that the program or activity, when viewed in its entirety, is readily
accessible to and usable by handicapped persons. This paragraph does
not--
(1) Necessarily require the Commission to make each of its existing
facilities accessible to and usable by handicapped persons;
(2) Require the Commission to take any action that it can
demonstrate would result in a fundamental alteration in the nature of a
program or activity or in undue financial and administrative burdens.
The Commission has the burden of proving that compliance with 11 CFR
6.150(a) would result in such alterations or burdens. The decision that
compliance would result in such alteration or burdens must be made by
the Commission after considering all agency resources available for use
in the funding and operation of the conducted program or activity, and
must be accompanied by a written statement of the reasons for reaching
that conclusion. If an action would result in such an alteration or such
burdens, the Commission will take any other action that would not result
in such an alteration or such a burden but would nevertheless ensure
that handicapped persons receive the benefits and services of the
program or activity.
(b) Methods. The Commission may comply with the requirements of this
section through such means as redesign of equipment, reassignment of
services to accessible buildings, assignment of aides to beneficiaries,
home visits, delivery of services at alternate accessible sites,
alteration of existing facilities and construction of new facilities,
use of accessible rolling stock, or any other methods that result in
making its programs or activities readily accessible to and usable by
handicapped persons. The Commission is not required to make structural
changes in existing facilities where other methods are effective in
achieving compliance with this section. The Commission, in making
alterations to existing buildings, will meet accessibility requirements
to the extent compelled by the Architectural Barriers Act of 1968, as
[[Page 30]]
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 than one year, identify steps that will be taken during
each year of the transition period;
(4) Indicate the official responsible for implementation of the
plan; and
(5) Identify the persons or groups with whose assistance the plan
was prepared.
Sec. 6.151 Program accessibility: New construction and alterations.
Each building or part of a building that is constucted or altered
by, on behalf of, or for the use of the Commission shall be designed,
constructed, or altered so as to be readily accessible to and usable by
handicapped persons. The definitions, requirements, and standards of the
Architectural Barriers Act, 42 U.S.C. 4151-4157, as established in 41
CFR 101-19.600 to 101-19.607, apply to buildings covered by this
section.
Sec. Sec. 6.152-6.159 [Reserved]
Sec. 6.160 Communications.
(a) The Commission will take appropriate steps to ensure effective
communication with applicants, participants, personnel of other Federal
entities, and members of the public.
(1) The Commission will furnish appropriate auxiliary aids where
necessary to afford a handicapped person an equal opportunity to
participate in, and enjoy the benefits of, a program or activity
conducted by the Commission.
(i) In determination what type of auxiliary aid is necessary, the
Commission will give primary consideration to the requests of the
handicapped person.
(ii) The Commission need not provide individually prescribed
devices, readers for personal use or study, or other devices of a
personal nature.
(2) Where the Commission communicates with applicants and
beneficiaries by telephone, telecommunications devices for deaf persons
(TDD's), or equally effective telecommunication systems will be used.
(b) The Commission will ensure that interested persons, including
persons with impaired vision or hearing, can obtain information as to
the existence and location of accessible services, activities, and
facilities.
(c) The Commission will provide signage at a primary entrance to
each of its inaccessible facilities, directing users to a location at
which they can obtain information about accessible facilities. The
international symbol for accessibility shall be used at each primary
entrance of an accessible facility.
(d) The Commission will take appropriate steps to provide
handicapped persons with information regarding their section 504 rights
under the Commission's programs of activities.
(e) This section does not require the Commission to take any action
that it
[[Page 31]]
can demonstrate would result in a fundamental alteration in the nature
of a program or activity or in undue financial and administrative
burdens. The Commission has the burden of proving that compliance with
this section would result in such alterations or burdens. The decision
that compliance would result in such alteration or burdens must be made
by the Commission after considering all agency resources available for
use in the funding and operation of the conducted program or activity,
and must be accompanied by a written statement of the reasons for
reaching that conclusion. If an action required to comply with this
section would result in such an alteration or such burdens, the
Commission will take any other action that would not result in such an
alteration or such a burden but would nevertheless ensure that, to the
maximum extent possible, handicapped persons receive the benefits and
services of the program or activity.
Sec. Sec. 6.161-6.169 [Reserved]
Sec. 6.170 Compliance procedures.
(a) Except as provided in paragraph (b) of this section, this
section applies to all allegations of discrimination on the basis of
handicap in programs or activities conducted by the Commission.
(b) The Commission will process complaints alleging violations of
section 504 with respect to employment according to the procedures
established in 29 CFR part 1613 pursuant to section 501 of the
Rehabilitation Act of 1973 (29 U.S.C. 791).
(c) Responsibility for implementation and operation of this section
shall 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, Federal Election Commission, at the street
address identified in the definition of ``Commission'' in Sec. 1.2.
(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
[[Page 32]]
(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, at the street
address identified in the definition of ``Commission'' in Sec. 1.2.
(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;
82 FR 60853, Dec. 26, 2017]
Sec. Sec. 6.171-6.999 [Reserved]
PART 7_STANDARDS OF CONDUCT--Table of Contents
Sec.
7.1 Scope.
7.2 Definitions.
7.3 Interpretation and guidance.
7.4 Reporting suspected violations.
7.5 Corrective action.
7.6 Outside employment and activities by Commissioners.
7.7 Prohibition against making complaints and investigations public.
7.8 Ex parte communications in enforcement actions.
Authority: 52 U.S.C. 30106, 30107, and 30111; 5 U.S.C. 7321 et seq.
and app. 3.
Source: 76 FR 70330, Nov. 14, 2011, unless otherwise noted.
Sec. 7.1 Scope.
(a) The regulations in this part apply to members and employees of
the Federal Election Commission (``Commission'').
(b) In addition, members and employees of the Commission are subject
to the following regulations:
(1) 5 CFR part 735 (Employee Responsibilities and Conduct);
(2) 5 CFR part 2634 (Executive Branch Financial Disclosure,
Qualified Trusts, and Certificates of Divestiture);
(3) 5 CFR part 2635 (Standards of Ethical Conduct for Employees of
the Executive Branch); and
(4) 5 CFR part 4701 (Supplemental Standards of Ethical Conduct for
Employees of the Federal Election Commission).
Sec. 7.2 Definitions.
As used in this part:
(a) Commission means the Federal Election Commission.
(b) Commissioner means a member of the Federal Election Commission,
in accordance with 52 U.S.C. 30106.
(c) Designated Agency Ethics Official means the employee designated
by the Commission to administer the provisions of the Ethics in
Government Act of 1978 (5 U.S.C. appendix), as amended, and includes a
designee of the Designated Agency Ethics Official. The General Counsel
serves as the Commission's Designated Agency Ethics Official.
(d) Employee means an employee of the Federal Election Commission
and includes a special Government employee as defined in 18 U.S.C.
202(a).
(e) Ex parte communication means any written or oral communication
by any person outside the agency to any Commissioner or any member of
any Commissioner's staff, but not to any other Commission employee, that
imparts information or argument regarding prospective Commission action
or potential action concerning any pending enforcement matter.
(f) Inspector General means the individual appointed by the
Commission to administer the provisions of the Inspector General Act of
1978, as amended (5 U.S.C. appendix), and includes any designee of the
Inspector General.
[76 FR 70330, Nov. 14, 2011, as amended at 79 FR 77844, Dec. 29, 2014;
82 FR 60853, Dec. 26, 2017]
[[Page 33]]
Sec. 7.3 Interpretation and guidance.
(a) A Commissioner or employee seeking advice and guidance on
matters covered by this part or 5 CFR parts 735, 2634, 2635, 2640, or
4701 may consult with the Designated Agency Ethics Official. The
Designated Agency Ethics Official should be consulted before undertaking
any action that might violate this part or 5 CFR parts 735, 2634, 2635,
2640, or 4701 governing the conduct of Commissioners or employees.
(b) The Designated Agency Ethics Official, a Commissioner, or an
employee may request an opinion from the Director of the Office of
Government Ethics regarding an interpretation of 5 CFR parts 2634, 2635,
or 2640.
Sec. 7.4 Reporting suspected violations.
Commissioners and employees shall disclose immediately any suspected
violation of a statute or of a rule set forth in this part or of a rule
set forth in 5 CFR parts 735, 2634, 2635, 2640, or 4701 to the
Designated Agency Ethics Official, the Office of Inspector General, or
other appropriate law enforcement authorities.
Sec. 7.5 Corrective action.
A violation of this part or 5 CFR parts 735, 2634, 2635, 2640, or
4701 by an employee may be cause for appropriate corrective,
disciplinary, or adverse action in addition to any penalty prescribed by
law.
Sec. 7.6 Outside employment and activities by Commissioners.
No member of the Commission may devote a substantial portion of his
or her time to any other business, vocation, or employment. Any
individual who is engaging substantially in any other business,
vocation, or employment at the time such individual begins to serve as a
member of the Commission will appropriately limit such activity no later
than 90 days after beginning to serve as such a member.
Sec. 7.7 Prohibition against making complaints and investigations public.
(a) Commission employees are subject to criminal penalties if they
discuss or otherwise make public any matters pertaining to a complaint
or investigation under 52 U.S.C. 30109, without the written permission
of the person complained against or being investigated. Such
communications are prohibited by 52 U.S.C. 30109(a)(12)(A).
(b) Section 30109(a)(12)(B) of Title 52 of the United States Code
provides as follows: ``Any member or employee of the Commission, or any
other person, who violates the provisions of [52 U.S.C. 30109(a)(12)(A)]
shall be fined not more than $2,000. Any such member, employee, or other
person who knowingly and willfully violates the provisions of [52 U.S.C.
30109(a)(12)(A)] shall be fined not more than $5,000.''
[79 FR 77844, Dec. 29, 2014]
Sec. 7.8 Ex parte communications in enforcement actions.
In order to avoid the possibility of prejudice, real or apparent, to
the public interest in enforcement actions pending before the Commission
pursuant to 52 U.S.C. 30109:
(a) Except to the extent required for the disposition of enforcement
matters as required by law (as, for example, during the normal course of
an investigation or a conciliation effort), no Commissioner or member of
any Commissioner's staff shall make or entertain any ex parte
communications.
(b) The prohibition of this section shall apply from the time a
complaint is filed with the Commission pursuant to 52 U.S.C. 30109(a)(1)
or from the time that the Commission determines on the basis of
information ascertained in the normal course of its supervisory
responsibilities that it has reason to believe that a violation has
occurred or may occur pursuant to 52 U.S.C. 30109(a)(2), and such
prohibition shall remain in force until the Commission has concluded all
action with respect to the enforcement matter in question.
(c) Any written communication prohibited by paragraph (a) of this
section shall be delivered to the General Counsel, who shall place the
communication in the case file.
(d) A Commissioner or member of any Commissioner's staff involved in
handling enforcement actions who receives an offer to make an oral
communication or any communication concerning any enforcement action
pending before the Commission as described in paragraph (a) of this
section, shall
[[Page 34]]
decline to listen to such communication. If unsuccessful in preventing
the communication, the Commissioner or employee shall advise the person
making the communication that he or she will not consider the
communication and shall prepare a statement setting forth the substance
and circumstances of the communication. Within 48 hours of receipt of
the communication, the Commissioner or any member of any Commissioner's
staff shall prepare a statement setting forth the substance and
circumstances of the communication and shall deliver the statement to
the General Counsel for placing in the file in the manner set forth in
paragraph (c) of this section.
(e) Additional rules governing ex parte communications made in
connection with Commission enforcement actions are found at 11 CFR
111.22. Rules governing ex parte communications made in connection with
public funding, Commission audits, litigation, rulemakings, and advisory
opinions are found at 11 CFR part 201.
[76 FR 70330, Nov. 14, 2011 , as amended at 79 FR 77844, Dec. 29, 2014]
PART 8_COLLECTION OF ADMINISTRATIVE DEBTS--Table of Contents
Sec.
8.1 Purpose and scope.
8.2 Debts that are covered.
8.3 Administrative collection of claims.
8.4 Bankruptcy claims.
8.5 Interest, penalties, and administrative costs.
Authority: 31 U.S.C. 3701, 3711, and 3716-3720A, as amended; 52
U.S.C. 30101 et seq.; 31 CFR parts 285 and 900-904.
Source: 75 FR 19875, Apr. 16, 2010, unless otherwise noted.
Sec. 8.1 Purpose and scope.
This part prescribes standards and procedures under which the
Commission will collect and dispose of certain debts owed to the United
States, as described in 11 CFR 8.2. The regulations in this part
implement the Debt Collection Improvement Act of 1996, 31 U.S.C. 3701,
3711, and 3716-3720A, as amended; and the Federal Claims Collection
Standards, 31 CFR parts 900-904. The activities covered include: the
collection of claims of any amount; compromising claims; suspending or
terminating the collection of claims; referring debts to the U.S.
Department of the Treasury for collection action; and referring debts
under this part 8 of more than $100,000 (exclusive of any interest and
charges) to the Department of Justice for litigation.
Sec. 8.2 Debts that are covered.
(a) The procedures covered by this part apply to debts that are
either owed by current and former Commission employees, or arise from
the provision of goods or services by contractors or vendors doing
business with the Commission.
(b) The procedures covered by this part do not apply to any of the
following debts:
(1) Debts that are covered by 11 CFR 111.51, regarding debts arising
from compliance matters, administrative fines, alternative dispute
resolution, repayments, and court judgments arising under the statutes
specified in 11 CFR 111.51(a).
(2) Debts involving criminal actions of fraud, the presentation of a
false claim, or misrepresentation on the part of the debtor or any other
person having an interest in the claim.
(3) Debts based in whole or in part on conduct in violation of the
antitrust laws.
(4) Debts under the Internal Revenue Code of 1986.
(5) Debts between the Commission and another Federal agency. The
Commission will attempt to resolve interagency claims by negotiation in
accordance with Executive Order 12146, 3 CFR pp. 409-12 (1980 Comp.).
(6) Debts that have become subject to salary offset under 5 U.S.C.
5514.
Sec. 8.3 Administrative collection of claims.
(a) The Commission shall act to collect all claims or debts. These
collection activities will be undertaken promptly and follow up action
will be taken as appropriate in accordance with 31 CFR 901.1.
(b) The Commission may take any and all appropriate collection
actions authorized and required by the Debt Collection Act of 1982, as
amended by the Debt Collection Improvement Act
[[Page 35]]
of 1996, 31 U.S.C. 3701 et seq. The U.S. Department of the Treasury
regulations at 31 CFR 285.2, 285.4, 285.7 and 285.11, and the Federal
Claims Collection Standards issued jointly by the Department of Justice
and the U.S. Department of the Treasury at 31 CFR parts 900-904 also
apply. The Commission has adopted these regulations by cross-reference.
(c) The Commission will refer to the Dept. of Treasury all debt that
has been delinquent for more than 180 days, and may refer to the Dept.
of Treasury any debt that has been delinquent for 180 days or less. On
behalf of the Commission, the U.S. Department of the Treasury will
attempt to collect the debt, in accordance with the statutory and
regulatory requirements and authorities applicable to the debt and
action. This may include referral to another debt collection center, a
private collection contractor, or the Department of Justice for
litigation. See 31 CFR 285.12 (Transfer of debts to Treasury for
collection). This requirement does not apply to any debt that:
(1) Is in litigation or foreclosure;
(2) Will be disposed of under an approved asset sale program;
(3) Has been referred to a private collection contractor for a
period of time acceptable to the U.S. Department of the Treasury; or
(4) Will be collected under internal offset procedures within three
years after the debt first became delinquent.
(d) The U.S. Department of the Treasury is authorized to charge a
fee for services rendered regarding referred or transferred debts. The
Commission will add the fee to the debt as an administrative cost, in
accordance with 11 CFR 8.5.
Sec. 8.4 Bankruptcy claims.
When the Commission learns that a bankruptcy petition has been filed
by a debtor, before proceeding with further collection action, the
Commission will take any necessary action in accordance with the
provision of 31 CFR 901.2(h).
Sec. 8.5 Interest, penalties, and administrative costs.
(a) The Commission shall assess interest, penalties, and
administrative costs on debts owed to the United States Government in
accordance with 31 U.S.C. 3717 and 31 CFR 901.9.
(b) The Commission shall waive collection of interest and
administrative costs on a debt or any portion of the debt that is paid
in full within thirty days after the date on which the interest begins
to accrue.
(c) The Commission may waive collection of interest, penalties, and
administrative costs if it:
(1) Determines that collection is against equity and good conscience
or not in the best interest of the United States, including when an
administrative offset or installment agreement is in effect; or
(2) Determines that waiver is appropriate under the criteria for
compromise of debts set forth at 31 CFR 902.2(a).
(d) The Commission is authorized to impose interest and related
charges on debts not subject to 31 U.S.C. 3717, in accordance with
common law.
[[Page 36]]
SUBCHAPTER A_GENERAL
PART 100_SCOPE AND DEFINITIONS (52 U.S.C. 30101)--Table of Contents
Subpart A_General Definitions
Sec.
100.1 Scope.
100.2 Election (52 U.S.C. 30101(1)).
100.3 Candidate (52 U.S.C. 30101(2)).
100.4 Federal office (52 U.S.C. 30101(3)).
100.5 Political committee (52 U.S.C. 30101(4), (5), and (6)).
100.6 Connected organization (52 U.S.C. 30101(7)).
100.7-100.8 [Reserved]
100.9 Commission (52 U.S.C. 30101(10)).
100.10 Person (52 U.S.C. 30101(11)).
100.11 State (52 U.S.C. 30101(12)).
100.12 Identification (52 U.S.C. 30101(13)).
100.13 National committee (52 U.S.C. 30101(14)).
100.14 State Committee, subordinate committee, district, or local
committee (52 U.S.C. 30101(15)).
100.15 Political party (52 U.S.C. 30101(16)).
100.16 Independent expenditure (52 U.S.C. 30101(17)).
100.17 Clearly identified (52 U.S.C. 30101(18)).
100.18 Act (52 U.S.C. 30101(19)).
100.19 File, filed, or filing (52 U.S.C. 30104(a)).
100.20 Occupation (52 U.S.C. 30101(13)).
100.21 Employer (52 U.S.C. 30101(13)).
100.22 Expressly advocating (52 U.S.C. 30101(17)).
100.23 [Reserved]
100.24 Federal election activity (52 U.S.C. 30101(20)).
100.25 Generic campaign activity (52 U.S.C. 30101(21)).
100.26 Public communication (52 U.S.C. 30101(22)).
100.27 Mass mailing (52 U.S.C. 30101(23)).
100.28 Telephone bank (52 U.S.C. 30101(24)).
100.29 Electioneering communication (52 U.S.C. 30104(f)(3)).
100.30-100.32 [Reserved]
100.33 Personal funds.
100.34-100.50 [Reserved]
Subpart B_Definition of Contribution (52 U.S.C. 30101(8))
100.51 Scope.
100.52 Gift, subscription, loan, advance or deposit of money.
100.53 Attendance at a fundraiser or political event.
100.54 Compensation for personal services.
100.55 Extension of credit.
100.56 Office building or facility for national party committees.
100.57 [Reserved]
Subpart C_Exceptions to Contributions
100.71 Scope.
100.72 Testing the waters.
100.73 News story, commentary, or editorial by the media.
100.74 Uncompensated services by volunteers.
100.75 Use of a volunteer's real or personal property.
100.76 Use of church or community room.
100.77 Invitations, food, and beverages.
100.78 Sale of food or beverages by vendor.
100.79 Unreimbursed payment for transportation and subsistence expenses.
100.80 Slate cards and sample ballots.
100.81 Payment by corporations and labor organizations.
100.82 Bank loans.
100.83 Brokerage loans and lines of credit to candidates.
100.84 Office building for State, local, or district party committees or
organizations.
100.85 Legal or accounting services to political party committees.
100.86 Legal or accounting services to other political committees.
100.87 Volunteer activity for party committees.
100.88 Volunteer activity for candidates.
100.89 Voter registration and get-out-the-vote activities for
Presidential candidates.
100.90 Ballot access fees.
100.91 Recounts.
100.92 Candidate debates.
100.93 Travel by aircraft or other means of transportation.
100.94 Uncompensated Internet activity by individuals that is not a
contribution.
Subpart D_Definition of Expenditure (52 U.S.C. 30101(9))
100.110 Scope.
100.111 Gift, subscription, loan, advance or deposit of money.
100.112 Contracts, promises, and agreements to make expenditures.
100.113 Independent expenditures.
100.114 Office building or facility for national party committees.
Subpart E_Exceptions to Expenditures
100.130 Scope.
100.131 Testing the waters.
100.132 News story, commentary, or editorial by the media.
100.133 Voter registration and get-out-the-vote activities.
100.134 Internal communication by corporations, labor organizations, and
membership organizations.
[[Page 37]]
100.135 Use of a volunteer's real or personal property.
100.136 Use of church or community room.
100.137 Invitations, food, and beverages.
100.138 Sale of food or beverages by vendor.
100.139 Unreimbursed payment for transportation and subsistence
expenses.
100.140 Slate cards and sample ballots.
100.141 Payment by corporations and labor organizations.
100.142 Bank loans.
100.143 Brokerage loans and lines of credit to candidates.
100.144 Office building for State, local, or district party committees
or organizations.
100.145 Legal or accounting services to political party committees.
100.146 Legal or accounting services to other political committees.
100.147 Volunteer activity for party committees.
100.148 Volunteer activity for candidate.
100.149 Voter registration and get-out-the-vote activities for
Presidential Candidates.
100.150 Ballot access fees.
100.151 Recounts.
100.152 Fundraising costs for Presidential candidates.
100.153 Routine living expenses.
100.154 Candidate debates.
100.155 Uncompensated Internet activity by individuals that is not an
expenditure.
Authority: 52 U.S.C. 30101, 30102(g), 30104, 30111(a)(8), and
30114(c).
Source: 45 FR 15094, Mar. 7, 1980, unless otherwise noted.
Subpart A_General Definitions
Sec. 100.1 Scope.
This subchapter is issued by the Federal Election Commission to
implement the Federal Election Campaign Act of 1971, as amended, 52
U.S.C. 30101 et seq.
[79 FR 16663, Mar. 26, 2014, as amended at 79 FR 77844, Dec. 29, 2014]
Sec. 100.2 Election (52 U.S.C. 30101(1)).
(a) Election means the process by which individuals, whether opposed
or unopposed, seek nomination for election, or election, to Federal
office. The specific types of elections, as set forth at 11 CFR 100.2
(b), (c), (d), (e) and (f) are included in this definition.
(b) General election. A general election is an election which meets
either of the following conditions:
(1) An election held in even numbered years on the Tuesday following
the first Monday in November is a general election.
(2) An election which is held to fill a vacancy in a Federal office
(i.e., a special election) and which is intended to result in the final
selection of a single individual to the office at stake is a general
election. See 11 CFR 100.2(f).
(c) Primary election. A primary election is an election which meets
one of the following conditions:
(1) An election which is held prior to a general election, as a
direct result of which candidates are nominated, in accordance with
applicable State law, for election to Federal office in a subsequent
election is a primary election.
(2) An election which is held for the expression of a preference for
the nomination of persons for election to the office of President of the
United States is a primary election.
(3) An election which is held to elect delegates to a national
nominating convention is a primary election.
(4) With respect to individuals seeking federal office as
independent candidates, or without nomination by a major party (as
defined in 26 U.S.C. 9002(6)), the primary election is considered to
occur on one of the following dates, at the choice of the candidate:
(i) The day prescribed by applicable State law as the last day to
qualify for a position on the general election ballot may be designated
as the primary election for such candidate.
(ii) The date of the last major party primary election, caucus, or
convention in that State may be designated as the primary election for
such candidate.
(iii) In the case of non-major parties, the date of the nomination
by that party may be designated as the primary election for such
candidate.
(5) With respect to any major party candidate (as defined at 26
U.S.C. 9002(6)) who is unopposed for nomination within his or her own
party, and who is certified to appear as that party's nominee in the
general election for the office sought, the primary election is
considered to have occurred on the date on which the primary election
was held by the candidate's party in that State.
[[Page 38]]
(d) Runoff election. Runoff election means the election which meets
either of the following conditions:
(1) The election held after a primary election, and prescribed by
applicable State law as the means for deciding which candidate(s) should
be certified as a nominee for the Federal office sought, is a runoff
election.
(2) The election held after a general election and prescribed by
applicable State law as the means for deciding which candidate should be
certified as an officeholder elect, is a runoff election.
(e) Caucus or Convention. A caucus or convention of a political
party is an election if the caucus or convention has the authority to
select a nominee for federal office on behalf of that party.
(f) Special election. Special election means an election which is
held to fill a vacancy in a Federal office. A special election may be a
primary, general, or runoff election, as defined at 11 CFR 100.2 (b),
(c) and (d).
Sec. 100.3 Candidate (52 U.S.C. 30101(2)).
(a) Definition. Candidate means an individual who seeks nomination
for election, or election, to federal office. An individual becomes a
candidate for Federal office whenever any of the following events occur:
(1) The individual has received contributions aggregating in excess
of $5,000 or made expenditures aggregating in excess of $5,000.
(2) The individual has given his or her consent to another person to
receive contributions or make expenditures on behalf of that individual
and such person has received contributions aggregating in excess of
$5,000 or made expenditures aggregating in excess of $5,000.
(3) After written notification by the Commission that any other
person has received contributions aggregating in excess of $5,000 or
made expenditures aggregating in excess of $5,000 on the individual's
behalf, the individual fails to disavow such activity by letter to the
Commission within 30 days of receipt of the notification.
(4) The aggregate of contributions received under 11 CFR 100.3(a)
(1), (2), and (3), in any combination thereof, exceeds $5,000, or the
aggregate of expenditures made under 11 CFR 100.3(a) (1), (2), and (3),
in any combination thereof, exceeds $5,000.
(b) Election cycle. For purposes of determining whether an
individual is a candidate under this section, contributions or
expenditures shall be aggregated on an election cycle basis. An election
cycle shall begin on the first day following the date of the previous
general election for the office or seat which the candidate seeks,
unless contributions or expenditures are designated for another election
cycle. For an individual who receives contributions or makes
expenditures designated for another election cycle, the election cycle
shall begin at the time such individual, or any other person acting on
the individual's behalf, first receives contributions or makes
expenditures in connection with the designated election. The election
cycle shall end on the date on which the general election for the office
or seat that the individual seeks is held.
Sec. 100.4 Federal office (52 U.S.C. 30101(3)).
Federal office means the office of President or Vice President of
the United States, Senator or Representative in, or Delegate or Resident
Commissioner to, the Congress of the United States.
Sec. 100.5 Political committee (52 U.S.C. 30101(4), (5), and (6)).
Political committee means any group meeting one of the following
conditions:
(a) Except as provided in 11 CFR 100.5 (b), (c) and (d), any
committee, club, association, or other group of persons which receives
contributions aggregating in excess of $1,000 or which makes
expenditures aggregating in excess of $1,000 during a calendar year is a
political committee.
(b) Any separate segregated fund established under 52 U.S.C.
30118(b)(2)(C) is a political committee.
(c) Any local committee of a political party is a political
committee if: it receives contributions aggregating in excess of $5,000
during a calendar year; it makes payments exempted from the definition
of contribution, under 11
[[Page 39]]
CFR 100.80, 100.87, and 100.89 and expenditure, under 11 CFR 100.140,
100.147, and 100.149, which payments aggregate in excess of $5,000
during a calendar year; or it makes contributions aggregating in excess
of $1,000 or makes expenditures aggregating in excess of $1,000 during a
calendar year.
(d) An individual's principal campaign committee or authorized
committee(s) becomes a political committee(s) when that individual
becomes a candidate pursuant to 11 CFR 100.3.
(e) The following are examples of political committees:
(1) Principal campaign committee. Principal campaign committee means
a political committee designated and authorized by a candidate pursuant
to 11 CFR 101.1 and 102.1.
(2) Single candidate committee. Single candidate committee means a
political committee other than a principal campaign committee which
makes or receives contributions or makes expenditures on behalf of only
one candidate.
(3) Multi-candidate committee. Multi-candidate committee means a
political committee which--
(i) Has been registered with the Commission for at least 6 months;
(ii) Has received contributions for Federal elections from more than
50 persons; and
(iii) Except for any State political party organization, has made
contributions to 5 or more Federal candidates.
(4) Party committee. Party committee means a political committee
which represents a political party and is part of the official party
structure at the national, State, or local level.
(5) Delegate committee. A delegate committee is a group of persons
that receives contributions or makes expenditures for the sole purpose
of influencing the selection of one or more delegates to a national
nominating convention. The term delegate committee includes a group of
delegates, a group of individuals seeking selection as delegates and a
group of individuals supporting delegates. A delegate committee that
qualifies as a political committee under 11 CFR 100.5 must register with
the Commission pursuant to 11 CFR part 102 and report its receipts and
disbursements in accordance with 11 CFR part 104. (See definition of
delegate at 11 CFR 110.14(b)(1).)
(6) Leadership PAC. Leadership PAC means a political committee that
is directly or indirectly established, financed, maintained or
controlled by a candidate for Federal office or an individual holding
Federal office but which is not an authorized committee of the candidate
or individual and which is not affiliated with an authorized committee
of the candidate or individual, except that leadership PAC does not
include a political committee of a political party.
(7) Lobbyist/Registrant PAC. See 11 CFR 104.22(a)(3).
(f) A political committee is either an authorized committee or an
unauthorized committee.
(1) Authorized committee. An authorized committee means the
principal campaign committee or any other political committee authorized
by a candidate under 11 CFR 102.13 to receive contributions or make
expenditures on behalf of such candidate, or which has not been
disavowed pursuant to 11 CFR 100.3(a)(3).
(2) Unauthorized committee. An unauthorized committee is a political
committee which has not been authorized in writing by a candidate to
solicit or receive contributions or make expenditures on behalf of such
candidate, or which has been disavowed pursuant to 11 CFR 100.3(a)(3).
(g) Affiliated committee. (1) All authorized committees of the same
candidate for the same election to Federal office are affiliated.
(2) All committees (including a separate segregated fund, see 11 CFR
part 114) established, financed, maintained or controlled by the same
corporation, labor organization, person, or group of persons, including
any parent, subsidiary, branch, division, department, or local unit
thereof, are affiliated. Local unit may include, in appropriate cases, a
franchisee, licensee, or State or regional association.
(3) Affiliated committees sharing a single contribution limitation
under paragraph (g)(2) of this section include all of the committees
established, financed, maintained or controlled by--
(i) A single corporation and/or its subsidiaries;
[[Page 40]]
(ii) A single national or international union and/or its local
unions or other subordinate organizations;
(iii) An organization of national or international unions and/or all
its State and local central bodies;
(iv) A membership organization, (other than political party
committees, see 11 CFR 110.3(b)) including trade or professional
associations, see 11 CFR 114.8(a), and/or related State and local
entities of that organization or group; or
(v) The same person or group of persons.
(4)(i) The Commission may examine the relationship between
organizations that sponsor committees, between the committees
themselves, or between one sponsoring organization and a committee
established by another organization to determine whether committees are
affiliated.
(ii) In determining whether committees not described in paragraphs
(g)(3) (i)-(iv) of this section are affiliated, the Commission will
consider the circumstantial factors described in paragraphs (g)(4)(ii)
(A) through (J) of this section. The Commission will examine these
factors in the context of the overall relationship between committees or
sponsoring organizations to determine whether the presence of any factor
or factors is evidence of one committee or organization having been
established, financed, maintained or controlled by another committee or
sponsoring organization. Such factors include, but are not limited to:
(A) Whether a sponsoring organization owns controlling interest in
the voting stock or securities of the sponsoring organization of another
committee;
(B) Whether a sponsoring organization or committee has the authority
or ability to direct or participate in the governance of another
sponsoring organization or committee through provisions of
constitutions, bylaws, contracts, or other rules, or through formal or
informal practices or procedures;
(C) Whether a sponsoring organization or committee has the authority
or ability to hire, appoint, demote or otherwise control the officers,
or other decisionmaking employees or members of another sponsoring
organization or committee;
(D) Whether a sponsoring organization or committee has a common or
overlapping membership with another sponsoring organization or committee
which indicates a formal or ongoing relationship between the sponsoring
organizations or committees;
(E) Whether a sponsoring organization or committee has common or
overlapping officers or employees with another sponsoring organization
or committee which indicates a formal or ongoing relationship between
the sponsoring organizations or committees;
(F) Whether a sponsoring organization or committee has any members,
officers or employees who were members, officers or employees of another
sponsoring organization or committee which indicates a formal or ongoing
relationship between the sponsoring organizations or committees, or
which indicates the creation of a successor entity;
(G) Whether a sponsoring organization or committee provides funds or
goods in a significant amount or on an ongoing basis to another
sponsoring organization or committee, such as through direct or indirect
payments for administrative, fundraising, or other costs, but not
including the transfer to a committee of its allocated share of proceeds
jointly raised pursuant to 11 CFR 102.17;
(H) Whether a sponsoring organization or committee causes or
arranges for funds in a significant amount or on an ongoing basis to be
provided to another sponsoring organization or committee, but not
including the transfer to a committee of its allocated share of proceeds
jointly raised pursuant to 11 CFR 102.17;
(I) Whether a sponsoring organization or committee or its agent had
an active or significant role in the formation of another sponsoring
organization or committee; and
(J) Whether the sponsoring organizations or committees have similar
patterns of contributions or contributors which indicates a formal or
ongoing relationship between the sponsoring organizations or committees.
[[Page 41]]
(5) Notwithstanding paragraphs (g)(2) through (g)(4) of this
section, no authorized committee shall be deemed affiliated with any
entity that is not an authorized committee.
[45 FR 15094, Mar. 7, 1980, as amended at 45 FR 34867, May 23, 1980; 52
FR 35534, Sept. 22, 1987; 54 FR 34109, Aug. 17, 1989; 54 FR 48580, Nov.
24, 1989; 61 FR 3549, Feb. 1, 1996; 67 FR 78679, Dec. 26, 2002; 68 FR
67018, Dec. 1, 2003; 74 FR 7302, Feb. 17, 2009; 79 FR 77844, Dec. 29,
2014; 84 FR 18698, May 2, 2019]
Sec. 100.6 Connected organization (52 U.S.C. 30101(7)).
(a) Connected organization means any organization which is not a
political committee but which directly or indirectly establishes,
administers, or financially supports a political committee. A connected
organization may be a corporation (including a corporation without
capital stock), a labor organization, a membership organization, a
cooperative or a trade association.
(b) For purposes of 11 CFR 100.6, organizations which are members of
the entity (such as corporate members of a trade association) which
establishes, administers, or financially supports a political committee
are not organizations which directly or indirectly establish, administer
or financially support that political committee.
(c) For purposes of 11 CFR 100.6, the term financially supports does
not include contributions to the political committee, but does include
the payment of establishment, administration and solicitation costs of
such committee.
Sec. Sec. 100.7-100.8 [Reserved]
Sec. 100.9 Commission (52 U.S.C. 30101(10)).
Commission means the Federal Election Commission.
[45 FR 15094, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 82
FR 60853, Dec. 26, 2017]
Sec. 100.10 Person (52 U.S.C. 30101(11)).
Person means an individual, partnership, committee, association,
corporation, labor organization, and any other organization, or group of
persons, but does not include the Federal government or any authority of
the Federal government.
Sec. 100.11 State (52 U.S.C. 30101(12)).
State means each State of the United States, the District of
Columbia, the Commonwealth of Puerto Rico, and any territory or
possession of the United States.
Sec. 100.12 Identification (52 U.S.C. 30101(13)).
Identification means, in the case of an individual, his or her full
name, including: First name, middle name or initial, if available, and
last name; mailing address; occupation; and the name of his or her
employer; and, in the case of any other person, the person's full name
and address.
Sec. 100.13 National committee (52 U.S.C. 30101(14)).
National committee means the organization which, by virtue of the
bylaws of a political party, is responsible for the day-to-day operation
of the political party at the national level, as determined by the
Commission.
Sec. 100.14 State Committee, subordinate committee, district, or local
committee (52 U.S.C. 30101(15)).
(a) State committee means the organization that by virtue of the
bylaws of a political party or the operation of State law is part of the
official party structure and is responsible for the day-to-day operation
of the political party at the State level, including an entity that is
directly or indirectly established, financed, maintained, or controlled
by that organization, as determined by the Commission.
(b) District or local committee means any organization that by
virtue of the bylaws of a political party or the operation of State law
is part of the official party structure, and is responsible for the day-
to-day operation of the political party at the level of city, county,
neighborhood, ward, district, precinct, or any other subdivision of a
State.
(c) Subordinate committee of a State, district, or local committee
means any organization that at the level of city, county, neighborhood,
ward, district, precinct, or any other subdivision of a State or any
organization under the
[[Page 42]]
control or direction of the State committee, and is directly or
indirectly established, financed, maintained, or controlled by the
State, district, or local committee.
[67 FR 49110, July 29, 2002]
Sec. 100.15 Political party (52 U.S.C. 30101(16)).
Political party means an association, committee, or organization
which nominates or selects a candidate for election to any Federal
office, whose name appears on an election ballot as the candidate of the
association, committee, or organization.
Sec. 100.16 Independent expenditure (52 U.S.C. 30101(17)).
(a) The term independent expenditure means an expenditure by a
person for a communication expressly advocating the election or defeat
of a clearly identified candidate that is not made in cooperation,
consultation, or concert with, or at the request or suggestion of, a
candidate, a candidate's authorized committee, or their agents, or a
political party committee or its agents. A communication is ``made in
cooperation, consultation, or concert with, or at the request or
suggestion of, a candidate, a candidate's authorized committee, or their
agents, or a political party committee or its agents'' if it is a
coordinated communication under 11 CFR 109.21 or a party coordinated
communication under 11 CFR 109.37.
(b) No expenditure by an authorized committee of a candidate on
behalf of that candidate shall qualify as an independent expenditure.
(c) No expenditure shall be considered independent if the person
making the expenditure allows a candidate, a candidate's authorized
committee, or their agents, or a political party committee or its agents
to become materially involved in decisions regarding the communication
as described in 11 CFR 109.21(d)(2), or shares financial responsibility
for the costs of production or dissemination with any such person.
[68 FR 451, Jan. 3, 2003]
Sec. 100.17 Clearly identified (52 U.S.C. 30101(18)).
The term clearly identified means the candidate's name, nickname,
photograph, or drawing appears, or the identity of the candidate is
otherwise apparent through an unambiguous reference such as ``the
President,'' ``your Congressman,'' or ``the incumbent,'' or through an
unambiguous reference to his or her status as a candidate such as ``the
Democratic presidential nominee'' or ``the Republican candidate for
Senate in the State of Georgia.''
[60 FR 35304, July 6, 1995]
Sec. 100.18 Act (52 U.S.C. 30101(19)).
Act means the Federal Election Campaign Act of 1971, as amended, 52
U.S.C. 30101 et. seq.
[79 FR 77845, Dec. 29, 2014]
Sec. 100.19 File, filed, or filing (52 U.S.C. 30104(a)).
With respect to documents required to be filed under 11 CFR parts
101, 102, 104, 105, 107, 108, and 109, and any modifications or
amendments thereto, the terms file, filed, and filing mean one of the
actions set forth in paragraphs (a) through (f) of this section. For
purposes of this section, document means any report, statement, notice,
or designation required by the Act to be filed with the Commission.
(a) Where to deliver reports. Except for documents electronically
filed under paragraph (c) of this section, a document is timely filed
upon delivery to the Federal Election Commission, at the street address
identified in the definition of ``Commission'' in Sec. 1.2, by the
close of business on the prescribed filing date.
(b) Timely filed. (1) A document, other than those addressed in
paragraphs (c) through (f) of this section, is timely filed if:
(i) Deposited:
(A) As registered or certified mail in an established U.S. Post
Office;
(B) As Priority Mail or Express Mail, with a delivery confirmation,
in an established U.S. Post Office; or
(C) With an overnight delivery service and scheduled to be delivered
the
[[Page 43]]
next business day after the date of deposit and recorded in the
overnight delivery service's on-line tracking system; and
(ii) The postmark on the document must be dated no later than 11:59
p.m. Eastern Standard/Daylight Time on the filing date, except that pre-
election reports must have a postmark dated no later than 11:59 p.m.
Eastern Standard/Daylight Time on the fifteenth day before the date of
the election.
(2) Documents, other than those addressed in paragraphs (c) through
(f) of this section, sent by first class mail or by any means other than
those listed in paragraph (b)(1)(i) of this section must be received by
the close of business on the prescribed filing date to be timely filed.
(3) As used in this paragraph (b) of this section and in 11 CFR
104.5,
(i) Overnight delivery service means a private delivery service
business of established reliability that offers an overnight (i.e., next
business day) delivery option.
(ii) Postmark means a U.S. Postal Service postmark or the verifiable
date of deposit with an overnight delivery service.
(c) Electronically filed reports. For electronic filing purposes, a
document is timely filed when it is received and validated by the
Federal Election Commission by 11:59 p.m. Eastern Standard/Daylight Time
on the filing date.
(d) 48-hour and 24-hour reports of independent expenditures--(1) 48-
hour reports of independent expenditures. A 48-hour report of
independent expenditures under 11 CFR 104.4(b) or 109.10(c) is timely
filed when it is received by the Commission by 11:59 p.m. Eastern
Standard/Daylight Time on the second day following the date on which
independent expenditures aggregate $10,000 or more in accordance with 11
CFR 104.4(f), any time during the calendar year up to and including the
20th day before an election.
(2) 24-hour reports of independent expenditures. A 24-hour report of
independent expenditures under 11 CFR 104.4(c) or 109.10(d) is timely
filed when it is received by the Commission by 11:59 p.m. Eastern
Standard/Daylight Time on the day following the date on which
independent expenditures aggregate $1,000 or more, in accordance with 11
CFR 104.4(f), during the period less than 20 days but more than 24 hours
before an election.
(3) Permissible means of filing. In addition to other permissible
means of filing, a 24-hour report or 48-hour report of independent
expenditures may be filed using a facsimile machine or by electronic
mail if the reporting entity is not required to file electronically in
accordance with 11 CFR 104.18. Political committees, regardless of
whether they are required to file electronically under 11 CFR 104.18,
may file 24-hour reports using the Commission's website's on-line
program.
(e) 48-hour statements of last-minute contributions. In addition to
other permissible means of filing, authorized committees that are not
required to file electronically may file 48-hour notices of
contributions using facsimile machines. All authorized committees,
including electronic reporting entities, may use the Commission's
website's on-line program to file 48-hour notifications of
contributions. See 11 CFR 104.5(f).
(f) 24-hour statements of electioneering communications. A 24-hour
statement of electioneering communications under 11 CFR 104.20 is timely
filed when it is received by the Commission by 11:59 p.m. Eastern
Standard/Daylight Time on the day following the disclosure date. (See 11
CFR 104.20(a)(1) and (b)). In addition to other permissible means of
filing, a 24-hour statement of electioneering communications may be
filed using a facsimile machine or by electronic mail if the reporting
entity is not required to file electronically in accordance with 11 CFR
104.18.
[67 FR 12839, Mar. 20, 2002, as amended at 68 FR 416, Jan. 3, 2003; 68
FR 3995, Jan. 27, 2003; 70 FR 13091, Mar. 18, 2005; 73 FR 79601, Dec.
30, 2008; 82 FR 60853, Dec. 26, 2017; 84 FR 18698, May 2, 2019]
Sec. 100.20 Occupation (52 U.S.C. 30101(13)).
Occupation means the principal job title or position of an
individual and whether or not self-employed.
[[Page 44]]
Sec. 100.21 Employer (52 U.S.C. 30101(13)).
Employer means the organization or person by whom an individual is
employed, and not the name of his or her supervisor.
Sec. 100.22 Expressly advocating (52 U.S.C. 30101(17)).
Expressly advocating means any communication that--(a) Uses phrases
such as ``vote for the President,'' ``re-elect your Congressman,''
``support the Democratic nominee,'' ``cast your ballot for the
Republican challenger for U.S. Senate in Georgia,'' ``Smith for
Congress,'' ``Bill McKay in '94,'' ``vote Pro-Life'' or ``vote Pro-
Choice'' accompanied by a listing of clearly identified candidates
described as Pro-Life or Pro-Choice, ``vote against Old Hickory,''
``defeat'' accompanied by a picture of one or more candidate(s),
``reject the incumbent,'' or communications of campaign slogan(s) or
individual word(s), which in context can have no other reasonable
meaning than to urge the election or defeat of one or more clearly
identified candidate(s), such as posters, bumper stickers,
advertisements, etc. which say ``Nixon's the One,'' ``Carter '76,''
``Reagan/Bush'' or ``Mondale!''; or
(b) When taken as a whole and with limited reference to external
events, such as the proximity to the election, could only be interpreted
by a reasonable person as containing advocacy of the election or defeat
of one or more clearly identified candidate(s) because--
(1) The electoral portion of the communication is unmistakable,
unambiguous, and suggestive of only one meaning; and
(2) Reasonable minds could not differ as to whether it encourages
actions to elect or defeat one or more clearly identified candidate(s)
or encourages some other kind of action.
[60 FR 35304, July 6, 1995]
Sec. 100.23 [Reserved]
Sec. 100.24 Federal election activity (52 U.S.C. 30101(20)).
(a) As used in this section, and in part 300 of this chapter,
(1) In connection with an election in which a candidate for Federal
office appears on the ballot means:
(i) The period of time beginning on the date of the earliest filing
deadline for access to the primary election ballot for Federal
candidates as determined by State law, or in those States that do not
conduct primaries, on January 1 of each even-numbered year and ending on
the date of the general election, up to and including the date of any
general runoff.
(ii) The period beginning on the date on which the date of a special
election in which a candidate for Federal office appears on the ballot
is set and ending on the date of the special election.
(2) Voter registration activity.
(i) Voter registration activity means:
(A) Encouraging or urging potential voters to register to vote,
whether by mail (including direct mail), e-mail, in person, by telephone
(including pre-recorded telephone calls, phone banks and messaging such
as SMS and MMS), or by any other means;
(B) Preparing and distributing information about registration and
voting;
(C) Distributing voter registration forms or instructions to
potential voters;
(D) Answering questions about how to complete or file a voter
registration form, or assisting potential voters in completing or filing
such forms;
(E) Submitting or delivering a completed voter registration form on
behalf of a potential voter;
(F) Offering or arranging to transport, or actually transporting
potential voters to a board of elections or county clerk's office for
them to fill out voter registration forms; or
(G) Any other activity that assists potential voters to register to
vote.
(ii) Activity is not voter registration activity solely because it
includes a brief exhortation to register to vote, so long as the
exhortation is incidental to a communication, activity, or event.
Examples of brief exhortations incidental to a communication, activity,
or event include:
(A) A mailer praises the public service record of mayoral candidate
X and/or discusses his campaign platform.
[[Page 45]]
The mailer concludes by reminding recipients, ``Don't forget to register
to vote for X by October 1st.''
(B) A phone call for a State party fundraiser gives listeners
information about the event, solicits donations, and concludes by
reminding listeners, ``Don't forget to register to vote.''
(3) Get-out-the-vote activity.
(i) Get-out-the-vote activity means:
(A) Encouraging or urging potential voters to vote, whether by mail
(including direct mail), e-mail, in person, by telephone (including pre-
recorded telephone calls, phone banks and messaging such as SMS and
MMS), or by any other means;
(B) Informing potential voters, whether by mail (including direct
mail), e-mail, in person, by telephone (including pre-recorded telephone
calls, phone banks and messaging such as SMS and MMS), or by any other
means, about:
(1) Times when polling places are open;
(2) The location of particular polling places; or
(3) Early voting or voting by absentee ballot;
(C) Offering or arranging to transport, or actually transporting,
potential voters to the polls; or
(D) Any other activity that assists potential voters to vote.
(ii) Activity is not get-out-the-vote activity solely because it
includes a brief exhortation to vote, so long as the exhortation is
incidental to a communication, activity, or event. Examples of brief
exhortations incidental to a communication, activity, or event include:
(A) A mailer praises the public service record of mayoral candidate
X and/or discusses his campaign platform. The mailer concludes by
reminding recipients, ``Vote for X on November 4th.''
(B) A phone call for a State party fundraiser gives listeners
information about the event, solicits donations, and concludes by
reminding listeners, ``Don't forget to vote on November 4th.''
(4) Voter identification means acquiring information about potential
voters, including, but not limited to, obtaining voter lists and
creating or enhancing voter lists by verifying or adding information
about the voters' likelihood of voting in an upcoming election or their
likelihood of voting for specific candidates. The date a voter list is
acquired shall govern whether a State, district, or local party
committee has obtained a voter list within the meaning of this section.
(b) As used in part 300 of this chapter, Federal election activity
means any of the activities described in paragraphs (b)(1) through
(b)(4) of this section.
(1) Voter registration activity during the period that begins on the
date that is 120 calendar days before the date that a regularly
scheduled Federal election is held and ends on the date of the election.
For purposes of voter registration activity, the term ``election'' does
not include any special election.
(2) The following activities conducted in connection with an
election in which one or more candidates for Federal office appears on
the ballot (regardless of whether one or more candidates for State or
local office also appears on the ballot):
(i) Voter identification.
(ii) Generic campaign activity, as defined in 11 CFR 100.25.
(iii) Get-out-the-vote activity.
(3) A public communication that refers to a clearly identified
candidate for Federal office, regardless of whether a candidate for
State or local election is also mentioned or identified, and that
promotes or supports, or attacks or opposes any candidate for Federal
office. This paragraph applies whether or not the communication
expressly advocates a vote for or against a Federal candidate.
(4) Services provided during any month by an employee of a State,
district, or local committee of a political party who spends more than
25 percent of that individual's compensated time during that month on
activities in connection with a Federal election.
(c) Exceptions. Federal election activity does not include any
amount expended or disbursed by a State, district, or local committee of
a political party for any of the following activities:
[[Page 46]]
(1) A public communication that refers solely to one or more clearly
identified candidates for State or local office and that does not
promote or support, or attack or oppose a clearly identified candidate
for Federal office; provided, however, that such a public communication
shall be considered a Federal election activity if it constitutes voter
registration activity, generic campaign activity, get-out-the-vote
activity, or voter identification.
(2) A contribution to a candidate for State or local office,
provided the contribution is not designated to pay for voter
registration activity, voter identification, generic campaign activity,
get-out-the-vote activity, a public communication, or employee services
as set forth in paragraphs (a)(1) through (4) of this section.
(3) The costs of a State, district, or local political convention,
meeting or conference.
(4) The costs of grassroots campaign materials, including buttons,
bumper stickers, handbills, brochures, posters, and yard signs, that
name or depict only candidates for State or local office.
(5) Voter identification activity that is conducted solely in
connection with a non-Federal election held on a date on which no
Federal election is held, and which is not used in a subsequent election
in which a Federal candidate appears on the ballot.
(6) Get-out-the-vote activity that is conducted solely in connection
with a non-Federal election held on a date on which no Federal election
is held, provided that any communications made as part of such activity
refer exclusively to:
(i) Non-Federal candidates participating in the non-Federal
election, if the non-Federal candidates are not also Federal candidates;
(ii) Ballot referenda or initiatives scheduled for the date of the
non-Federal election; or
(iii) The date, polling hours, and locations of the non-Federal
election.
(7) De minimis costs associated with the following:
(i) On the Web site of a party committee or an association of State
or local candidates, posting a hyperlink to a state or local election
board's web page containing information on voting or registering to
vote;
(ii) On the Web site of a party committee or an association of State
or local candidates, enabling visitors to download a voter registration
form or absentee ballot application;
(iii) On the Web site of a party committee or an association of
State or local candidates, posting information about voting dates and/or
polling locations and hours of operation; or
(iv) Placing voter registration forms or absentee ballot
applications obtained from the board of elections at the office of a
party committee or an association of State or local candidates.
[67 FR 49110, July 29, 2002, as amended at 71 FR 8932, Feb. 22, 2006; 71
FR 14360, Mar. 22, 2006; 75 FR 55267, Sept. 10, 2010]
Sec. 100.25 Generic campaign activity (52 U.S.C. 30101(21)).
Generic campaign activity means a public communication that promotes
or opposes a political party and does not promote or oppose a clearly
identified Federal candidate or a non-Federal candidate.
[67 FR 49110, July 29, 2002]
Sec. 100.26 Public communication (52 U.S.C. 30101(22)).
Public communication means a communication by means of any
broadcast, cable, or satellite communication, newspaper, magazine,
outdoor advertising facility, mass mailing, or telephone bank to the
general public, or any other form of general public political
advertising. The term general public political advertising shall not
include communications over the Internet, except for communications
placed for a fee on another person's Web site.
[71 FR 18612, Apr. 12, 2006]
Sec. 100.27 Mass mailing (52 U.S.C. 30101(23)).
Mass mailing means a mailing by United States mail or facsimile of
more than 500 pieces of mail matter of an identical or substantially
similar nature within any 30-day period. A
[[Page 47]]
mass mailing does not include electronic mail or Internet
communications. For purposes of this section, substantially similar
includes communications that include substantially the same template or
language, but vary in non-material respects such as communications
customized by the recipient's name, occupation, or geographic location.
[67 FR 49110, July 29, 2002]
Sec. 100.28 Telephone bank (52 U.S.C. 30101(24)).
Telephone bank means more than 500 telephone calls of an identical
or substantially similar nature within any 30-day period. A telephone
bank does not include electronic mail or Internet communications
transmitted over telephone lines. For purposes of this section,
substantially similar includes communications that include substantially
the same template or language, but vary in non-material respects such as
communications customized by the recipient's name, occupation, or
geographic location.
[67 FR 49110, July 29, 2002]
Sec. 100.29 Electioneering communication (52 U.S.C. 30104(f)(3)).
(a) Electioneering communication means any broadcast, cable, or
satellite communication that:
(1) Refers to a clearly identified candidate for Federal office;
(2) Is publicly distributed within 60 days before a general election
for the office sought by the candidate; or within 30 days before a
primary or preference election, or a convention or caucus of a political
party that has authority to nominate a candidate, for the office sought
by the candidate, and the candidate referenced is seeking the nomination
of that political party; and
(3) Is targeted to the relevant electorate, in the case of a
candidate for Senate or the House of Representatives.
(b) For purposes of this section--(1) Broadcast, cable, or satellite
communication means a communication that is publicly distributed by a
television station, radio station, cable television system, or satellite
system.
(2) Refers to a clearly identified candidate means that the
candidate's name, nickname, photograph, or drawing appears, or the
identity of the candidate is otherwise apparent through an unambiguous
reference such as ``the President,'' ``your Congressman,'' or ``the
incumbent,'' or through an unambiguous reference to his or her status as
a candidate such as ``the Democratic presidential nominee'' or ``the
Republican candidate for Senate in the State of Georgia.''
(3)(i) Publicly distributed means aired, broadcast, cablecast or
otherwise disseminated through the facilities of a television station,
radio station, cable television system, or satellite system.
(ii) In the case of a candidate for nomination for President or Vice
President, publicly distributed means the requirements of paragraph
(b)(3)(i) of this section are met and the communication:
(A) Can be received by 50,000 or more persons in a State where a
primary election, as defined in 11 CFR 9032.7, is being held within 30
days; or
(B) Can be received by 50,000 or more persons anywhere in the United
States within the period between 30 days before the first day of the
national nominating convention and the conclusion of the convention.
(4) A special election or a runoff election is a primary election if
held to nominate a candidate. A special election or a runoff election is
a general election if held to elect a candidate.
(5) Targeted to the relevant electorate means the communication can
be received by 50,000 or more persons--
(i) In the district the candidate seeks to represent, in the case of
a candidate for Representative in or Delegate or Resident Commissioner
to, the Congress; or
(ii) In the State the candidate seeks to represent, in the case of a
candidate for Senator.
(6)(i) Information on the number of persons in a Congressional
district or State that can receive a communication publicly distributed
by a television station, radio station, a cable television system, or
satellite system, shall be available on the Federal Communications
Commission's Web site, http://www.fcc.gov. A link to that site is
[[Page 48]]
available on the Federal Election Commission's Web site, http://
www.fec.gov. If the Federal Communications Commission's Web site
indicates that a communication cannot be received by 50,000 or more
persons in the specified Congressional district or State, then such
information shall be a complete defense against any charge that such
communication constitutes an electioneering communication, so long as
such information is posted on the Federal Communications Commission's
Web site on or before the date the communication is publicly
distributed.
(ii) If the Federal Communications Commission's Web site does not
indicate whether a communication can be received by 50,000 or more
persons in the specified Congressional district or State, it shall be a
complete defense against any charge that a communication reached 50,000
or more persons when the maker of a communication:
(A) Reasonably relies on written documentation obtained from the
broadcast station, radio station, cable system, or satellite system that
states that the communication cannot be received by 50,000 or more
persons in the specified Congressional district (for U.S. House of
Representatives candidates) or State (for U.S. Senate candidates or
presidential primary candidates);
(B) Does not publicly distribute the communication on a broadcast
station, radio station, or cable system, located in any Metropolitan
Area in the specified Congressional district (for U.S. House of
Representatives candidates) or State (for U.S. Senate candidates or
presidential primary candidates); or
(C) Reasonably believes that the communication cannot be received by
50,000 or more persons in the specified Congressional district (for U.S.
House of Representatives candidates) or State (for U.S. Senate
candidates or presidential primary candidates).
(7)(i) Can be received by 50,000 or more persons means--
(A) In the case of a communication transmitted by an FM radio
broadcast station or network, where the Congressional district or State
lies entirely within the station's or network's protected or primary
service contour, that the population of the Congressional district or
State is 50,000 or more; or
(B) In the case of a communication transmitted by an FM radio
broadcast station or network, where a portion of the Congressional
district or State lies outside of the protected or primary service
contour, that the population of the part of the Congressional district
or State lying within the station's or network's protected or primary
service contour is 50,000 or more; or
(C) In the case of a communication transmitted by an AM radio
broadcast station or network, where the Congressional district or State
lies entirely within the station's or network's most outward service
area, that the population of the Congressional district or State is
50,000 or more; or
(D) In the case of a communication transmitted by an AM radio
broadcast station or network, where a portion of the Congressional
district or State lies outside of the station's or network's most
outward service area, that the population of the part of the
Congressional district or State lying within the station's or network's
most outward service area is 50,000 or more; or
(E) In the case of a communication appearing on a television
broadcast station or network, where the Congressional district or State
lies entirely within the station's or network's Grade B broadcast
contour, that the population of the Congressional district or State is
50,000 or more; or
(F) In the case of a communication appearing on a television
broadcast station or network, where a portion of the Congressional
district or State lies outside of the Grade B broadcast contour--
(1) That the population of the part of the Congressional district or
State lying within the station's or network's Grade B broadcast contour
is 50,000 or more; or
(2) That the population of the part of the Congressional district or
State lying within the station's or network's broadcast contour, when
combined with the viewership of that television station or network by
cable and satellite subscribers within the Congressional district or
State lying outside the broadcast contour, is 50,000 or more; or
[[Page 49]]
(G) In the case of a communication appearing exclusively on a cable
or satellite television system, but not on a broadcast station or
network, that the viewership of the cable system or satellite system
lying within a Congressional district or State is 50,000 or more; or
(H) In the case of a communication appearing on a cable television
network, that the total cable and satellite viewership within a
Congressional district or State is 50,000 or more.
(ii) Cable or satellite television viewership is determined by
multiplying the number of subscribers within a Congressional district or
State, or a part thereof, as appropriate, by the current national
average household size, as determined by the Bureau of the Census.
(iii) A determination that a communication can be received by 50,000
or more persons based on the application of the formula at paragraph
(b)(7)(i)(G) or (H) of this section shall create a rebuttable
presumption that may be overcome by demonstrating that--
(A) One or more cable or satellite systems did not carry the network
on which the communication was publicly distributed at the time the
communication was publicly distributed; and
(B) Applying the formula to the remaining cable and satellite
systems results in a determination that the cable network or systems
upon which the communication was publicly distributed could not be
received by 50,000 persons or more.
(c) The following communications are exempt from the definition of
electioneering communication. Any communication that:
(1) Is publicly disseminated through a means of communication other
than a broadcast, cable, or satellite television or radio station. For
example, electioneering communication does not include communications
appearing in print media, including a newspaper or magazine, handbill,
brochure, bumper sticker, yard sign, poster, billboard, and other
written materials, including mailings; communications over the Internet,
including electronic mail; or telephone communications;
(2) Appears in a news story, commentary, or editorial distributed
through the facilities of any broadcast, cable, or satellite television
or radio station, unless such facilities are owned or controlled by any
political party, political committee, or candidate. A news story
distributed through a broadcast, cable, or satellite television or radio
station owned or controlled by any political party, political committee,
or candidate is nevertheless exempt if the news story meets the
requirements described in 11 CFR 100.132(a) and (b);
(3) Constitutes an expenditure or independent expenditure provided
that the expenditure or independent expenditure is required to be
reported under the Act or Commission regulations;
(4) Constitutes a candidate debate or forum conducted pursuant to 11
CFR 110.13, or that solely promotes such a debate or forum and is made
by or on behalf of the person sponsoring the debate or forum; or
(5) Is paid for by a candidate for State or local office in
connection with an election to State or local office, provided that the
communication does not promote, support, attack or oppose any Federal
candidate. See 11 CFR 300.71 for communications paid for by a candidate
for State or local office that promotes, supports, attacks or opposes a
Federal candidate.
[67 FR 65210, 65217, Oct. 23, 2002, as amended at 70 FR 75717, Dec. 21,
2005; 79 FR 16663, Mar. 26, 2014]
Sec. Sec. 100.30-100.32 [Reserved]
Sec. 100.33 Personal funds.
Personal funds of a candidate means the sum of all of the following:
(a) Assets. Amounts derived from any asset that, under applicable
State law, at the time the individual became a candidate, the candidate
had legal right of access to or control over, and with respect to which
the candidate had--
(1) Legal and rightful title; or
(2) An equitable interest;
(b) Income. Income received during the current election cycle, of
the candidate, including:
(1) A salary and other earned income that the candidate earns from
bona fide employment;
[[Page 50]]
(2) Income from the candidate's stocks or other investments
including interest, dividends, or proceeds from the sale or liquidation
of such stocks or investments;
(3) Bequests to the candidate;
(4) Income from trusts established before the beginning of the
election cycle;
(5) Income from trusts established by bequest after the beginning of
the election cycle of which the candidate is the beneficiary;
(6) Gifts of a personal nature that had been customarily received by
the candidate prior to the beginning of the election cycle; and
(7) Proceeds from lotteries and similar legal games of chance; and
(c) Jointly owned assets. Amounts derived from a portion of assets
that are owned jointly by the candidate and the candidate's spouse as
follows:
(1) The portion of assets that is equal to the candidate's share of
the asset under the instrument of conveyance or ownership; provided,
however,
(2) If no specific share is indicated by an instrument of conveyance
or ownership, the value of one-half of the property.
[73 FR 79601, Dec. 30, 2008]
Sec. Sec. 100.34-100.50 [Reserved]
Subpart B_Definition of Contribution (52 U.S.C. 30101(8))
Source: 67 FR 50585, Aug. 5, 2002, unless otherwise noted.
Sec. 100.51 Scope.
(a) The term contribution includes the payments, services, or other
things of value described in this subpart.
(b) For the purpose of this subpart, a contribution or payment made
by an individual shall not be attributed to any other individual, unless
otherwise specified by that other individual in accordance with 11 CFR
110.1(k).
Sec. 100.52 Gift, subscription, loan, advance or deposit of money.
(a) A gift, subscription, loan (except for a loan made in accordance
with 11 CFR 100.82 and 100.83), advance, or deposit of money or anything
of value made by any person for the purpose of influencing any election
for Federal office is a contribution.
(b) For purposes of this section, the term loan includes a
guarantee, endorsement, and any other form of security.
(1) A loan that exceeds the contribution limitations of 52 U.S.C.
30116 and 11 CFR part 110 shall be unlawful whether or not it is repaid.
(2) A loan is a contribution at the time it is made and is a
contribution to the extent that it remains unpaid. The aggregate amount
loaned to a candidate or committee by a contributor, when added to other
contributions from that individual to that candidate or committee, shall
not exceed the contribution limitations set forth at 11 CFR part 110. A
loan, to the extent it is repaid, is no longer a contribution.
(3) Except as provided in paragraph (b)(4) of this section, a loan
is a contribution by each endorser or guarantor. Each endorser or
guarantor shall be deemed to have contributed that portion of the total
amount of the loan for which he or she agreed to be liable in a written
agreement. Any reduction in the unpaid balance of the loan shall reduce
proportionately the amount endorsed or guaranteed by each endorser or
guarantor in such written agreement. In the event that such agreement
does not stipulate the portion of the loan for which each endorser or
guarantor is liable, the loan shall be considered a loan by each
endorser or guarantor in the same proportion to the unpaid balance that
each endorser or guarantor bears to the total number of endorsers or
guarantors.
(4) A candidate may obtain a loan on which his or her spouse's
signature is required when jointly owned assets are used as collateral
or security for the loan. The spouse shall not be considered a
contributor to the candidate's campaign if the value of the candidate's
share of the property used as collateral equals or exceeds the amount of
the loan that is used for the candidate's campaign.
(5) If a political committee makes a loan to any person, such loan
shall be subject to the limitations of 11 CFR part 110. Repayment of the
principal amount of such loan to such political
[[Page 51]]
committee shall not be a contribution by the debtor to the lender
committee. Such repayment shall be made with funds that are subject to
the prohibitions of 11 CFR 110.20 and part 114. The payment of interest
to such committee by the debtor shall be a contribution only to the
extent that the interest paid exceeds a commercially reasonable rate
prevailing at the time the loan is made. All payments of interest shall
be made from funds subject to the prohibitions of 11 CFR 110.20 and part
114.
(c) For purposes of this section, the term money includes currency
of the United States or of any foreign nation, checks, money orders, or
any other negotiable instruments payable on demand.
(d)(1) For purposes of this section, the term anything of value
includes all in-kind contributions. Unless specifically exempted under
11 CFR part 100, subpart C, the provision of any goods or services
without charge or at a charge that is less than the usual and normal
charge for such goods or services is a contribution. Examples of such
goods or services include, but are not limited to: Securities,
facilities, equipment, supplies, personnel, advertising services,
membership lists, and mailing lists. If goods or services are provided
at less than the usual and normal charge, the amount of the in-kind
contribution is the difference between the usual and normal charge for
the goods or services at the time of the contribution and the amount
charged the political committee.
(2) For purposes of paragraph (d)(1) of this section, usual and
normal charge for goods means the price of those goods in the market
from which they ordinarily would have been purchased at the time of the
contribution; and usual and normal charge for any services, other than
those provided by an unpaid volunteer, means the hourly or piecework
charge for the services at a commercially reasonable rate prevailing at
the time the services were rendered.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 79
FR 16663, Mar. 26, 2014; 79 FR 77845, Dec. 29, 2014]
Sec. 100.53 Attendance at a fundraiser or political event.
The entire amount paid to attend a fundraiser or other political
event and the entire amount paid as the purchase price for a fundraising
item sold by a political committee is a contribution.
Sec. 100.54 Compensation for personal services.
The payment by any person of compensation for the personal services
of another person if those services are rendered without charge to a
political committee for any purpose, except for legal and accounting
services provided under 11 CFR 100.85 and 100.86, is a contribution. No
compensation is considered paid to any employee under any of the
following conditions:
(a) Paid on an hourly or salaried basis. If an employee is paid on
an hourly or salaried basis and is expected to work a particular number
of hours per period, no contribution results if the employee engages in
political activity during what would otherwise be a regular work period,
provided that the taken or released time is made up or completed by the
employee within a reasonable time.
(b) Paid on commission or piecework basis. No contribution results
where an employee engages in political activity during what would
otherwise be normal working hours if the employee is paid on a
commission or piecework basis, or is paid only for work actually
performed and the employee's time is considered his or her own to use as
he or she sees fit.
(c) Vacation or earned leave time. No contribution results where the
time used by the employee to engage in political activity is bona fide,
although compensable, vacation time or other earned leave time.
[67 FR 50585, Aug. 5, 2002, as amended at 81 FR 34863, June 1, 2016]
Sec. 100.55 Extension of credit.
The extension of credit by any person is a contribution unless the
credit is extended in the ordinary course of the person's business and
the terms are substantially similar to extensions of credit to
nonpolitical debtors that are of similar risk and size of obligation. If
[[Page 52]]
a creditor fails to make a commercially reasonable attempt to collect
the debt, a contribution will result. (See 11 CFR 116.3 and 116.4.) If a
debt owed by a political committee is forgiven or settled for less than
the amount owed, a contribution results unless such debt is settled in
accordance with the standards set forth at 11 CFR 116.3 and 116.4.
Sec. 100.56 Office building or facility for national party committees.
A gift, subscription, loan, advance, or deposit of money or anything
of value to a national party committee for the purchase or construction
of an office building or facility is a contribution.
Sec. 100.57 [Reserved]
Subpart C_Exceptions to Contributions
Source: 67 FR 50585, Aug. 5, 2002, unless otherwise noted.
Sec. 100.71 Scope.
(a) The term contribution does not include payments, services or
other things of value described in this subpart.
(b) For the purpose of this subpart, a contribution or payment made
by an individual shall not be attributed to any other individual, unless
otherwise specified by that other individual in accordance with 11 CFR
110.1(k).
Sec. 100.72 Testing the waters.
(a) General exemption. Funds received solely for the purpose of
determining whether an individual should become a candidate are not
contributions. Examples of activities permissible under this exemption
if they are conducted to determine whether an individual should become a
candidate include, but are not limited to, conducting a poll, telephone
calls, and travel. Only funds permissible under the Act may be used for
such activities. The individual shall keep records of all such funds
received. See 11 CFR 101.3. If the individual subsequently becomes a
candidate, the funds received are contributions subject to the reporting
requirements of the Act. Such contributions must be reported with the
first report filed by the principal campaign committee of the candidate,
regardless of the date the funds were received.
(b) Exemption not applicable to individuals who have decided to
become candidates. This exemption does not apply to funds received for
activities indicating that an individual has decided to become a
candidate for a particular office or for activities relevant to
conducting a campaign. Examples of activities that indicate that an
individual has decided to become a candidate include, but are not
limited to:
(1) The individual uses general public political advertising to
publicize his or her intention to campaign for Federal office.
(2) The individual raises funds in excess of what could reasonably
be expected to be used for exploratory activities or undertakes
activities designed to amass campaign funds that would be spent after he
or she becomes a candidate.
(3) The individual makes or authorizes written or oral statements
that refer to him or her as a candidate for a particular office.
(4) The individual conducts activities in close proximity to the
election or over a protracted period of time.
(5) The individual has taken action to qualify for the ballot under
State law.
Sec. 100.73 News story, commentary, or editorial by the media.
Any cost incurred in covering or carrying a news story, commentary,
or editorial by any broadcasting station (including a cable television
operator, programmer or producer), Web site, newspaper, magazine, or
other periodical publication, including any Internet or electronic
publication, is not a contribution unless the facility is owned or
controlled by any political party, political committee, or candidate, in
which case the costs for a news story:
(a) That represents a bona fide news account communicated in a
publication of general circulation or on a licensed broadcasting
facility; and
(b) That is part of a general pattern of campaign-related news
accounts that give reasonably equal coverage to
[[Page 53]]
all opposing candidates in the circulation or listening area, is not a
contribution.
[67 FR 50585, Aug. 5, 2002, as amended at 71 FR 18613, Apr. 12, 2006]
Sec. 100.74 Uncompensated services by volunteers.
The value of services provided without compensation by any
individual who volunteers on behalf of a candidate or political
committee is not a contribution.
Sec. 100.75 Use of a volunteer's real or personal property.
No contribution results where an individual, in the course of
volunteering personal services on his or her residential premises to any
candidate or to any political committee of a political party, provides
the use of his or her real or personal property to such candidate for
candidate-related activity or to such political committee of a political
party for party-related activity. For the purposes of this section, an
individual's residential premises, shall include a recreation room in a
residential complex where the individual volunteering services resides,
provided that the room is available for use without regard to political
affiliation. A nominal fee paid by such individual for the use of such
room is not a contribution.
Sec. 100.76 Use of church or community room.
No contribution results where an individual, in the course of
volunteering personal services to any candidate or political committee
of a political party, obtains the use of a church or community room and
provides such room to any candidate for candidate-related activity or to
any political committee of a political party for party-related activity,
provided that the room is used on a regular basis by members of the
community for noncommercial purposes and the room is available for use
by members of the community without regard to political affiliation. A
nominal fee paid by such individual for the use of such room is not a
contribution.
Sec. 100.77 Invitations, food, and beverages.
The cost of invitations, food and beverages is not a contribution
where such items are voluntarily provided by an individual volunteering
personal services on the individual's residential premises or in a
church or community room as specified at 11 CFR 100.75 and 100.76 to a
candidate for candidate-related activity or to any political committee
of a political party for party-related activity, to the extent that: The
aggregate value of such invitations, food and beverages provided by the
individual on behalf of the candidate does not exceed $1,000 with
respect to any single election; and on behalf of all political
committees of each political party does not exceed $2,000 in any
calendar year.
[69 FR 68238, Nov. 24, 2004]
Sec. 100.78 Sale of food or beverages by vendor.
The sale of any food or beverage by a vendor (whether incorporated
or not) for use in a candidate's campaign, or for use by a political
committee of a political party, at a charge less than the normal or
comparable commercial rate, is not a contribution, provided that the
charge is at least equal to the cost of such food or beverage to the
vendor, to the extent that: The aggregate value of such discount given
by the vendor on behalf of any single candidate does not exceed $1,000
with respect to any single election; and on behalf of all political
committees of each political party does not exceed $2,000 in a calendar
year.
Sec. 100.79 Unreimbursed payment for transportation and subsistence
expenses.
(a) Transportation expenses. Any unreimbursed payment for
transportation expenses incurred by any individual on behalf of any
candidate or any political committee of a political party is not a
contribution to the extent that:
(1) The aggregate value of the payments made by such individual on
behalf of a candidate does not exceed $1,000 with respect to a single
election; and
[[Page 54]]
(2) The aggregate value of the payments made by such individual on
behalf of all political committees of each political party does not
exceed $2,000 in a calendar year.
(b) Subsistence expenses. Any unreimbursed payment from a
volunteer's personal funds for usual and normal subsistence expenses
incidental to volunteer activity is not a contribution.
Sec. 100.80 Slate cards and sample ballots.
The payment by a State or local committee of a political party of
the costs of preparation, display, or mailing or other distribution
incurred by such committee with respect to a printed slate card, sample
ballot, palm card, or other printed listing(s) of three or more
candidates for any public office for which an election is held in the
State in which the committee is organized is not a contribution. The
payment of the portion of such costs allocable to Federal candidates
must be made from funds subject to the limitations and prohibitions of
the Act. If made by a political committee, such payments shall be
reported by that committee as disbursements, but need not be allocated
in committee reports to specific candidates. This exemption shall not
apply to costs incurred by such a committee with respect to the
preparation and display of listings made on broadcasting stations, or in
newspapers, magazines, and similar types of general public political
advertising such as billboards. But see 11 CFR 100.24, 104.17(a) and
part 300, subpart B for exempt activities that also constitute Federal
election activity.
Sec. 100.81 Payments by corporations and labor organizations.
Any payment made or obligation incurred by a corporation or a labor
organization is not a contribution, if under the provisions of 11 CFR
part 114 such payment or obligation would not constitute an expenditure
by the corporation or labor organization.
Sec. 100.82 Bank loans.
(a) General provisions. A loan of money to a political committee or
a candidate by a State bank, a federally chartered depository
institution (including a national bank) or a depository institution
whose deposits and accounts are insured by the Federal Deposit Insurance
Corporation or the National Credit Union Administration is not a
contribution by the lending institution if such loan is made in
accordance with applicable banking laws and regulations and is made in
the ordinary course of business. A loan will be deemed to be made in the
ordinary course of business if it:
(1) Bears the usual and customary interest rate of the lending
institution for the category of loan involved;
(2) Is made on a basis that assures repayment;
(3) Is evidenced by a written instrument; and
(4) Is subject to a due date or amortization schedule.
(b) Reporting. Such loans shall be reported by the political
committee in accordance with 11 CFR 104.3(a) and (d).
(c) Endorsers and guarantors. Each endorser or guarantor shall be
deemed to have contributed that portion of the total amount of the loan
for which he or she agreed to be liable in a written agreement, except
that, in the event of a signature by the candidate's spouse, the
provisions of 11 CFR 100.52(b)(4) shall apply. Any reduction in the
unpaid balance of the loan shall reduce proportionately the amount
endorsed or guaranteed by each endorser or guarantor in such written
agreement. In the event that such agreement does not stipulate the
portion of the loan for which each endorser or guarantor is liable, the
loan shall be considered a contribution by each endorser or guarantor in
the same proportion to the unpaid balance that each endorser or
guarantor bears to the total number of endorsers or guarantors.
(d) Overdrafts. For purposes of this section, an overdraft made on a
checking or savings account of a political committee shall be considered
a contribution by the bank or institution unless:
(1) The overdraft is made on an account that is subject to automatic
overdraft protection;
(2) The overdraft is subject to a definite interest rate that is
usual and customary; and
[[Page 55]]
(3) There is a definite repayment schedule.
(e) Made on a basis that assures repayment. A loan, including a line
of credit, shall be considered made on a basis that assures repayment if
it is obtained using either of the sources of repayment described in
paragraphs (e)(1) or (2) of this section, or a combination of paragraphs
(e)(1) and (2) of this section:
(1)(i) The lending institution making the loan has perfected a
security interest in collateral owned by the candidate or political
committee receiving the loan, the fair market value of the collateral is
equal to or greater than the loan amount and any senior liens as
determined on the date of the loan, and the candidate or political
committee provides documentation to show that the lending institution
has a perfected security interest in the collateral. Sources of
collateral include, but are not limited to, ownership in real estate,
personal property, goods, negotiable instruments, certificates of
deposit, chattel papers, stocks, accounts receivable and cash on
deposit.
(ii) Amounts guaranteed by secondary sources of repayment, such as
guarantors and cosigners, shall not exceed the contribution limits of 11
CFR part 110 or contravene the prohibitions of 11 CFR 110.4, 110.20,
part 114 and part 115; or
(2) The lending institution making the loan has obtained a written
agreement whereby the candidate or political committee receiving the
loan has pledged future receipts, such as public financing payments
under 11 CFR part 9001 through part 9012, or part 9031 through part
9039, contributions, or interest income, provided that:
(i) The amount of the loan or loans obtained on the basis of such
funds does not exceed the amount of pledged funds;
(ii) Loan amounts are based on a reasonable expectation of the
receipt of pledged funds. To that end, the candidate or political
committee must furnish the lending institution documentation, i.e., cash
flow charts or other financial plans, that reasonably establish that
such future funds will be available;
(iii) A separate depository account is established at the lending
institution or the lender obtains an assignment from the candidate or
political committee to access funds in a committee account at another
depository institution that meets the requirements of 11 CFR 103.2, and
the committee has notified the other institution of this assignment;
(iv) The loan agreement requires the deposit of the public financing
payments, contributions and interest income pledged as collateral into
the separate depository account for the purpose of retiring the debt
according to the repayment requirements of the loan agreement; and
(v) In the case of public financing payments, the borrower
authorizes the Secretary of the Treasury to directly deposit the
payments into the depository account for the purpose of retiring the
debt.
(3) If the requirements set forth in this paragraph are not met, the
Commission will consider the totality of the circumstances on a case-by-
case basis in determining whether a loan was made on a basis that
assures repayment.
(f) This section shall not apply to loans described in 11 CFR
100.83.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 79
FR 16663, Mar. 26, 2014]
Sec. 100.83 Brokerage loans and lines of credit to candidates.
(a) General provisions. Any loan of money derived from an advance on
a candidate's brokerage account, credit card, home equity line of
credit, or other line of credit available to the candidate, including an
overdraft made on a personal checking or savings account of a candidate,
provided that:
(1) Such loan is made in accordance with applicable law and under
commercially reasonable terms; and
(2) The person making such loan makes loans derived from an advance
on a candidate's brokerage account, credit card, home equity line of
credit, or other line of credit in the normal course of the person's
business.
(b) Endorsers and guarantors. Each endorser, guarantor, or co-signer
shall be deemed to have contributed that portion of the total amount of
the loan derived from an advance on a candidate's
[[Page 56]]
brokerage account, credit card, home equity line of credit, or other
line of credit available to the candidate, for which he or she agreed to
be liable in a written agreement, including a loan used for the
candidate's routine living expenses. Any reduction in the unpaid balance
of the loan, advance, or line of credit shall reduce proportionately the
amount endorsed or guaranteed by each endorser or guarantor in such
written agreement. In the event that such agreement does not stipulate
the portion of the loan, advance, or line of credit for which each
endorser, guarantor, or co-signer is liable, the loan shall be
considered a contribution by each endorser or guarantor in the same
proportion to the unpaid balance that each endorser, guarantor, or co-
signer bears to the total number of endorsers or guarantors. However, if
the spouse of the candidate is the endorser, guarantor, or co-signer,
the spouse shall not be deemed to make a contribution if:
(1) For a secured loan, the value of the candidate's share of the
property used as collateral equals or exceeds the amount of the loan
that is used for the candidate's campaign; or
(2) For an unsecured loan, the amount of the loan used for in
connection with the candidate's campaign does not exceed one-half of the
available credit extended by the unsecured loan.
(c) Routine living expenses. (1) A loan derived from an advance on a
candidate's brokerage account, credit card, home equity line of credit,
or other line of credit available to the candidate, that is used by the
candidate solely for routine living expenses, as described in 11 CFR
100.153, does not need to be reported under 11 CFR part 104 provided
that the loan, advance, or line of credit is repaid exclusively from the
personal funds of the candidate or payments that would have been made
irrespective of the candidacy pursuant to 11 CFR 113.1(g)(6).
(2) Any repayment, in part or in whole, of the loan, advance, or
line of credit described in paragraph (c)(1) of this section by the
candidate's authorized committee constitutes the personal use of
campaign funds and is prohibited by 11 CFR 113.2.
(3) Any repayment or forgiveness, in part or in whole, of the loan,
advance, or line of credit described in paragraph (c)(1) of this section
by a third party (other than a third party whose payments are
permissible under 11 CFR 113.1(g)(6)) or the lending institution is a
contribution, subject to the limitations and prohibitions of 11 CFR
parts 110 and 114, and shall be reported under 11 CFR part 104.
(4) Notwithstanding paragraph (c)(1) of this section, the portion of
any loan or advance from a candidate's brokerage account, credit card
account, home equity line of credit, or other line of credit that is
used for the purpose of influencing the candidate's election for Federal
office shall be reported under 11 CFR part 104.
(d) Repayment. The candidate's authorized committee may repay a loan
from the candidate that is derived from an advance on a candidate's
brokerage account, credit card, home equity line of credit, or other
line of credit available to the candidate, directly to the candidate or
the original lender. The amount of the repayment shall not exceed the
amount of the principal used for the purpose of influencing the
candidate's election for Federal office and interest that has accrued on
that principal.
(e) Reporting. Loans derived from an advance on a candidate's
brokerage account, credit card, home equity line of credit, or other
line of credit available to the candidate shall be reported by the
candidate's principal campaign committee in accordance with 11 CFR part
104.
Sec. 100.84 Office building for State, local, or district party
committees or organizations.
A donation made to a non-Federal account of a State, local, or
district party committee or organization in accordance with 11 CFR
300.35 for the purchase or construction of an office building is not a
contribution. A donation includes a gift, subscription, loan, advance,
or deposit of money or anything of value.
[[Page 57]]
Sec. 100.85 Legal or accounting services to political party committees.
Legal or accounting services rendered to or on behalf of any
political committee of a political party are not contributions if the
person paying for such services is the regular employer of the
individual rendering the services and such services are not attributable
to activities that directly further the election of any designated
candidate for Federal office. For purposes of this section, a
partnership shall be deemed to be the regular employer of a partner.
Amounts paid by the regular employer for such services shall be reported
by the committee receiving such services in accordance with 11 CFR
104.3(h).
Sec. 100.86 Legal or accounting services to other political committees.
Legal or accounting services rendered to or on behalf of an
authorized committee of a candidate or any other political committee are
not contributions if the person paying for such services is the regular
employer of the individual rendering the services and if such services
are solely to ensure compliance with the Act or 26 U.S.C. 9001 et seq.
and 9031 et seq. For purposes of this section, a partnership shall be
deemed to be the regular employer of a partner. Amounts paid by the
regular employer for these services shall be reported by the committee
receiving such services in accordance with 11 CFR 104.3(h).
Sec. 100.87 Volunteer activity for party committees.
The payment by a state or local committee of a political party of
the costs of campaign materials (such as pins, bumper stickers,
handbills, brochures, posters, party tabloids or newsletters, and yard
signs) used by such committee in connection with volunteer activities on
behalf of any nominee(s) of such party is not a contribution, provided
that the following conditions are met:
(a) Exemption not applicable to general public communication or
political advertising. Such payment is not for cost incurred in
connection with any broadcasting, newspaper, magazine, bill board,
direct mail, or similar type of general public communication or
political advertising. For purposes of this paragraph, the term direct
mail means any mailing(s) by a commercial vendor or any mailing(s) made
from commercial lists.
(b) Allocation. The portion of the cost of such materials allocable
to Federal candidates must be paid from contributions subject to the
limitations and prohibitions of the Act. But see 11 CFR 100.24,
104.17(a), and part 300, subpart B for exempt activities that also
constitute Federal election activity.
(c) Contributions designated for particular Federal candidates. Such
payment is not made from contributions designated by the donor to be
spent on behalf of a particular candidate or candidates for Federal
office. For purposes of this paragraph, a contribution shall not be
considered a designated contribution if the party committee disbursing
the funds makes the final decision regarding which candidate(s) shall
receive the benefit of such disbursement.
(d) Distribution of materials by volunteers. Such materials are
distributed by volunteers and not by commercial or for-profit
operations. For the purposes of this paragraph, payments by the party
organization for travel and subsistence or customary token payments to
volunteers do not remove such individuals from the volunteer category.
(e) Reporting. If made by a political committee such payments shall
be reported by the political committee as disbursements in accordance
with 11 CFR 104.3 but need not be allocated to specific candidates in
committee reports.
(f) State candidates and their campaign committees. Payments by a
State candidate or his or her campaign committee to a State or local
political party committee for the State candidate's share of expenses
for such campaign materials are not contributions, provided the amount
paid by the State candidate or his or her committee does not exceed his
or her proportionate share of the expenses.
(g) Exemption not applicable to campaign materials purchased by
national party committees. Campaign materials purchased by the national
committee of a political party and delivered to a
[[Page 58]]
State or local party committee, or materials purchased with funds
donated by the national committee to such State or local committee for
the purchase of such materials, shall not qualify under this exemption.
Rather, the cost of such materials shall be subject to the limitations
of 52 U.S.C. 30116(d) and 11 CFR 109.32.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 79
FR 77845, Dec. 29, 2014]
Sec. 100.88 Volunteer activity for candidates.
(a) The payment by a candidate for any public office (including
State or local office), or by such candidate's authorized committee, of
the costs of that candidate's campaign materials that include
information on or any reference to a candidate for Federal office and
that are used in connection with volunteer activities (such as pins,
bumper stickers, handbills, brochures, posters, and yard signs) is not a
contribution to such candidate for Federal office, provided that the
payment is not for the use of broadcasting, newspapers, magazines,
billboards, direct mail or similar types of general public communication
or political advertising.
(b) The payment of the portion of the cost of such materials
allocable to Federal candidates shall be made from contributions subject
to the limitations and prohibitions of the Act. For purposes of this
section, the term direct mail means any mailing(s) by commercial vendors
or mailing(s) made from lists that were not developed by the candidate.
But see 11 CFR 100.24, 104.17(a), and part 300, subparts D and E for
exempt activities that also constitute Federal election activity.
Sec. 100.89 Voter registration and get-out-the-vote activities for
Presidential candidates.
The payment by a State or local committee of a political party of
the costs of voter registration and get-out-the-vote activities
conducted by such committee on behalf of the Presidential and Vice
Presidential nominee(s) of that party, is not a contribution to such
candidate(s) provided that the following conditions are met:
(a) Exemption not applicable to general public communication or
political advertising. Such payment is not for the costs incurred in
connection with any broadcasting, newspaper, magazine, billboard, direct
mail, or similar type of general public communication or political
advertising. For purposes of this paragraph, the term direct mail means
any mailing(s) by a commercial vendor or any mailing(s) made from
commercial lists.
(b) Allocation. The portion of the costs of such activities
allocable to Federal candidates is paid from contributions subject to
the limitations and prohibitions of the Act. But see 11 CFR 100.24,
104.17(a), and part 300, subpart B for exempt activities that also
constitute Federal election activity.
(c) Contributions designated for particular Federal candidates. Such
payment is not made from contributions designated to be spent on behalf
of a particular candidate or candidates for Federal office. For purposes
of this paragraph, a contribution shall not be considered a designated
contribution if the party committee disbursing the funds makes the final
decision regarding which candidate(s) shall receive the benefit of such
disbursement.
(d) References to House or Senate candidates. For purposes of this
section, if such activities include references to any candidate(s) for
the House or Senate, the costs of such activities that are allocable to
that candidate(s) shall be a contribution to such candidate(s) unless
the mention of such candidate(s) is merely incidental to the overall
activity.
(e) Phone banks. For purposes of this section, payment of the costs
incurred in the use of phone banks in connection with voter registration
and get-out-the-vote activities is not a contribution when such phone
banks are operated by volunteer workers. The use of paid professionals
to design the phone bank system, develop calling instructions and train
supervisors is permissible. The payment of the costs of such
professional services is not an expenditure but shall be reported as a
disbursement in accordance with 11 CFR 104.3 if made by a political
committee.
(f) Reporting of payments for voter registration and get-out-the-
vote activities. If
[[Page 59]]
made by a political committee, such payments for voter registration and
get-out-the-vote activities shall be reported by that committee as
disbursements in accordance with 11 CFR 104.3, but such payments need
not be allocated to specific candidates in committee reports except as
provided in 11 CFR paragraph (d) of this section.
(g) Exemption not applicable to donations by a national committee of
a political party to a State or local party committee for voter
registration and get-out-the-vote activities. Payments made from funds
donated by a national committee of a political party to a State or local
party committee for voter registration and get-out-the-vote activities
shall not qualify under this exemption. Rather, such funds shall be
subject to the limitations of 52 U.S.C. 30116(d) and 11 CFR 109.32.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 69
FR 68238, Nov. 24, 2004; 75 FR 31, Jan. 4, 2010; 79 FR 77845, Dec. 29,
2014]
Sec. 100.90 Ballot access fees.
Payments made to any party committee by a candidate or the
authorized committee of a candidate as a condition of ballot access are
not contributions.
Sec. 100.91 Recounts.
A gift, subscription, loan, advance, or deposit of money or anything
of value made with respect to a recount of the results of a Federal
election, or an election contest concerning a Federal election, is not a
contribution except that the prohibitions of 11 CFR 110.20 and part 114
apply.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.92 Candidate debates.
Funds provided to defray costs incurred in staging candidate debates
in accordance with the provisions of 11 CFR 110.13 and 114.4(f) are not
contributions.
Sec. 100.93 Travel by aircraft or other means of transportation.
(a) Scope and definitions. (1) This section applies to all campaign
travelers who use non-commercial travel.
(2) Campaign travelers who use commercial travel, such as a
commercial airline flight, charter flight, taxi, or an automobile
provided by a rental company, are governed by 11 CFR 100.52(a) and (d),
not this section.
(3) For the purposes of this section:
(i) Campaign traveler means
(A) Any candidate traveling in connection with an election for
Federal office or any individual traveling in connection with an
election for Federal office on behalf of a candidate or political
committee; or
(B) Any member of the news media traveling with a candidate.
(ii) Service provider means the owner of an aircraft or other
conveyance, or a person who leases an aircraft or other conveyance from
the owner or otherwise obtains a legal right to the use of an aircraft
or other conveyance, and who uses the aircraft or other conveyance to
provide transportation to a campaign traveler. For a jointly owned or
leased aircraft or other conveyance, the service provider is the person
who makes the aircraft or other conveyance available to the campaign
traveler.
(iii) Unreimbursed value means the difference between the value of
the transportation service provided, as set forth in this section, and
the amount of payment for that transportation service by the political
committee or campaign traveler to the service provider within the time
limits set forth in this section.
(iv) Commercial travel means travel aboard:
(A) An aircraft operated by an air carrier or commercial operator
certificated by the Federal Aviation Administration, provided that the
flight is required to be conducted under Federal Aviation Administration
air carrier safety rules, or, in the case of travel which is abroad, by
an air carrier or commercial operator certificated by an appropriate
foreign civil aviation authority, provided that the flight is required
to be conducted under air carrier safety rules; or
(B) Other means of transportation operated for commercial passenger
service.
(v) Non-commercial travel means travel aboard any conveyance that is
not
[[Page 60]]
commercial travel, as defined in paragraph (a)(3)(iv) of this section.
(vi) Comparable aircraft means an aircraft of similar make and model
as the aircraft that actually makes the trip, with similar amenities as
that aircraft.
(b) General rule. (1) No contribution is made by a service provider
to a candidate or political committee if:
(i) Every candidate's authorized committee or other political
committee on behalf of which the travel is conducted pays the service
provider, within the required time, for the full value of the
transportation, as determined in accordance with paragraphs (c), (d),
(e) or (g) of this section, provided to all campaign travelers who are
traveling on behalf of that candidate or political committee; or
(ii) Every campaign traveler for whom payment is not made under
paragraph (b)(1)(i) of this section pays the service provider for the
full value of the transportation provided to that campaign traveler as
determined in accordance with paragraphs (c), (d), (e) or (g) of this
section. See 11 CFR 100.79 and 100.139 for treatment of certain
unreimbursed transportation expenses incurred by individuals traveling
on behalf of candidates, authorized committees, and political committees
of political parties.
(2) Except as provided in 11 CFR 100.79, the unreimbursed value of
transportation provided to any campaign traveler, as determined in
accordance with paragraphs (c), (d) or (e) of this section, is an in-
kind contribution from the service provider to the candidate or
political committee on whose behalf, or with whom, the campaign traveler
traveled. Contributions are subject to the reporting requirements,
limitations and prohibitions of the Act.
(3) When a candidate is accompanied by a member of the news media,
or by security personnel provided by any Federal or State government,
the news media or government security provider may reimburse the
political committee paying for the pro-rata share of the travel by the
member of the media or security personnel, or may pay the service
provider directly for that pro-rata share, up to the applicable amount
set forth in paragraphs (c)(1), (c)(3), (d), (e), or (g) of this
section. A payment made directly to the service provider may be
subtracted from the amount for which the political committee is
otherwise responsible without any contribution resulting. No
contribution results from reimbursement by the media or a government
security provider to a political committee in accordance with this
paragraph.
(c) Travel on aircraft. When a campaign traveler uses aircraft for
non-commercial travel, other than a government aircraft described in
paragraph (e) of this section or a candidate or family owned aircraft
described in paragraph (g) of this section, reimbursement must be
provided no later than seven (7) calendar days after the date the flight
began at one of the following rates to avoid the receipt of an in-kind
contribution:
(1) Travel by or on behalf of Senate, presidential, or vice-
presidential candidates. A Senate, presidential, or vice-presidential
candidate traveling on his own behalf, or any person traveling on behalf
of such candidate or the candidate's authorized committee must pay the
pro rata share per campaign traveler of the normal and usual charter
fare or rental charge for travel on a comparable aircraft of comparable
size. The pro rata share shall be calculated by dividing the normal and
usual charter fare or rental charge by the number of campaign travelers
on the flight that are traveling on behalf of such candidates or their
authorized committees, including members of the news media, and security
personnel traveling with a candidate. No portion of the normal and usual
charter fare or rental charge may be attributed to any campaign
travelers that are not traveling on behalf of such candidates or their
authorized committees, or any other passengers, except as permitted
under paragraph (b)(3) of this section.
(2) Travel by or on behalf of House candidates and their leadership
PACs. Except as otherwise provided in paragraphs (e) and (g) of this
section, a campaign traveler who is a candidate for election for the
office of Representative in, or Delegate or Resident Commissioner to,
the Congress, or a person traveling on behalf of any such candidate or
any authorized committee or leadership PAC of such candidate, is
[[Page 61]]
prohibited from non-commercial travel on behalf of any such candidate or
any authorized committee or leadership PAC of such candidate.
(3) Other campaign travelers. When a candidate's authorized
committee pays for a flight pursuant to paragraph (c)(1) of this
section, no payment is required from other campaign travelers on that
flight. Otherwise, a campaign traveler not covered by paragraphs (c)(1)
or (c)(2) of this section, including persons traveling on behalf of a
political party committee, separate segregated fund, nonconnected
political committee, or a leadership PAC other than a leadership PAC of
a candidate for election for the office of Representative in, or
Delegate or Resident Commissioner to, the Congress, must pay the service
provider no less than the following for each leg of the trip:
(i) In the case of travel between cities served by regularly
scheduled first-class commercial airline service, the lowest
unrestricted and non-discounted first-class airfare;
(ii) In the case of travel between a city served by regularly
scheduled coach commercial airline service, but not regularly scheduled
first-class commercial airline service, and a city served by regularly
scheduled coach commercial airline service (with or without first-class
commercial airline service), the lowest unrestricted and non-discounted
coach airfare; or
(iii) In the case of travel to or from a city not served by
regularly scheduled commercial airline service, the normal and usual
charter fare or rental charge for a comparable commercial aircraft of
sufficient size to accommodate all campaign travelers, and security
personnel, if applicable.
(d) Other means of transportation. If a campaign traveler uses any
means of transportation other than an aircraft, including an automobile,
or train, or boat, the campaign traveler, or the political committee on
whose behalf the travel is conducted, must pay the service provider
within thirty (30) calendar days after the date of receipt of the
invoice for such travel, but not later than sixty (60) calendar days
after the date the travel began, at the normal and usual fare or rental
charge for a comparable commercial conveyance of sufficient size to
accommodate all campaign travelers, including members of the news media
traveling with a candidate, and security personnel, if applicable.
(e) Government conveyances--(1) Travel by or on behalf of
candidates, their authorized committees, or House candidate Leadership
PACs. If a campaign traveler traveling on behalf of a candidate, an
authorized committee, or the leadership PAC of a House candidate uses an
aircraft that is provided by the Federal government, or by a State or
local government, the campaign traveler, or the political committee on
whose behalf the travel is conducted, must pay the government entity,
within the time specified by that government entity, either:
(i) The pro rata share per campaign traveler of the normal and usual
charter fare or rental charge for the flight on a comparable aircraft of
sufficient size to accommodate all campaign travelers. The pro rata
share shall be calculated by dividing the normal and usual charter fare
or rental charge by the number of campaign travelers on the flight that
are traveling on behalf of candidates, authorized committees, or House
candidate leadership PACs, including members of the news media, and
security personnel, if applicable. No portion of the normal and usual
charter fare or rental charge may be attributed to any other campaign
travelers or any other passengers, except as permitted under paragraph
(b)(3) of this section. For purposes of this paragraph, the comparable
aircraft need not accommodate any government-required personnel and
equipment; or
(ii) The private traveler reimbursement rate, as specified by the
governmental entity providing the aircraft, per campaign traveler.
(2) Other campaign travelers. When a candidate's authorized
committee, or a House candidate's leadership PAC pays for a flight
pursuant to paragraph (e)(1) of this section, no payment is required
from any other campaign travelers on that flight. Otherwise, a campaign
traveler not covered by paragraph (e)(1) of this section, including
persons traveling on behalf of a political party committee, separate
segregated fund, nonconnected political committee, or a
[[Page 62]]
leadership PAC other than a leadership PAC of a candidate for the office
of Representative in, or Delegate or Resident Commissioner to, the
Congress, must pay the government entity, within the time specified by
that government entity, either:
(i) For travel to or from a military airbase or other location not
accessible to the general public, the lowest unrestricted and non-
discounted first-class airfare to or from the city with regularly
scheduled first-class commercial airline service that is geographically
closest to the military airbase or other location actually used; or
(ii) For all other travel, in accordance with paragraph (c)(3) of
this section.
(3) If a campaign traveler uses a conveyance, other than an
aircraft, that is provided by the Federal government, or by a State or
local government, the campaign traveler, or the political committee on
whose behalf the travel is conducted, must pay the government entity in
accordance with paragraph (d) of this section.
(f) Date and public availability of payment rate. For purposes of
paragraphs (c), (d), (e), and (g) of this section, the payment rate must
be the rate available to the general public for the dates traveled or
within seven (7) calendar days thereof. The payment rate must be
determined by the time the payment is due under paragraph (c), (d), (e)
or (g) of this section.
(g) Aircraft owned or leased by a candidate or a candidate's
immediate family member. (1) For non-commercial travel by a candidate,
or a person traveling on behalf of a candidate, on an aircraft owned or
leased by that candidate or an immediate family member of that
candidate, the candidate's authorized committee must pay:
(i) In the case of travel on an aircraft that is owned or leased
under a shared-ownership or other time-share arrangement, where the
travel does not exceed the candidate's or immediate family member's
proportional share of the ownership interest in the aircraft, the
hourly, mileage, or other applicable rate charged the candidate,
immediate family member, or other service provider for the costs of the
travel; or
(ii) In the case of travel on an aircraft that is owned or leased
under a shared-ownership or other time-share arrangement, where the
travel exceeds the candidate's or immediate family member's proportional
share of the ownership interest in the aircraft, the rate specified in
paragraph (c) of this section (House candidates are prohibited from
engaging in such travel); or
(iii) In the case of travel on an aircraft that is not owned or
leased under a shared-ownership or other time-share arrangement, the pro
rata share per campaign traveler of the costs associated with the trip.
Associated costs include, but are not limited to, the cost of fuel and
crew, and a proportionate share of maintenance costs.
(2) A candidate, or an immediate family member of the candidate,
will be considered to own or lease an aircraft under paragraph (g)(1) of
this section if the candidate or the immediate family member of the
candidate has an ownership interest in an entity that owns the aircraft,
provided that the entity is not a corporation with publicly traded
shares.
(3) A proportional share of the ownership interest in an aircraft
means the amount of use to which the candidate or immediate family
member is entitled under an ownership or lease agreement. Prior to each
flight, the candidate's committee must obtain a certification from the
service provider that the candidate's planned use of the aircraft will
not exceed the candidate's or immediate family member's proportional
share of use under the ownership or lease agreement. See paragraph (j)
of this section for related recordkeeping requirements.
(4) For the purposes of this section, an ``immediate family member''
of a candidate is the father, mother, son, daughter, brother, sister,
husband, wife, father-in-law, or mother-in-law of the candidate.
(h) Preemption. In all respects, State and local laws are preempted
with respect to travel in connection with a Federal election to the
extent they purport to supplant the rates or timing requirements of 11
CFR 100.93.
(i) Reporting. (1) In accordance with 11 CFR 104.13, a political
committee on whose behalf the unreimbursed travel
[[Page 63]]
is conducted must report the receipt of an in-kind contribution and the
making of an expenditure under paragraph (b)(2) of this section.
(2) When reporting a disbursement for travel services in accordance
with this section, a political committee on whose behalf the travel is
conducted must report the actual dates of travel for which the
disbursement is made in the ``purpose of disbursement'' field.
(j) Recordkeeping. (1) For travel on non-commercial aircraft
conducted under paragraphs (c)(1), (c)(3)(iii), (e)(1), or (g) of this
section, the political committee on whose behalf the travel is conducted
shall maintain documentation of:
(i) The service provider and the size, model, make and tail number
(or other unique identifier for military aircraft) of the aircraft used;
(ii) An itinerary showing the departure and arrival cities and the
date(s) of departure and arrival, a list of all passengers on such trip,
along with a designation of which passengers are and which are not
campaign travelers or security personnel; and
(iii)(A) The rate for the comparable charter aircraft available in
accordance with paragraphs (c), (e) and (f) of this section, including
the airline, charter or air taxi operator, and travel service, if any,
offering that fare to the public, and the dates on which the rates are
based; or
(B) The private traveler reimbursement rate available in accordance
with paragraph (e)(1)(ii) of this section, and the dates on which the
rate is based.
(iv) Where the travel is aboard an aircraft owned in part by the
candidate or an immediate family member of the candidate, the ownership
or lease agreement specifying the amount of use of the aircraft
corresponding to the candidate's or an immediate family member's
ownership interest in the aircraft, as required by paragraph (g)(1)(i)
and (ii) and (g)(3) of this section, and the certification required by
paragraph (g)(3) of this section.
(2) For travel on non-commercial aircraft conducted under paragraph
(c)(3)(i), (c)(3)(ii), or (e)(2)(i) of this section, the political
committee on whose behalf the travel is conducted shall maintain
documentation of:
(i) The service provider and the size, model, make and tail number
(or other unique identifier for military aircraft) of the aircraft used;
(ii) An itinerary showing the departure and arrival cities and the
date(s) of departure and arrival, a list of all passengers on such trip,
along with a designation of which passengers are and which are not
campaign travelers; and
(iii) The lowest unrestricted non-discounted airfare available in
accordance with paragraphs (c)(3), (e)(2)(i), and (f) of this section,
including the airline offering that fare, flight number, travel service,
if any, providing that fare, and the dates on which the rates are based.
(3) For travel by other conveyances, the political committee on
whose behalf the travel is conducted shall maintain documentation of:
(i) The service provider and the size, model and make of the
conveyance used;
(ii) An itinerary showing the departure and destination locations
and the date(s) of departure and arrival, a list of all passengers on
such trip, along with a designation of which passengers are and which
are not campaign travelers or security personnel; and
(iii) The commercial fare or rental charge available in accordance
with paragraphs (d) and (f) of this section for a comparable commercial
conveyance of sufficient size to accommodate all campaign travelers
including members of the news media traveling with a candidate, and
security personnel, if applicable.
[74 FR 63964, Dec. 7, 2009]
Sec. 100.94 Uncompensated Internet activity by individuals that is not
a contribution.
(a) When an individual or a group of individuals, acting
independently or in coordination with any candidate, authorized
committee, or political party committee, engages in Internet activities
for the purpose of influencing a Federal election, neither of the
following is a contribution by that individual or group of individuals:
(1) The individual's uncompensated personal services related to such
Internet activities;
[[Page 64]]
(2) The individual's use of equipment or services for uncompensated
Internet activities, regardless of who owns the equipment and services.
(b) Internet activities. For the purposes of this section, the term
``Internet activities'' includes, but is not limited to: Sending or
forwarding electronic messages; providing a hyperlink or other direct
access to another person's Web site; blogging; creating, maintaining, or
hosting a Web site; paying a nominal fee for the use of another person's
Web site; and any other form of communication distributed over the
Internet.
(c) Equipment and services. For the purposes of this section, the
term ``equipment and services'' includes, but is not limited to:
Computers, software, Internet domain names, Internet Service Providers
(ISP), and any other technology that is used to provide access to or use
of the Internet.
(d) Paragraph (a) of this section also applies to any corporation
that is wholly owned by one or more individuals, that engages primarily
in Internet activities, and that does not derive a substantial portion
of its revenues from sources other than income from its Internet
activities.
(e) This section does not exempt from the definition of
contribution:
(1) Any payment for a public communication (as defined in 11 CFR
100.26) other than a nominal fee;
(2) Any payment for the purchase or rental of an e-mail address list
made at the direction of a political committee; or
(3) Any payment for an e-mail address list that is transferred to a
political committee.
[71 FR 18613, Apr. 12, 2006, as amended at 81 FR 94240, Dec. 23, 2016]
Subpart D_Definition of Expenditure (52 U.S.C. 30101(9))
Source: 67 FR 50585, Aug. 5, 2002, unless otherwise noted.
Sec. 100.110 Scope.
(a) The term expenditure includes payments, gifts or other things of
value described in this subpart.
(b) For the purpose of this subpart, a payment made by an individual
shall not be attributed to any other individual, unless otherwise
specified by that other individual. To the extent that a payment made by
an individual qualifies as a contribution, the provisions of 11 CFR
110.1(k) shall apply.
Sec. 100.111 Gift, subscription, loan, advance or deposit of money.
(a) A purchase, payment, distribution, loan (except for a loan made
in accordance with 11 CFR 100.113 and 100.114), advance, deposit, or
gift of money or anything of value, made by any person for the purpose
of influencing any election for Federal office is an expenditure.
(b) For purposes of this section, the term payment includes payment
of any interest on an obligation and any guarantee or endorsement of a
loan by a candidate or a political committee.
(c) For purposes of this section, the term payment does not include
the repayment by a political committee of the principal of an
outstanding obligation that is owed by such committee, except that the
repayment shall be reported as disbursements in accordance with 11 CFR
104.3(b).
(d) For purposes of this section, the term money includes currency
of the United States or of any foreign nation, checks, money orders, or
any other negotiable instrument payable on demand.
(e)(1) For purposes of this section, the term anything of value
includes all in-kind contributions. Unless specifically exempted under
11 CFR part 100, subpart E, the provision of any goods or services
without charge or at a charge that is less than the usual and normal
charge for the goods or services is an expenditure. Examples of such
goods or services include, but are not limited to: Securities,
facilities, equipment, supplies, personnel, advertising services,
membership lists, and mailing lists. If goods or services are provided
at less than the usual and normal charge, the amount of the expenditure
is the difference between the usual and normal charge for the goods or
services at the time of the expenditure and the amount charged the
candidate or political committee.
[[Page 65]]
(2) For the purposes of paragraph (e)(1) of this section, usual and
normal charge for goods means the price of those goods in the market
from which they ordinarily would have been purchased at the time of the
expenditure; and usual and normal charge for services, other than those
provided by an unpaid volunteer, means the hourly or piecework charge
for the services at a commercially reasonable rate prevailing at the
time the services were rendered.
Sec. 100.112 Contracts, promises, and agreements to make expenditures.
A written contract, including a media contract, promise, or
agreement to make an expenditure is an expenditure as of the date such
contract, promise or obligation is made.
Sec. 100.113 Independent expenditures.
An independent expenditure that meets the requirements of 11 CFR
104.4 or part 109 is an expenditure, and such independent expenditure is
to be reported by the person making the expenditure in accordance with
11 CFR 104.4 and part 109.
Sec. 100.114 Office building or facility for national party committees.
A payment, distribution, loan, advance, or deposit of money or
anything of value made by, or on behalf of, a national party committee
for the purchase or construction of an office building or facility is an
expenditure.
Subpart E_Exceptions to Expenditures
Source: 67 FR 50585, Aug. 5, 2002, unless otherwise noted.
Sec. 100.130 Scope.
(a) The term expenditure does not include payments, gifts, or other
things of value described in this subpart.
(b) For the purpose of this subpart, a payment made by an individual
shall not be attributed to any other individual, unless otherwise
specified by that other individual. To the extent that a payment made by
an individual qualifies as a contribution, the provisions of 11 CFR
110.1(k) shall apply.
Sec. 100.131 Testing the waters.
(a) General exemption. Payments made solely for the purpose of
determining whether an individual should become a candidate are not
expenditures. Examples of activities permissible under this exemption if
they are conducted to determine whether an individual should become a
candidate include, but are not limited to, conducting a poll, telephone
calls, and travel. Only funds permissible under the Act may be used for
such activities. The individual shall keep records of all such payments.
See 11 CFR 101.3. If the individual subsequently becomes a candidate,
the payments made are subject to the reporting requirements of the Act.
Such expenditures must be reported with the first report filed by the
principal campaign committee of the candidate, regardless of the date
the payments were made.
(b) Exemption not applicable to individuals who have decided to
become candidates. This exemption does not apply to payments made for
activities indicating that an individual has decided to become a
candidate for a particular office or for activities relevant to
conducting a campaign. Examples of activities that indicate that an
individual has decided to become a candidate include, but are not
limited to:
(1) The individual uses general public political advertising to
publicize his or her intention to campaign for Federal office.
(2) The individual raises funds in excess of what could reasonably
be expected to be used for exploratory activities or undertakes
activities designed to amass campaign funds that would be spent after he
or she becomes a candidate.
(3) The individual makes or authorizes written or oral statements
that refer to him or her as a candidate for a particular office.
(4) The individual conducts activities in close proximity to the
election or over a protracted period of time.
(5) The individual has taken action to qualify for the ballot under
State law.
Sec. 100.132 News story, commentary, or editorial by the media.
Any cost incurred in covering or carrying a news story, commentary,
or
[[Page 66]]
editorial by any broadcasting station (including a cable television
operator, programmer or producer), Web site, newspaper, magazine, or
other periodical publication, including any Internet or electronic
publication, is not an expenditure unless the facility is owned or
controlled by any political party, political committee, or candidate, in
which case the cost for a news story:
(a) That represents a bona fide news account communicated in a
publication of general circulation or on a licensed broadcasting
facility; and
(b) That is part of a general pattern of campaign-related news
account that give reasonably equal coverage to all opposing candidates
in the circulation or listening area, is not an expenditure.
[67 FR 50585, Aug. 5, 2002, as amended at 71 FR 18613, Apr. 12, 2006]
Sec. 100.133 Voter registration and get-out-the-vote activities.
Any cost incurred for activity designed to encourage individuals to
register to vote or to vote is not an expenditure if no effort is or has
been made to determine the party or candidate preference of individuals
before encouraging them to register to vote or to vote, except that
corporations and labor organizations shall engage in such activity in
accordance with 11 CFR 114.4 (c) and (d). See also 11 CFR 114.3(c)(4).
Sec. 100.134 Internal communications by corporations, labor
organizations, and membership organizations.
(a) General provision. Any cost incurred for any communication by a
membership organization, including a labor organization, to its members,
or any cost incurred for any communication by a corporation to its
stockholders or executive or administrative personnel, is not an
expenditure, except that the costs directly attributable to such a
communication that expressly advocates the election or defeat of a
clearly identified candidate (other than a communication primarily
devoted to subjects other than the express advocacy of the election or
defeat of a clearly identified candidate) shall, if those costs exceed
$2,000 per election, be reported to the Commission on FEC Form 7 in
accordance with 11 CFR 104.6.
(b) Definition of labor organization. For purposes of this section,
labor organization means an organization of any kind (any local,
national, or international union, or any local or State central body of
a federation of unions is each considered a separate labor organization
for purposes of this section) or any agency or employee representative
committee or plan, in which employees participate and that exists for
the purpose, in whole or in part, of dealing with employers concerning
grievances, labor disputes, wages, rates of pay, hours of employment, or
conditions of work.
(c) Definition of stockholder. For purposes of this section,
stockholder means a person who has a vested beneficial interest in
stock, has the power to direct how that stock shall be voted, if it is
voting stock, and has the right to receive dividends.
(d) Definition of executive or administrative personnel. For
purposes of this section, executive or administrative personnel means
individuals employed by a corporation who are paid on a salary rather
than hourly basis and who have policymaking, managerial, professional,
or supervisory responsibilities.
(1) This definition includes--
(i) Individuals who run the corporation's business, such as
officers, other executives, and plant, division, and section managers;
and
(ii) Individuals following the recognized professions, such as
lawyers and engineers.
(2) This definition does not include--
(i) Professionals who are represented by a labor organization;
(ii) Salaried foremen and other salaried lower level supervisors
having direct supervision over hourly employees;
(iii) Former or retired personnel who are not stockholders; or
(iv) Individuals who may be paid by the corporation, such as
consultants, but who are not employees, within the meaning of 26 CFR
31.3401(c)-(1), of the corporation for the purpose of the collection of,
and liability for, employee tax under 26 CFR 31.3402(a)-(1).
(3) Individuals on commission may be considered executive or
administrative
[[Page 67]]
personnel if they have policymaking, managerial, professional, or
supervisory responsibility and if the individuals are employees, within
the meaning of 26 CFR 31.3401(c)-(1), of the corporation for the purpose
of the collection of, and liability for, employee tax under 26 CFR
31.3402(a)-(1).
(4) The Fair Labor Standards Act, 29 U.S.C. 201, et seq. and the
regulations issued pursuant to such Act, 29 CFR part 541, may serve as a
guideline in determining whether individuals have policymaking,
managerial, professional, or supervisory responsibilities.
(e) Definition of membership organization. For purposes of this
section membership organization means an unincorporated association,
trade association, cooperative, corporation without capital stock, or a
local, national, or international labor organization that:
(1) Is composed of members, some or all of whom are vested with the
power and authority to operate or administer the organization, pursuant
to the organization's articles, bylaws, constitution or other formal
organizational documents;
(2) Expressly states the qualifications and requirements for
membership in its articles, bylaws, constitution or other formal
organizational documents;
(3) Makes its articles, bylaws, constitution or other formal
organizational documents available to its members;
(4) Expressly solicits persons to become members;
(5) Expressly acknowledges the acceptance of membership, such as by
sending a membership card or including the member's name on a membership
newsletter list; and
(6) Is not organized primarily for the purpose of influencing the
nomination for election, or election, of any individual for Federal
office.
(f) Definition of members. For purposes of this section, the term
members includes all persons who are currently satisfying the
requirements for membership in a membership organization, affirmatively
accept the membership organization's invitation to become a member, and
either:
(1) Have some significant financial attachment to the membership
organization, such as a significant investment or ownership stake; or
(2) Pay membership dues at least annually, of a specific amount
predetermined by the organization; or
(3) Have a significant organizational attachment to the membership
organization that includes: affirmation of membership on at least an
annual basis and direct participatory rights in the governance of the
organization. For example, such rights could include the right to vote
directly or indirectly for at least one individual on the membership
organization's highest governing board; the right to vote on policy
questions where the highest governing body of the membership
organization is obligated to abide by the results; the right to approve
the organization's annual budget; or the right to participate directly
in similar aspects of the organization's governance.
(g) Additional considerations in determining membership.
Notwithstanding the requirements of paragraph (f) of this section, the
Commission may determine, on a case-by-case basis, that persons who do
not precisely meet the requirements of the general rule, but have a
relatively enduring and independently significant financial or
organizational attachment to the organization, may be considered members
for purposes of this section. For example, student members who pay a
lower amount of dues while in school, long term dues paying members who
qualify for lifetime membership status with little or no dues
obligation, and retired members may be considered members of the
organization.
(h) Members of local unions. Notwithstanding the requirements of
paragraph (f) of this section, members of a local union are considered
to be members of any national or international union of which the local
union is a part and of any federation with which the local, national, or
international union is affiliated.
(i) National federation structures. In the case of a membership
organization that has a national federation structure or has several
levels, including, for example, national, state, regional and/or local
affiliates, a person who qualifies as a member of any entity within the
federation or of any affiliate
[[Page 68]]
by meeting the requirements of paragraphs (f)(1), (2), or (3) of this
section shall also qualify as a member of all affiliates for purposes of
paragraphs (d) through (i) of this section. The factors set forth at 11
CFR 100.5(g)(2), (3) and (4) shall be used to determine whether entities
are affiliated for purposes of this paragraph.
(j) Non-applicability of state law in determining status of
membership organizations. The status of a membership organization, and
of members, for purposes of this section, shall be determined pursuant
to paragraphs (d) through (i) of this section and not by provisions of
state law governing unincorporated associations, trade associations,
cooperatives, corporations without capital stock, or labor
organizations.
(k) Definition of election. For purposes of this section, election
means two separate processes in a calendar year, to each of which the
$2,000 threshold described above applies separately. The first process
is comprised of all primary elections for Federal office, whenever and
wherever held; the second process is comprised of all general elections
for Federal office, whenever and wherever held. The term election shall
also include each special election held to fill a vacancy in a Federal
office (11 CFR 100.2(f)) or each runoff election (11 CFR 100.2(d)).
(l) Definition of corporation. For purposes of this section,
corporation means any separately incorporated entity, whether or not
affiliated.
(m) Reporting. When the aggregate costs under this section exceed
$2,000 per election, all costs of the communication(s) shall be reported
on the filing dates specified in 11 CFR 104.6, and shall include the
total amount expended for each candidate supported.
[67 FR 50585, Aug. 5, 2002, as amended at 79 FR 16663, Mar. 26, 2014]
Sec. 100.135 Use of a volunteer's real or personal property.
No expenditure results where an individual, in the course of
volunteering personal services on his or her residential premises to any
candidate or political committee of a political party, provides the use
of his or her real or personal property to such candidate for candidate-
related activity or to such political committee of a political party for
party-related activity. For the purposes of this section, an
individual's residential premises shall include a recreation room in a
residential complex where the individual volunteering services resides,
provided that the room is available for use without regard to political
affiliation. A nominal fee paid by such individual for the use of such
room is not an expenditure.
Sec. 100.136 Use of a church or a community room.
No expenditure results where an individual, in the course of
volunteering personal services to any candidate or political committee
of a political party, obtains the use of a church or community room and
provides such room to any candidate for candidate-related activity or to
any political committee of a political party for party-related activity,
provided that the room is used on a regular basis by members of the
community for noncommercial purposes and the room is available for use
by members of the community without regard to political affiliation. A
nominal fee paid by such individual for the use of such room is not an
expenditure.
Sec. 100.137 Invitations, food, and beverages.
The cost of invitations, food, and beverages is not an expenditure
where such items are voluntarily provided by an individual in rendering
voluntary personal services on the individual's residential premises or
in a church or community room as specified at 11 CFR 100.135 and 100.136
to a candidate for candidate-related activity or to a political
committee of a political party for party-related activity, to the extent
that: The aggregate value of such invitations, food and beverages
provided by the individual on behalf of the candidate does not exceed
$1,000 with respect to any single election; and on behalf of all
political committees of each political party does not exceed $2,000 in
any calendar year.
[67 FR 50585, Aug. 5, 2002, as amended at 79 FR 77845, Dec. 29, 2014]
[[Page 69]]
Sec. 100.138 Sale of food and beverages by vendor.
The sale of any food or beverage by a vendor (whether incorporated
or not) for use in a candidate's campaign, or for use by a political
committee of a political party, at a charge less than the normal or
comparable commercial charge, is not an expenditure, provided that the
charge is at least equal to the cost of such food or beverage to the
vendor, to the extent that: The aggregate value of such discount given
by the vendor on behalf of any single candidate does not exceed $1,000
with respect to any single election; and on behalf of all political
committees of each political party does not exceed $2,000 in a calendar
year.
Sec. 100.139 Unreimbursed payment for transportation and subsistence
expenses.
(a) Transportation expenses. Any unreimbursed payment for
transportation expenses incurred by any individual on behalf of any
candidate or political committee of a political party is not an
expenditure to the extent that:
(1) The aggregate value of the payments made by such individual on
behalf of a candidate does not exceed $1,000 with respect to a single
election; and
(2) On behalf of all political committees of each political party
does not exceed $2,000 in a calendar year.
(b) Subsistence expenses. Any unreimbursed payment from a
volunteer's personal funds for usual and normal subsistence expenses
incident to volunteer activity is not an expenditure.
Sec. 100.140 Slate cards and sample ballots.
The payment by a State or local committee of a political party of
the costs of preparation, display, or mailing or other distribution
incurred by such committee with respect to a printed slate card, sample
ballot, palm card, or other printed listing(s) of three or more
candidates for any public office for which an election is held in the
State in which the committee is organized is not an expenditure. The
payment of the portion of such costs allocable to Federal candidates
must be made from funds subject to the limitations and prohibitions of
the Act. If made by a political party committee, such payments shall be
reported by that committee as disbursements, but need not be allocated
in committee reports to specific candidates. This exemption shall not
apply to costs incurred by such a committee with respect to the
preparation and display of listings made on broadcasting stations, or in
newspapers, magazines, and similar types of general public political
advertising such as billboards. But see 11 CFR 100.24, 104.17(a), and
part 300, subpart B for exempt activities that also constitute Federal
election activity.
Sec. 100.141 Payment by corporations and labor organizations.
Any payment made or obligation incurred by a corporation or labor
organization is not an expenditure if under the provisions of 11 CFR
part 114 such payment or obligation would not constitute an expenditure
by the corporation or labor organization.
Sec. 100.142 Bank loans.
(a) General provisions. Repayment of a loan of money to a candidate
or a political committee by a State bank, a federally chartered
depository institution (including a national bank) or a depository
institution whose deposits and accounts are insured by the Federal
Deposit Insurance Corporation or the National Credit Union
Administration is not an expenditure by the lending institution if such
loan is made in accordance with applicable banking laws and regulations
and is made in the ordinary course of business. A loan will be deemed to
be made in the ordinary course of business if it:
(1) Bears the usual and customary interest rate of the lending
institution for the category of loan involved;
(2) Is made on a basis that assures repayment;
(3) Is evidenced by a written instrument; and
(4) Is subject to a due date or amortization schedule.
(b) Reporting. Such loans shall be reported by the political
committee in accordance with 11 CFR 104.3(a) and (d).
(c) Endorsers and guarantors. Each endorser or guarantor shall be
deemed to have contributed that portion of the
[[Page 70]]
total amount of the loan for which he or she agreed to be liable in a
written agreement, except that, in the event of a signature by the
candidate's spouse, the provisions of 11 CFR 100.52(b)(4) shall apply.
Any reduction in the unpaid balance of the loan shall reduce
proportionately the amount endorsed or guaranteed by each endorser or
guarantor in such written agreement. In the event that the loan
agreement does not stipulate the portion of the loan for which each
endorser or guarantor is liable, the loan shall be considered an
expenditure by each endorser or guarantor in the same proportion to the
unpaid balance that each endorser or guarantor bears to the total number
of endorsers or guarantors.
(d) Overdrafts. For the purpose of this section, repayment of an
overdraft made on a checking or savings account of a political committee
shall be considered an expenditure unless:
(1) The overdraft is made on an account that is subject to automatic
overdraft protection; and
(2) The overdraft is subject to a definite interest rate and a
definite repayment schedule.
(e) Made on a basis that assures repayment. A loan, including a line
of credit, shall be considered made on a basis that assures repayment if
it is obtained using either of the sources of repayment described in
paragraphs (e)(1) or (2) of this section, or a combination of paragraphs
(e)(1) or (2) of this section:
(1)(i) The lending institution making the loan has perfected a
security interest in collateral owned by the candidate or political
committee receiving the loan; the fair market value of the collateral is
equal to or greater than the loan amount and any senior liens as
determined on the date of the loan; and the candidate or political
committee provides documentation to show that the lending institution
has a perfected security interest in the collateral. Sources of
collateral include, but are not limited to, ownership in real estate,
personal property, goods, negotiable instruments, certificates of
deposit, chattel papers, stocks, accounts receivable and cash on
deposit.
(ii) Amounts guaranteed by secondary sources of repayment, such as
guarantors and cosigners, shall not exceed the contribution limits of 11
CFR part 110 or contravene the prohibitions of 11 CFR 110.4, 110.20,
part 114 and part 115; or
(2) The lending institution making the loan has obtained a written
agreement whereby the candidate or political committee receiving the
loan has pledged future receipts, such as public financing payments
under 11 CFR part 9001 through part 9012 or part 9031 through 9039,
contributions, or interest income, provided that:
(i) The amount of the loan(s) obtained the basis of such funds does
not exceed the amount of pledged funds;
(ii) Loan amounts are based on a reasonable expectation of the
receipt of pledged funds. To that end, the candidate or political
committee must furnish the lending institution documentation, i.e., cash
flow charts or other financial plans, that reasonably establish that
such future funds will be available;
(iii) A separate depository account is established at the lending
institution or the lender obtains an assignment from the candidate or
political committee to access funds in a committee account at another
depository institution that meets the requirements of 11 CFR 103.2, and
the committee has notified the other institution of this assignment;
(iv) The loan agreement requires the deposit of the public financing
payments, contributions, interest or other income pledged as collateral
into the separate depository account for the purpose of retiring the
debt according to the repayment requirements of the loan; and
(v) In the case of public financing payments, the borrower
authorizes the Secretary of the Treasury to directly deposit the
payments into the depository account for the purpose of retiring the
debt.
(3) If the requirements set forth in paragraph (e) of this section
are not met, the Commission will consider the totality of circumstances
on a case-by-case basis in determining whether a loan was made on a
basis that assures repayment.
[[Page 71]]
(f) This section shall not apply to loans described in 11 CFR 100.83
and 100.143.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.143 Brokerage loans and lines of credit to candidates.
Repayment of a loan of money derived from an advance on a
candidate's brokerage account, credit card, home equity line of credit,
or other line of credit available to the candidate, as described in 11
CFR 100.83, is not an expenditure.
Sec. 100.144 Office building for State, local, or district party
committees or organizations.
A payment, distribution, loan, advance, or deposit of money or
anything of value, made by, or on behalf of, a State, local, or district
party committee or organization for the purchase or construction of an
office building in accordance with 11 CFR 300.35 is not an expenditure.
Sec. 100.145 Legal or accounting services to political party committees.
Legal or accounting services rendered to or on behalf of any
political committee of a political party are not expenditures if the
person paying for such services is the regular employer of the
individual rendering the services and such services are not attributable
to activities that directly further the election of any designated
candidate for Federal office. For purposes of this section, a
partnership shall be deemed to be the regular employer of a partner.
Amounts paid by the regular employer for such services shall be reported
by the committee receiving such services in accordance with 11 CFR
104.3(h).
Sec. 100.146 Legal or accounting services to other political committees.
Legal or accounting services rendered to or on behalf of an
authorized committee of a candidate or any other political committee are
not expenditures if the person paying for such services is the regular
employer of the individual rendering such services and if the services
are solely to ensure compliance with the Act or 26 U.S.C. 9001 et seq.
and 9032 et seq. For purposes of this section, a partnership shall be
deemed to be the regular employer of a partner. Amounts paid by the
regular employer for these services shall be reported by the committee
receiving such services in accordance with 11 CFR 104.3(h). Expenditures
for these services by a candidate certified to receive Primary Matching
Funds under 11 CFR part 9034 do not count against such candidate's
expenditure limitations under 11 CFR part 9035 or 11 CFR 110.8. Unless
paid for with federal funds received pursuant to 11 CFR part 9005,
disbursements for these services by a candidate who is certified to
receive payments from the Presidential Election Campaign Fund under 11
CFR part 9005 do not count against that candidate's expenditure
limitations under 11 CFR 110.8.
Sec. 100.147 Volunteer activity for party committees.
The payment by a state or local committee of a political party of
the costs of campaign materials (such as pins, bumper stickers,
handbills, brochures, posters, party tabloids or newsletters, and yard
signs) used by such committee in connection with volunteer activities on
behalf of any nominee(s) of such party is not an expenditure, provided
that the following conditions are met:
(a) Exemption does not apply to general public communications or
political advertising. Such payment is not for costs incurred in
connection with any broadcasting, newspaper, magazine, billboard, direct
mail, or similar type of general public communication or political
advertising. For the purposes of this paragraph, the term direct mail
means any mailing(s) by a commercial vendor or any mailing(s) made from
commercial lists.
(b) Allocation. The portion of the cost of such materials allocable
to Federal candidates is paid from contributions subject to the
limitations and prohibitions of the Act. But see 11 CFR part 300 for
exempt activities that also constitute Federal election activity.
(c) Contributions designated for Federal candidates. Such payment is
not made from contributions designated by the
[[Page 72]]
donor to be spent on behalf of a particular candidate or candidates for
Federal office. For purposes of this paragraph, a contribution shall not
be considered a designated contribution if the party committee
disbursing the funds makes the final decision regarding which
candidate(s) shall receive the benefit of such disbursement.
(d) Distribution of materials by volunteers. Such materials are
distributed by volunteers and not by commercial or for-profit
operations. For the purposes of this paragraph, payments by the party
organization for travel and subsistence or customary token payments to
volunteers do not remove such individuals from the volunteer category.
(e) Reporting. If made by a political party committee, such payments
shall be reported by that committee as disbursements, in accordance with
11 CFR 104.3, but need not be allocated to specific candidates in
committee reports.
(f) State candidates and their campaign committees. Payments by a
State candidate or his or her campaign committee to a State or local
political party committee for the State candidate's share of expenses
for such campaign materials are not expenditures, provided the amount
paid by the State candidate or his or her committee does not exceed his
or her proportionate share of the expenses.
(g) Exemption not applicable to campaign materials purchased by
national party committees. Campaign materials purchased by the national
committee of a political party and delivered to a State or local party
committee, or materials purchased with funds donated by the national
committee to such State or local committee for the purchase of such
materials, shall not qualify under this exemption. Rather, the cost of
such materials shall be subject to the limitations of 52 U.S.C. 30116(d)
and 11 CFR 109.32.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 79
FR 77845, Dec. 29, 2014]
Sec. 100.148 Volunteer activity for candidate.
The payment by a candidate for any public office (including State or
local office), or by such candidate's authorized committee, of the costs
of that candidate's campaign materials that include information on or
any reference to a candidate for Federal office and that are used in
connection with volunteer activities (such as pins, bumper stickers,
handbills, brochures, posters, and yard signs) is not an expenditure on
behalf of such candidate for Federal office, provided that the payment
is not for the use of broadcasting, newspapers, magazines, billboards,
direct mail or similar types of general public communication or
political advertising. The payment of the portion of the cost of such
materials allocable to Federal candidates shall be made from
contributions subject to the limitations and prohibitions of the Act.
For purposes of this section, the term direct mail means mailings by
commercial vendors or mailings made from lists that were not developed
by the candidate. But see 11 CFR 100.24, 104.17(a), and part 300,
subparts D and E for exempt activities that also constitute Federal
election activity.
Sec. 100.149 Voter registration and get-out-the-vote activities for
Presidential candidates.
The payment by a State or local committee of a political party of
the costs of voter registration and get-out-the-vote activities
conducted by such committee on behalf of the Presidential and Vice
Presidential nominee(s) of that party is not an expenditure for the
purpose of influencing the election of such candidates provided that the
following conditions are met:
(a) Exemption not applicable to general public communication or
political advertising. Such payment is not for the costs incurred in
connection with any broadcasting, newspaper, magazine, billboard, direct
mail, or similar type of general public communication or political
advertising. For purposes of this paragraph, the term direct mail means
any mailing(s) by a commercial vendor or any mailing(s) made from
commercial lists.
(b) Allocation. The portion of the costs of such activities
allocable to Federal candidates is paid from contributions subject to
the limitations and prohibitions of the Act. But see 11
[[Page 73]]
CFR 100.24, 104.17(a), and part 300, subpart B for exempt activities
that also constitute Federal election activity.
(c) Contributions designated for Federal candidates. Such payment is
not made from contributions designated to be spent on behalf of a
particular candidate or candidates for Federal office. For the purposes
of this paragraph, a contribution shall not be considered a designated
contribution if the party committee disbursing the funds makes the final
decision regarding which candidate(s) shall receive the benefit of such
disbursement.
(d) References to House or Senate candidates. For purposes of this
section, if such activities include references to any candidate(s) for
the House or Senate, the costs of such activities that are allocable to
that candidate(s) shall be an expenditure on behalf of such candidate(s)
unless the mention of such candidate(s) is merely incidental to the
overall activity.
(e) Phone banks. For purposes of this section, payment of the costs
incurred in the use of phone banks in connection with voter registration
and get-out-the-vote activities is not an expenditure when such phone
banks are operated by volunteer workers. The use of paid professionals
to design the phone bank system, develop calling instructions and train
supervisors is permissible. The payment of the costs of such
professional services is not an expenditure but shall be reported as a
disbursement in accordance with 11 CFR 104.3 if made by a political
committee.
(f) Reporting of payments for voter registration and get-out-the-
vote activities. If made by a political committee, such payments for
voter registration and get-out-the-vote activities shall be reported by
that committee as disbursements, in accordance with 11 CFR 104.3 but
such payments need not be allocated to specific candidates in committee
reports except as provided in paragraph (d) of this section.
(g) Exemption not applicable to donations by a national committee of
a political party to a State or local party committee for voter
registration and get-out-the-vote activities. Payments made from funds
donated by a national committee of a political party to a State or local
party committee for voter registration and get-out-the-vote activities
shall not qualify under this exemption. Rather, such funds shall be
subject to the limitations of 52 U.S.C. 30116(d) and 11 CFR 109.32.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 69
FR 68238, Nov. 24, 2004; 79 FR 77845, Dec. 29, 2014]
Sec. 100.150 Ballot access fees.
Amounts transferred by a party committee to another party committee
or payments made to the appropriate State official of fees collected
from candidates or their authorized committees as a condition of ballot
access are not expenditures.
Sec. 100.151 Recounts.
A purchase, payment, distribution, loan, advance, or deposit of
money or anything of value made with respect to a recount of the results
of a Federal election, or an election contest concerning a Federal
election, is not an expenditure except that the prohibitions of 11 CFR
110.20 and part 114 apply.
[67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 100.152 Fundraising costs for Presidential candidates.
(a) Costs incurred in connection with the solicitation of
contributions. Any costs incurred by a candidate or his or her
authorized committee(s) in connection with the solicitation of
contributions are not expenditures if incurred by a candidate who has
been certified to receive Presidential Primary Matching Fund Payments,
or by a candidate who has been certified to receive general election
public financing under 26 U.S.C. 9004 and who is soliciting
contributions in accordance with 26 U.S.C. 9003(b)(2) or 9003(c)(2) to
the extent that the aggregate of such costs does not exceed 20 percent
of the expenditure limitation applicable to the candidate. These costs
shall, however, be reported as disbursements pursuant to 11 CFR part
104.
(b) Definition of in connection with the solicitation of
contributions. For a candidate who has been certified to receive general
election public financing under
[[Page 74]]
26 U.S.C. 9004 and who is soliciting contributions in accordance with 26
U.S.C. 9003(b)(2) or 9003(c)(2), in connection with the solicitation of
contributions means any cost reasonably related to fundraising activity,
including the costs of printing and postage, the production of and space
or air time for, advertisements used for fundraising, and the costs of
meals, beverages, and other costs associated with a fundraising
reception or dinner.
(c) Limitation on costs that may be exempted. For a candidate who
has been certified to receive Presidential Primary Matching Fund
Payments, the costs that may be exempted as fundraising expenses under
this section shall not exceed 20% of the overall expenditure limitation
under 11 CFR 9035.1, and shall equal the total of:
(1) All amounts excluded from the state expenditure limitations for
exempt fundraising activities under 11 CFR 110.8(c)(2), plus
(2) An amount of costs that would otherwise be chargeable to the
overall expenditure limitation but that are not chargeable to any state
expenditure limitation, such as salary and travel expenses. See 11 CFR
106.2.
Sec. 100.153 Routine living expenses.
Payments by a candidate from his or her personal funds, as defined
at 11 CFR 100.33, for the candidate's routine living expenses that would
have been incurred without candidacy, including the cost of food and
residence, are not expenditures. Payments for such expenses by a member
of the candidate's family as defined in 11 CFR 113.1(g)(7), are not
expenditures if the payments are made from an account jointly held with
the candidate, or if the expenses were paid by the family member before
the candidate became a candidate.
[67 FR 50585, Aug. 5, 2002, as amended at 73 FR 79601, Dec. 30, 2008]
Sec. 100.154 Candidate debates.
Funds used to defray costs incurred in staging candidate debates in
accordance with the provisions of 11 CFR 110.13 and 114.4(f) are not
expenditures.
Sec. 100.155 Uncompensated Internet activity by individuals that is
not an expenditure.
(a) When an individual or a group of individuals, acting
independently or in coordination with any candidate, authorized
committee, or political party committee, engages in Internet activities
for the purpose of influencing a Federal election, neither of the
following is an expenditure by that individual or group of individuals:
(1) The individual's uncompensated personal services related to such
Internet activities;
(2) The individual's use of equipment or services for uncompensated
Internet activities, regardless of who owns the equipment and services.
(b) Internet activities. For the purposes of this section, the term
``Internet activities'' includes, but is not limited to: Sending or
forwarding electronic messages; providing a hyperlink or other direct
access to another person's website; blogging; creating, maintaining, or
hosting a website; paying a nominal fee for the use of another person's
website; and any other form of communication distributed over the
Internet.
(c) Equipment and services. For the purposes of this section, the
term ``equipment and services'' includes, but is not limited to:
Computers, software, Internet domain names, Internet Service Providers
(ISP), and any other technology that is used to provide access to or use
of the Internet.
(d) Paragraph (a) of this section also applies to any corporation
that is wholly owned by one or more individuals, that engages primarily
in Internet activities, and that does not derive a substantial portion
of its revenues from sources other than income from its Internet
activities.
(e) This section does not exempt from the definition of expenditure:
(1) Any payment for a public communication (as defined in 11 CFR
100.26) other than a nominal fee;
(2) Any payment for the purchase or rental of an e-mail address list
made at the direction of a political committee; or
[[Page 75]]
(3) Any payment for an e-mail address list that is transferred to a
political committee.
[71 FR 18613, Apr. 12, 2006, as amended at 81 FR 94240, Dec. 23, 2016]
PART 101_CANDIDATE STATUS AND DESIGNATIONS (52 U.S.C. 30102(e))-
-Table of Contents
Sec.
101.1 Candidate designations (52 U.S.C. 30102(e)(1), (g)).
101.2 Candidate as agent of authorized committee (52 U.S.C.
30102(e)(2)).
101.3 Funds received or expended prior to becoming a candidate (52
U.S.C. 30102(e)(2)).
Authority: 52 U.S.C. 30102(e), (g), 30104(a)(11), and 30111(a)(8).
Sec. 101.1 Candidate designations (52 U.S.C. 30102(e)(1), (g)).
(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 with the
Commission 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). 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
with the Commission.
[84 FR 18699, May 2, 2019]
Sec. 101.2 Candidate as agent of authorized committee
(52 U.S.C. 30102(e)(2)).
(a) Any candidate who receives a contribution as defined at 11 CFR
part 100, subparts B and C obtains any loan, or makes any disbursement,
in connection with his or her campaign shall be considered as having
received such contribution, obtained such loan or made such disbursement
as an agent of his or her authorized committee(s).
(b) When an individual becomes a candidate, any funds received,
loans obtained, or disbursements made prior to becoming a candidate in
connection with his or her campaign shall be deemed to have been
received, obtained or made as an agent of his or her authorized
committee(s).
[45 FR 15103, Mar. 7, 1980, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 101.3 Funds received or expended prior to becoming a candidate
(52 U.S.C. 30102(e)(2)).
When an individual becomes a candidate, all funds received or
payments made in connection with activities conducted under 11 CFR
100.72(a) and 11 CFR 100.131(a) or his or her campaign prior to becoming
a candidate shall be considered contributions or expenditures under the
Act and shall be reported in accordance with 11 CFR 104.3 in the first
report filed by such candidate's principal campaign committee. The
individual shall keep records of the name of each contributor, the date
of receipt and amount of all contributions received (see 11 CFR
102.9(a)), and all expenditures made (see 11 CFR 102.9(b)) in connection
with activities conducted under 11 CFR 100.72 and 11 CFR 100.131 or the
individual's campaign prior to becoming a candidate.
[50 FR 9995, Mar. 13, 1985, as amended at 67 FR 78680, Dec. 26, 2002; 75
FR 31, Jan. 4, 2010]
[[Page 76]]
PART 102_REGISTRATION, ORGANIZATION, AND RECORDKEEPING BY POLITICAL
COMMITTEES (52 U.S.C. 30103)--Table of Contents
Sec.
102.1 Registration of political committees (52 U.S.C. 30103(a)).
102.2 Statement of organization: Forms and committee identification
number (52 U.S.C. 30102(g), 30103(b), (c)).
102.3 Termination of registration (52 U.S.C. 30103(d)(1)).
102.4 Administrative termination (52 U.S.C. 30103(d)(2)).
102.5 Organizations financing political activity in connection with
Federal and non-Federal elections, other than through
transfers and joint fundraisers: Accounts and accounting.
102.6 Transfers of funds; collecting agents.
102.7 Organization of political committees (52 U.S.C. 30102(a)).
102.8 Receipt of contributions (52 U.S.C. 30102(b)).
102.9 Accounting for contributions and expenditures (52 U.S.C.
30102(c)).
102.10 Disbursement by check (52 U.S.C. 30102(h)(1)).
102.11 Petty cash fund (52 U.S.C. 30102(h)(2)).
102.12 Designation of principal campaign committee (52 U.S.C.
30102(e)(1) and (3)).
102.13 Authorization of political committees (52 U.S.C. 30102(e)(1) and
(3)).
102.14 Names of political committees (52 U.S.C. 30102(e)(4) and (5)).
102.15 Commingled funds (52 U.S.C. 30102(b)(3)).
102.16 Notice: Solicitation of contributions (52 U.S.C. 30120).
102.17 Joint fundraising by committees other than separate segregated
funds.
Authority: 52 U.S.C. 30102, 30103, 30104(a)(11), 30111(a)(8), and
30120.
Source: 45 FR 15104, Mar. 7, 1980, unless otherwise noted.
Sec. 102.1 Registration of political committees (52 U.S.C. 30103(a)).
(a) Principal campaign committees. Each principal campaign committee
shall file a Statement of Organization in accordance with 11 CFR 102.2
no later than 10 days after designation pursuant to 11 CFR 101.1. In
addition, each principal campaign committee shall file all designations,
statements and reports which are filed with such committee with the
Commission.
(b) Authorized committees. Each authorized committee(s) shall file
only one Statement of Organization in accordance with 11 CFR 102.2 no
later than 10 days after designation pursuant to 11 CFR 101.1. Such
Statement(s) shall be filed with the principal campaign committee of the
authorizing candidate.
(c) Separate segregated funds. Each separate segregated fund
established under 52 U.S.C. 30118(b)(2)(C) shall file a Statement of
Organization with the Federal Election Commission no later than 10 days
after establishment. This requirement shall not apply to a fund
established solely for the purpose of financing political activity in
connection with State or local elections. Examples of establishment
events after which a fund would be required to register include, but are
not limited to: A vote by the board of directors or comparable governing
body of an organization to create a separate segregated fund to be used
wholly or in part for federal elections; selection of initial officers
to administer such a fund; or payment of the initial operating expenses
of such a fund.
(d) Other political committees. All other committees shall file a
Statement of Organization no later than 10 days after becoming a
political committee within the meaning of 11 CFR 100.5. Such
statement(s) shall be filed with the Commission.
[45 FR 15104, Mar. 7, 1980, as amended at 79 FR 77845, Dec. 29, 2014; 84
FR 18699, May 2, 2019]
Sec. 102.2 Statement of organization: Forms and committee identification
number (52 U.S.C. 30102(g), 30103(b), (c)).
(a) Forms. (1) The Statement of Organization shall be filed with the
Commission on Federal Election Commission Form 1. The Statement shall be
signed by the treasurer and shall include the following information:
(i) The name, address, and type of committee;
(ii) The name, address, relationship, and type of any connected
organization or affiliated committee in accordance with paragraph (b) of
this section;
(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;
[[Page 77]]
(v) If the committee is authorized by a candidate, the name, office
sought (including State and Congressional district, when applicable) and
party affiliation of the candidate; and the address to which
communications should be sent;
(vi) A listing of all banks, safe deposit boxes, or other
depositories used by the committee;
(vii) The internet address of the committee's official website, if
such a website exists. If the committee is required to file
electronically under 11 CFR 104.18, its electronic mail address, if such
an address exists; and
(viii) If the committee is a principal campaign committee of a
candidate for the Senate or the House of Representatives, the principal
campaign committee's electronic mail address.
(2) Any change or correction in the information previously filed in
the Statement of Organization shall be reported no later than 10 days
following the date of the change or correction by filing an amended
Statement of Organization or, if the political committee is not required
to file electronically under 11 CFR 104.18, by filing a letter noting
the change(s). The amendment need list only the name of the political
committee and the change or correction.
(3) A committee shall certify to the Commission that it has
satisfied the criteria for becoming a multicandidate committee set forth
at 11 CFR 100.5(e)(3) by filing FEC Form 1M no later than ten (10)
calendar days after qualifying for multicandidate committee status.
(b) For purposes of 11 CFR 102.2(a)(1)(ii), political committees
shall disclose the names of any connected organization(s) or affiliated
committee(s) in accordance with 11 CFR 102.2(b) (1) and (2).
(1) Affiliated committee includes any committee defined in 11 CFR
100.5(g), 110.3(a) or (b), or 110.14(j) or (k).
(i) A principal campaign committee is required to disclose the names
and addresses of all other authorized committees that have been
authorized by its candidate. Authorized committees need only disclose
the name of their principal campaign committee.
(ii)(A) Political committees established by a single parent
corporation, a single national or international union, a single
organization or federation of national or international unions, a single
national membership organization or trade association, or any other
similar group of persons (other than political party organizations) are
required to disclose the names and addresses of all political committees
established by any subsidiary, or by any State, local, or other
subordinate unit of a national or international union or federation
thereof, or by any subordinate units of a national membership
organization, trade association, or other group of persons (other than
political party organizations).
(B) Political committees established by subsidiaries, or by State,
local, or other subordinate units are only required to disclose the name
and address of each political committee established by their parent or
superior body, e.g., parent corporation, national or international union
or organization or federation of such unions, or national organization
or trade association.
(2) Connected organization includes any organization defined at 11
CFR 100.6.
(c) Committee identification number. Upon receipt of a Statement of
Organization under 11 CFR part 102 by the Commission, an identification
number shall be assigned to the committee, receipt shall be
acknowledged, and the political committee shall be notified of the
number assigned. This identification number shall be entered by the
political committee on all subsequent reports or statements filed under
the Act, as well as on all communications concerning reports and
statements.
[45 FR 15104, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 54
FR 34109, Aug. 17, 1989; 54 FR 48580, Nov. 24, 1989; 58 FR 42173, Aug.
6, 1993; 65 FR 38422, June 21, 2000; 68 FR 3995, Jan. 27, 2003; 68 FR
64516, Nov. 14, 2003; 68 FR 67018, Dec. 1, 2003; 73 FR 79601, Dec. 30,
2008; 82 FR 60853, Dec. 26, 2017; 84 FR 18699, May 2, 2019; 84 FR 35007,
July 22, 2019]
Sec. 102.3 Termination of registration (52 U.S.C. 30103(d)(1)).
(a)(1) A political committee (other than a principal campaign
committee) may terminate only upon filing a termination report on the
appropriate
[[Page 78]]
FEC Form or upon filing a written statement containing the same
information with the Commission. 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; 84 FR 18699, May 2, 2019]
Sec. 102.4 Administrative termination (52 U.S.C. 30103(d)(2)).
(a) The Commission, on its own initiative or upon the request of the
political committee itself, may administratively terminate a political
committee's reporting obligation on the basis of the following factors:
(1) The committee's aggregate reported financial activity in one
year is less than $5000;
(2) The committee's reports disclose no receipt of contributions for
the previous year;
(3) The committee's last report disclosed minimal expenditures;
(4) The committee's primary purpose for filing its reports has been
to disclose outstanding debts and obligations;
(5) The committee has failed to file reports for the previous year;
(6) The committee's last report disclosed that the committee's
outstanding debts and obligations do not appear to present a possible
violation of the prohibitions and limitations of 11 CFR parts 110 and
114;
(7) The committee's last report disclosed that the Committee does
not have substantial outstanding accounts receivable;
(8) The committee's outstanding debts and obligations exceed the
total of the committee's reported cash on hand balance.
(b) The Commission shall send a notification to the committee
treasurer of its intent to administratively terminate that committee and
may request the treasurer to submit information with regard to the
factors set forth at 11 CFR 102.4(a). The treasurer shall respond, in
writing, within 30 days of receipt of the Commission's notice or request
and if the committee objects to such termination, the committee's
response shall so state.
(c) The Commission shall administratively terminate a committee if
such committee fails to object to the Commission's action under 11 CFR
102.4(b) and the Commission determines that either:
(1) The committee has complied with the debt settlement procedures
set forth at 11 CFR part 116.
(2) The Commission has approved the forgiveness of any loan(s) owed
the committee which would have otherwise been considered a contribution
under the Act in violation of 11 CFR part 110;
(3) It does not appear from evidence available that a contribution
in violation of 11 CFR parts 110 and 114 will result.
[45 FR 15104, Mar. 7, 1980, as amended at 60 FR 64273, Dec. 14, 1995]
[[Page 79]]
Sec. 102.5 Organizations financing political activity in connection with
Federal and non-Federal elections, other than through transfers and
joint fundraisers: Accounts and accounting.
(a) Organizations that are political committees under the Act, other
than national party committees. (1) Each organization, including a
State, district, or local party committee, that finances political
activity in connection with both Federal and non-Federal elections and
that qualifies as a political committee under 11 CFR 100.5 shall either:
(i) Establish a separate Federal account in a depository in
accordance with 11 CFR part 103. Such account shall be treated as a
separate Federal political committee that must comply with the
requirements of the Act including the registration and reporting
requirements of 11 CFR parts 102 and 104. Only funds subject to the
prohibitions and limitations of the Act shall be deposited in such
separate Federal account. See 11 CFR 103.3. All disbursements,
contributions, expenditures, and transfers by the committee in
connection with any Federal election shall be made from its Federal
account, except as otherwise permitted for State, district and local
party committees by 11 CFR part 300 and paragraph (a)(5) of this
section. No transfers may be made to such Federal account from any other
account(s) maintained by such organization for the purpose of financing
activity in connection with non-Federal elections, except as provided by
11 CFR 300.33, 300.34, 106.6(c), 106.6(f), and 106.7(f). Administrative
expenses for political committees other than party committees shall be
allocated pursuant to 11 CFR 106.6(c) between such Federal account and
any other account maintained by such committee for the purpose for
financing activity in connection with non-Federal elections.
Administrative expenses for State, district, and local party committees
are subject to 11 CFR 106.7 and 11 CFR part 300; or
(ii) Establish a political committee that shall receive only
contributions subject to the prohibitions and limitations of the Act,
regardless of whether such contributions are for use in connection with
Federal or non-Federal elections. Such organization shall register as a
political committee and comply with the requirements of the Act.
(2) Only contributions meeting any of the conditions set forth in
paragraphs (a)(2)(i), (ii), or (iii) of this section may be deposited in
a Federal account established under paragraph (a)(1)(i) of this section,
see 11 CFR 103.3, or may be received by a political committee
established under paragraph (a)(1)(ii) of this section:
(i) Contributions designated for the Federal account;
(ii) Contributions that result from a solicitation which expressly
states that the contribution will be used in connection with a Federal
election; or
(iii) Contributions from contributors who are informed that all
contributions are subject to the prohibitions and limitations of the
Act.
(3) State, district, and local party committees that intend to
expend Levin funds raised pursuant to 11 CFR 300.31 for activities
identified in 11 CFR 300.32(b)(1) must either:
(i) Establish one or more separate Levin accounts pursuant to 11 CFR
300.30(c)(2); or
(ii) Demonstrate through a reasonable accounting method approved by
the Commission (including any method embedded in software provided or
approved by the Commission) that whenever such organization makes a
payment that organization has received sufficient funds subject to the
limitations and prohibitions of the Act or the requirements of 11 CFR
300.30(c)(1) or (3) to make such payment. Such organization shall keep
records of amounts received or expended under this paragraph and, upon
request, shall make such records available for examination by the
Commission.
(4) Solicitations by Federal candidates and Federal officeholders
for State, district, and local party committees are subject to the
restrictions in 11 CFR 300.31(e) and 11 CFR part 300, subpart D.
(5) State, district, and local party committees and organizations
may establish one or more separate allocation accounts to be used for
activities allocable pursuant to 11 CFR 106.7 and 11 CFR 300.33.
[[Page 80]]
(b) Organizations that are not political committees under the Act.
(1) Any organization that makes contributions, expenditures, and
exempted payments under 11 CFR 100.80, 100.87 and 100.89 and 11 CFR
100.140, 100.147 and 100.149, but that does not qualify as a political
committee under 11 CFR 100.5, must keep records of receipts and
disbursements and, upon request, must make such records available for
examination by the Commission. The organization must demonstrate through
a reasonable accounting method that, whenever such an organization makes
a contribution or expenditure, or payment, the organization has received
sufficient funds subject to the limitations and prohibitions of the Act
to make such contribution, expenditure, or payment.
(2) Any State, district, or local party organization that makes
payments for certain Federal election activities under 11 CFR 300.32(b)
must either:
(i) Establish one or more Levin accounts pursuant to 11 CFR
300.30(b) into which only funds solicited pursuant to 11 CFR 300.31 may
be deposited and from which payments must be made pursuant to 11 CFR
300.32 and 300.33. See 11 CFR 300.30(c)(2)(i); or
(ii) Demonstrate through a reasonable accounting method approved by
the Commission (including any method embedded in software provided or
approved by the Commission) that whenever such organization makes a
payment that organization has received sufficient funds subject to the
limitations and prohibitions of the Act or the requirements of 11 CFR
300.31 to make such payment. Such organization shall keep records of
amounts received or expended under this paragraph and, upon request,
shall make such records available for examination by the Commission. See
11 CFR 300.30(c)(2)(ii).
(3) All such party organizations shall keep records of deposits to
and disbursements from such Federal and Levin accounts, and upon
request, shall make such records available for examination by the
Commission.
(c) National party committees. Between November 6, 2002, and
December 31, 2002, paragraphs (a) and (b) of this section apply to
national party committees. After December 31, 2002, national party
committees are prohibited from raising and spending non-Federal funds.
Therefore, this section does not apply to national party committees
after December 31, 2002.
[67 FR 49111, July 29, 2002, as amended at 67 FR 78680, Dec. 26, 2002;
69 FR 68067, Nov. 23, 2004]
Sec. 102.6 Transfers of funds; collecting agents.
(a) Transfers of funds; registration and reporting required--(1) Who
may make transfers under this section. (i) Transfers of funds may be
made without limit on amount between affiliated committees whether or
not they are political committees under 11 CFR 100.5.
(ii) Subject to the restrictions set forth at 11 CFR 300.10(a),
300.31 and 300.34(a) and (b), transfers of funds may be made without
limit on amount between or among a national party committee, a State
party committee and/or any subordinate party committee whether or not
they are political committees under 11 CFR 100.5 and whether or not such
committees are affiliated.
(iii) Transfers of joint fundraising proceeds may be made without
limit on amount between organizations or committees participating in the
joint fundraising activity provided that no participating committee or
organization governed by 11 CFR 102.17 received more than its allocated
share of the funds raised.
(iv) Transfers under paragraphs (a)(1) (i) through (iii) shall be
made only from funds which are permissible under the Act. See 11 CFR
parts 110, 114 and 115.
(2) When registration and reporting required. Except as provided in
11 CFR 102.6(b), organizations or committees making transfers under 11
CFR 102.6(a)(1) shall count such transfers against the reporting
thresholds of the Act for determining whether an organization or
committee is a political committee under 11 CFR 100.5.
(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:
[[Page 81]]
(i) A committee, whether or not it is a political committee as
defined in 11 CFR 100.5, affiliated with the separate segregated fund
under 11 CFR 110.3; or
(ii) The connected organization of the separate segregated fund as
defined in 11 CFR 100.6; or
(iii) A parent, subsidiary, branch, division, department, or local
unit of the connected organization of the separate segregated fund; or
(iv) A local, national or international union collecting
contributions on behalf of the separate segregated fund of any
federation with which the local, national or international union is
affiliated. See 11 CFR 114.1(e).
(2) Collecting agent not required to report. A collecting agent that
is an unregistered organization and that follows the procedures of 11
CFR 102.6(c) is not required to register and report as a political
committee under 11 CFR parts 102 and 104, provided that the organization
does not engage in other activities such as making contributions or
expenditures for the purpose of influencing federal elections.
(3) Who is not a collecting agent--(i) Commercial fundraising firm.
A separate segregated fund or a collecting agent may hire a commercial
fundraising firm to assist in fundraising; however, the commercial
fundraising firm shall not be considered as a collecting agent for the
purpose of this section. Rather, the commercial fundraising firm shall
be considered to be the agent of the separate segregated fund or
collecting agent.
(ii) Individuals. An individual who collects contributions for a
separate segregated fund shall not be considered a collecting agent for
the purpose of this section. Individuals who collect contributions are
subject to the requirements of 11 CFR 102.8 and the provisions of 11 CFR
part 110.
(4) Separate segregated fund may collect contributions. Nothing in
this section shall preclude a separate segregated fund from soliciting
and collecting contributions on its own behalf.
(c) Procedures for collecting agents--(1) Separate segregated fund
responsible for acts of collecting agent. The separate segregated fund
shall be responsible for ensuring that the recordkeeping, reporting and
transmittal requirements of this section are met.
(2) Solicitation for contributions. A collecting agent may include a
solicitation for voluntary contributions to a separate segregated fund
in a bill for membership dues or other payments such as conference
registration fees or a solicitation for contributions to the collecting
agent. The collecting agent may only solicit contributions from those
persons permitted to be solicited under 11 CFR part 114. The
solicitation for contributions must meet all of the requirements for
proper solicitations under 11 CFR 114.5.
(i) The collecting agent may pay any or all of the costs incurred in
soliciting and transmitting contributions to the separate segregated
fund.
(ii) If the separate segregated fund pays any solicitation or other
administrative expense from its own account, which expense could be paid
for as an administrative expense by the collecting agent, the collecting
agent may reimburse the separate segregated fund no later than 30
calendar days after the expense was paid by the separate segregated
fund.
(3) Checks combining contributions with other payments. A
contributor may write a check that represents both a contribution and
payment of dues or other fees. The check must be drawn on the
contributor's personal checking account or on a non-repayable corporate
drawing account of the individual contributor. Under a payroll deduction
plan, an employer may write a check on behalf of its employees to a
union or its agent, which check represents a combined payment of
voluntary contributions to the union's separate segregated fund and
union dues or other employee deductions.
(4) Transmittal of contributions. The full amount of each
contribution collected by a collecting agent on behalf of a separate
segregated fund shall be 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:
[[Page 82]]
(A) Establish a transmittal account to be used solely for the
deposit and transmittal of funds collected on behalf of the separate
segregated fund. Funds deposited into this account are subject to the
prohibitions and limitations of the Act. If any expenditure is made from
the account, other than a transfer of funds to an affiliated committee,
the account shall be considered a depository of the recipient committee
and all activity of that account shall be reported; or
(B) Deposit the contributions collected into the collecting agent's
treasury account. The collecting agent shall keep separate records of
all receipts and deposits that represent contributions to the separate
segregated fund and, in the case of cash contributions, the collecting
agent shall make separate deposits of such funds; or
(C) Deposit the contributions collected into an account otherwise
established solely for State or local election activity. The collecting
agent shall keep separate records of all receipts and deposits that
represent contributions to the separate segregated fund; or
(D) In the case of cash contributions, transmit the contributions to
the separate segregated fund in the form of money orders or cashier's
checks.
(5) Contributor information. The collecting agent shall comply with
the requirements of 11 CFR 102.8 regarding transmittal of contributions
and contributor information to the separate segregated fund, except that
if contributions of $50 or less are received at a mass collection, a
record shall be kept of the date, the total amount collected, and the
name of the function at which the collection was made.
(6) Retention of records. The collecting agent shall retain all
records of contribution deposits and transmittals under this section for
a period of three years and shall make these records available to the
Commission on request. The separate segregated fund shall keep a record
of all transmittals of contributions received from collecting agents
under this section, and shall retain these records for a period of three
years.
(7) Reporting of funds received through collecting agents. A
separate segregated fund receiving contributions collected by a
collecting agent shall report the full amount of each contribution
received as a contribution from the original contributor to the extent
required by 11 CFR 104.3(a).
[48 FR 26300, June 7, 1983, as amended at 68 FR 451, Jan. 3, 2003; 69 FR
63920, Nov. 3, 2004]
Sec. 102.7 Organization of political committees (52 U.S.C. 30102(a)).
(a) Every political committee shall have a treasurer and may
designate, on the committee's Statement of Organization, an assistant
treasurer who shall assume the duties and responsibilities of the
treasurer in the event of a temporary or permanent vacancy in the office
or in the event the treasurer is unavailable.
(b) Except as provided in subsection (a), no contribution or
expenditure shall be accepted or made by or on behalf of a political
committee at a time when there is a vacancy in the office of the
treasurer.
(c) No expenditure shall be made for or on behalf of a political
committee without the authorization of its treasurer or of an agent
authorized orally or in writing by the treasurer.
(d) Any candidate who receives a contribution, as defined at 11 CFR
part 100, subparts B and D, obtains any loan or makes any disbursement
in connection with his or her campaign, shall be considered as having
received the contribution, obtained the loan or made the disbursement as
an agent of such authorized committee(s).
[45 FR 15104, Mar. 7, 1980, as amended at 67 FR 78680, Dec. 26, 2002]
Sec. 102.8 Receipt of contributions (52 U.S.C. 30102(b)).
(a) Every person who receives a contribution for an authorized
political committee shall, no later than 10 days after receipt, forward
such contribution to the treasurer. If the amount of 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
[[Page 83]]
date of receipt of the contribution. Date of receipt shall be the date
such person obtains possession of the contribution.
(b)(1) Every person who receives a contribution of $50 or less for a
political committee which is not an authorized committee shall forward
such contribution to the treasurer of the political committee no later
than 30 days after receipt.
(2) Every person who receives a contribution in excess of $50 for a
political committee which is not an authorized committee shall, no later
than 10 days after receipt of the contribution, forward to the treasurer
of the political committee: The contribution; the name and address of
the contributor; and the date of receipt of the contribution. If the
amount of the contribution is in excess of $200, such person shall
forward the contribution, the identification of the contributor in
accordance with 11 CFR 100.12, and the date of receipt of the
contribution. Date of receipt shall be the date such person obtains
possession of the contribution.
(c) The provisions of 11 CFR 102.8 concerning receipt of
contributions for political committees shall also apply to earmarked
contributions transmitted by an intermediary or conduit.
Sec. 102.9 Accounting for contributions and expenditures
(52 U.S.C. 30102(c)).
The treasurer of a political committee or an agent authorized by the
treasurer to receive contributions and make expenditures shall fulfill
all recordkeeping duties as set forth at 11 CFR 102.9(a) through (f):
(a) An account shall be kept by any reasonable accounting procedure
of all contributions received by or on behalf of the political
committee.
(1) For contributions in excess of $50, such account shall include
the name and address of the contributor and the date of receipt and
amount of such contribution.
(2) For contributions from any person whose contributions aggregate
more than $200 during a calendar year, such account shall include the
identification of the person, and the date of receipt and amount of such
contribution.
(3) For contributions from a political committee, such account shall
include the identification of the political committee and the date of
receipt and amount of such contribution.
(4) In addition to the account to be kept under paragraph (a)(1) of
this section, for contributions in excess of $50, the treasurer of a
political committee or an agent authorized by the treasurer shall
maintain:
(i) A full-size photocopy of each check or written instrument; or
(ii) A digital image of each check or written instrument. The
political committee or other person shall provide the computer equipment
and software needed to retrieve and read the digital images, if
necessary, at no cost to the Commission.
(b)(1) An account shall be kept of all disbursements made by or on
behalf of the political committee. Such account shall consist of a
record of:
(i) The name and address of every person to whom any disbursement is
made;
(ii) The date, amount, and purpose of the disbursement; and
(iii) If the disbursement is made for a candidate, the name and
office (including State and congressional district, if any) sought by
that candidate.
(iv) For purposes of 11 CFR 102.9(b)(1), purpose has the same
meaning given the term at 11 CFR 104.3(b)(3)(i)(A).
(2) In addition to the account to be kept under 11 CFR 102.9(b)(1),
a receipt or invoice from the payee or a cancelled check to the payee
shall be obtained and kept for each disbursement in excess of $200 by or
on behalf of, the committee, except that credit card transactions, shall
be documented in accordance with 11 CFR 102.9(b)(2)(ii) and
disbursements by share draft or check drawn on a credit union account
shall be documented in accordance with 11 CFR 102.9(b)(2)(iii).
(i)(A) For purposes of 11 CFR 102.9(b)(2), payee means the person
who 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.
[[Page 84]]
(B) For any advance of $500 or less to an individual for travel and
subsistence, the expense voucher or other expense account documentation
and a cancelled check to the recipient of the advance shall be obtained
and kept.
(ii) For any credit card transaction, documentation shall include a
monthly billing statement or customer receipt for each transaction and
the cancelled check used to pay the credit card account.
(iii) For purposes of 11 CFR 102.9(b)(2), a carbon copy of a share
draft or check drawn on a credit union account may be used as a
duplicate record of such draft or check provided that the monthly
account statement showing that the share draft or check was paid by the
credit union is also retained.
(c) The treasurer shall preserve all records and accounts required
to be kept under 11 CFR 102.9 for 3 years after the report to which such
records and accounts relate is filed.
(d) In performing recordkeeping duties, the treasurer or his or her
authorized agent shall use his or her best efforts to obtain, maintain
and submit the required information and shall keep a complete record of
such efforts. If there is a showing that best efforts have been made,
any records of a committee shall be deemed to be in compliance with this
Act. With regard to the requirements of 11 CFR 102.9(b)(2) concerning
receipts, invoices and cancelled checks, the treasurer will not be
deemed to have exercised best efforts to obtain, maintain and submit the
records unless he or she has made at least one written effort per
transaction to obtain a duplicate copy of the invoice, receipt, or
cancelled check.
(e)(1) If the candidate, or his or her authorized committee(s),
receives contributions that are designated for use in connection with
the general election pursuant to 11 CFR 110.1(b) prior to the date of
the primary election, such candidate or such committee(s) shall use an
acceptable accounting method to distinguish between contributions
received for the primary election and contributions received for the
general election. Acceptable accounting methods include, but are not
limited to:
(i) The designation of separate accounts for each election, caucus
or convention; or
(ii) The establishment of separate books and records for each
election.
(2) Regardless of the method used under paragraph (e)(1) of this
section, an authorized committee's records must demonstrate that, prior
to the primary election, recorded cash on hand was at all times equal to
or in excess of the sum of general election contributions received less
the sum of general election disbursements made.
(3) If a candidate is not a candidate in the general election, any
contributions made for the general election shall be refunded to the
contributors, redesignated in accordance with 11 CFR 110.1(b)(5) or
110.2(b)(5), or reattributed in accordance with 11 CFR 110.1(k)(3), as
appropriate.
(f) The treasurer shall maintain the documentation required by 11
CFR 110.1(l), concerning designations, redesignations, reattributions
and the dates of contributions. If the treasurer does not maintain this
documentation, 11 CFR 110.1(l)(5) shall apply.
[45 FR 15104, Mar. 7, 1980, as amended at 52 FR 773, Jan. 9, 1987; 67 FR
69946, Nov. 19, 2002;79 FR 16663, Mar. 26, 2014]
Sec. 102.10 Disbursement by check (52 U.S.C. 30102 (h)(1)).
All disbursements by a political committee, except for disbursements
from the petty cash fund under 11 CFR 102.11, shall be made by check or
similar draft drawn on account(s) established at the committee's
campaign depository or depositories under 11 CFR part 103.
Sec. 102.11 Petty cash fund (52 U.S.C. 30102(h)(2)).
A political committee may maintain a petty cash fund out of which it
may make expenditures not in excess of $100 to any person per purchase
or transaction. If a petty cash fund is maintained, it shall be the duty
of the treasurer of the political committee to keep and maintain a
written journal of all disbursements. This written journal shall include
the name and address of every person to whom any disbursement is made,
as well as the date,
[[Page 85]]
amount, and purpose of such disbursement. In addition, if any
disbursement is made for a candidate, the journal shall include the name
of that candidate and the office (including State and Congressional
district) sought by such candidate.
Sec. 102.12 Designation of principal campaign committee
(52 U.S.C. 30102(e)(1) and (3)).
(a) Each candidate for Federal office (other than a nominee of a
political party to the Office of Vice President) shall designate in
writing a political committee to serve as his or her principal campaign
committee in accordance with 11 CFR 101.1(a) no later than 15 days after
becoming a candidate. Each principal campaign committee shall register,
designate a depository and report in accordance with 11 CFR parts 102,
103 and 104.
(b) No political committee may be designated as the principal
campaign committee of more than one candidate.
(c)(1) No political committee which supports or has supported more
than one candidate may be designated as a principal campaign committee,
except that, after nomination, a candidate for the office of President
of the United States nominated by a political party may designate the
national committee of such political party as his or her principal
campaign committee. A national committee which is so designated shall
maintain separate books of account with respect to its function as a
principal campaign committee.
(2) For purposes of 11 CFR 102.12(c), the term support does not
include contributions by an authorized committee in amounts aggregating
$2,000 or less per election to an authorized committee of any other
candidate, except that the national committee of a political party which
has been designated as the principal campaign committee of that party's
Presidential candidate may contribute to another candidate in accordance
with 11 CFR part 110.
[45 FR 15104, Mar. 7, 1980, as amended at 71 FR 54899, Sept. 20, 2006]
Sec. 102.13 Authorization of political committees
(52 U.S.C. 30102(e)(1) and (3)).
(a)(1) Any political committee authorized by a candidate to receive
contributions or make expenditures shall be authorized in writing by the
candidate. Such authorization must be filed with the principal campaign
committee in accordance with 11 CFR 102.1(b).
(2) If an individual fails to disavow activity pursuant to 11 CFR
100.3(a)(3) and is therefore a candidate upon notice by the Commission,
he or she shall authorize the committee in writing.
(b) A candidate is not required to authorize a national, State or
subordinate State party committee which solicits funds to be expended on
the candidate's behalf pursuant to 11 CFR part 109, subpart D.
(c)(1) No political committee which supports or has supported more
than one candidate may be designated as an authorized committee, except
that two or more candidates may designate a political committee
established solely for the purpose of joint fundraising by such
candidates as an authorized committee.
(2) For purposes of 11 CFR 102.13(c), the term support does not
include contributions by an authorized committee in amounts aggregating
$2,000 or less per election to an authorized committee of any other
candidate, except that the national committee of a political party which
has been designated as the principal campaign committee of that party's
Presidential candidate may contribute to another candidate in accordance
with 11 CFR part 109, subpart D and 11 CFR part 110.
[45 FR 15104, Mar. 7, 1980, as amended at 67 FR 78680, Dec. 26, 2002; 71
FR 54899, Sept. 20, 2006]
Sec. 102.14 Names of political committees (52 U.S.C. 30102(e)(4)
and (5)).
(a) The name of each authorized committee shall include the name of
the candidate who authorized such committee. Except as provided in
paragraph (b) of this section, no unauthorized committee shall include
the name
[[Page 86]]
of any candidate in its name. For purposes of this paragraph, ``name''
includes any name under which a committee conducts activities, such as
solicitations or other communications, including a special project name
or other designation.
(b)(1) A delegate committee, as defined at 11 CFR 100.5(e)(5), shall
include the word delegate(s) in its name and may also include in its
name the name of the presidential candidate which the delegate committee
supports.
(2) A political committee established solely to draft an individual
or to encourage him or her to become a candidate may include the name of
such individual in the name of the committee provided the committee's
name clearly indicates that it is a draft committee.
(3) An unauthorized political committee may include the name of a
candidate in the title of a special project name or other communication
if the title clearly and unambiguously shows opposition to the named
candidate.
(c) The name of a separate segregated fund established pursuant to
11 CFR 102.1(c) shall include the full name of its connected
organization. Such fund may also use a clearly recognized abbreviation
or acronym by which the connected organization is commonly known. Both
the full name and such abbreviation or acronym shall be included on the
fund's Statement of Organization, on all reports filed by the fund, and
in all notices required by 11 CFR 109.11 and 110.11. The fund may make
contributions using its acronym or abbreviated name. A fund established
by a corporation which has a number of subsidiaries need not include the
name of each subsidiary in its name. Similarly, a separate segregated
fund established by a subsidiary need not include in its name the name
of its parent or another subsidiary of its parent.
[45 FR 15104, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 57
FR 31426, July 15, 1992; 59 FR 17269, Apr. 12, 1994; 59 FR 35785, July
13, 1994; 67 FR 78680, Dec. 26, 2002]
Sec. 102.15 Commingled funds (52 U.S.C. 30102(b)(3)).
All funds of a political committee shall be segregated from, and may
not be commingled with, any personal funds of officers, members or
associates of that committee, or with the personal funds of any other
individual. See also 11 CFR 103.3 and part 114 and 52 U.S.C. 30118.
[45 FR 15104, Mar. 7, 1980, as amended at 79 FR 77846, Dec. 29, 2014]
Sec. 102.16 Notice: Solicitation of contributions (52 U.S.C. 30120).
Each political committee shall comply with the notice requirements
for solicitation of contributions set forth at 11 CFR 110.11.
Sec. 102.17 Joint fundraising by committees other than separate
segregated funds.
(a) General. Nothing in this section shall supersede 11 CFR part
300, which prohibits any person from soliciting, receiving, directing,
transferring, or spending any non-Federal funds, or from transferring
Federal funds for Federal election activities.
(1)(i) Political committees may engage in joint fundraising with
other political committees or with unregistered committees or
organizations. The participants in a joint fundraising effort under this
section shall either establish a separate committee or select a
participating committee, to act as fundraising representative for all
participants. The fundraising representative shall be a reporting
political committee and an authorized committee of each candidate for
federal office participating in the joint fundraising activity. If the
participants establish a separate committee to act as the fundraising
representative, the separate committee shall not be a participant in any
other joint fundraising effort, but the separate committee may conduct
more than one joint fundraising effort for the participants.
(ii) The participants may hire a commercial fundraising firm or
other agent to assist in conducting the joint fundraising activity. In
that case, however, the fundraising representative shall still be
responsible for ensuring that the recordkeeping and reporting
requirements set forth in this section are met.
[[Page 87]]
(2) The procedures in 11 CFR 102.17(c) will govern all joint
fundraising activity conducted under this section. The participants in
joint fundraising activity may include political party committees
(whether or not they are political committees under 11 CFR 100.5),
candidate committees, multicandidate committees, and unregistered
organizations which do not qualify as collecting agents under 11 CFR
102.6(b).
(3) A fundraising representative conducting joint fundraising under
this section is distinguished from an unregistered organization acting
as a collecting agent under 11 CFR 102.6(b). If a separate segregated
fund or an unregistered organization qualifies and acts as a collecting
agent under 11 CFR 102.6(b), the provisions of 11 CFR 102.17 will not
apply to that fundraising activity.
(b) Fundraising representatives--(1) Separate fundraising committee
as fundraising representative. Participating committees may establish a
separate political committee to act as fundraising representative for
all participants. This separate committee shall be a reporting political
committee and shall collect contributions, pay fundraising costs from
gross proceeds and from funds advanced by participants, and disburse net
proceeds to each participant.
(2) Participating committee as fundraising representative. All
participating committees may select one participant to act as
fundraising representative for all participants. The fundraising
representative must be a political committee as defined in 11 CFR 100.5.
The fundraising representative and any other participating committees
may collect contributions; however, all contributions received by other
participants shall be forwarded to the fundraising representative as
required by 11 CFR 102.8. The fundraising representative shall pay
fundraising costs from gross proceeds and from funds advanced by
participants and shall disburse net proceeds to each participant.
(3) Funds advanced for fundraising costs. (i) Except as provided in
11 CFR 102.17(b) (3)(ii) and (iii), the amount of funds advanced by each
participant for fundraising costs shall be in proportion to the
allocation formula agreed upon under 11 CFR 102.17 (c)(1).
(ii) A participant may advance more than its proportionate share of
the fundraising costs, however, the amount advanced which is in excess
of the participant's proportionate share shall not exceed the amount
that participant could legally contribute to the remaining participants.
See 11 CFR 102.12(c)(2) and part 110.
(iii) If all the participants are affiliated under 11 CFR 110.3 or
if the participants are all party committees of the same political
party, there is no limit on the amount a participant may advance for
fundraising costs on behalf of the other participants.
(c) Joint fundraising procedures. The requirements of 11 CFR
102.17(c)(1) through (8) shall govern joint fundraising activity
conducted under this section.
(1) Written agreement. The participants in a joint fundraising
activity shall enter into a written agreement, whether or not all
participants are political committees under 11 CFR 100.5. The written
agreement shall identify the fundraising representative and shall state
a formula for the allocation of fundraising proceeds. The formula shall
be stated as the amount or percentage of each contribution received to
be allocated to each participant. The fundraising representative shall
retain the written agreement for a period of three years and shall make
it available to the Commission on request.
(2) Fundraising notice. In addition to any notice required under 11
CFR 110.11, a joint fundraising notice shall be included with every
solicitation for contributions.
(i) This notice shall include the following information:
(A) The names of all committees participating in the joint
fundraising activity whether or not such committees are political
committees under 11 CFR 100.5; and
(B) The allocation formula to be used for distributing joint
fundraising proceeds; and
(C) A statement informing contributors that, notwithstanding the
stated allocation formula, they may designate their contributions for a
particular participant or participants; and
[[Page 88]]
(D) A statement informing contributors that the allocation formula
may change if a contributor makes a contribution which would exceed the
amount that contributor may give to any participant.
(ii) In the following situations, the notice shall include the
following additional information:
(A) If one or more participants engage in the joint fundraising
activity solely to satisfy outstanding debts, a statement informing
contributors that the allocation formula may change if a participant
receives sufficient funds to pay its outstanding debts; and
(B) If one or more participants can lawfully accept contributions
that are prohibited under the Act, a statement informing contributors
that contributions from prohibited sources will be distributed only to
those participants that can accept them.
(3) Separate depository account. (i) The participants or the
fundraising representative shall establish a separate depository account
to be used solely for the receipt and disbursement of the joint
fundraising proceeds. All contributions deposited into the separate
depository account must be permissible under the Act. Each political
committee shall amend its Statement of Organization to reflect the
account as an additional depository. If one or more participants can
lawfully accept contributions that are prohibited under the Act, the
participants may either establish a second depository account for
contributions received from prohibited sources or they may forward such
contributions directly to the nonfederal participants.
(ii) The fundraising representative shall deposit all joint
fundraising proceeds in the separate depository account within ten days
of receipt as required by 11 CFR 103.3. The fundraising representative
may delay distribution of the fundraising proceeds to the participants
until all contributions are received and all expenses are paid.
(iii) For contribution reporting and limitation purposes, the date
of receipt of a contribution by a participating political committee is
the date that the contribution is received by the fundraising
representative. The fundraising representative shall report
contributions in the reporting period in which they are received.
Participating political committees shall report joint fundraising
proceeds in accordance with 11 CFR 102.17(c)(8) when such funds are
received from the fundraising representative.
(4) Recordkeeping requirements. (i) The fundraising representative
and participating committees shall screen all contributions received to
insure that the prohibitions and limitations of 11 CFR parts 110 and 114
are observed. Participating political committees shall make their
contributor records available to the fundraising representative to
enable the fundraising representative to carry out its duty to screen
contributions.
(ii) The fundraising representative shall collect and retain
contributor information with regard to gross proceeds as required under
11 CFR 102.8 and shall also forward such information to participating
political committees. The fundraising representative shall also keep a
record of the total amount of contributions received from prohibited
sources, if any, and of all transfers of prohibited contributions to
participants that can accept them.
(iii) The fundraising representative shall retain the records
required under 11 CFR 102.9 regarding fundraising disbursements for a
period of three years. Commercial fundraising firms or agents shall
forward such information to the fundraising representative.
(5) Contribution limitations. Except to the extent that the
contributor has previously contributed to any of the participants, a
contributor may make a contribution to the joint fundraising effort
which contribution represents the total amount that the contributor
could contribute to all of the participants under the applicable limits
of 11 CFR 110.1 and 110.2.
(6) Allocation of gross proceeds. (i) The fundraising representative
shall allocate proceeds according to the formula stated in the
fundraising agreement. If distribution according to the allocation
formula extinguishes the debts of one or more participants and results
in a surplus for those participants or if distribution under the formula
results in a violation of the contribution limits of 11 CFR 110.1(a),
the fundraising
[[Page 89]]
representative may reallocate the excess funds. Reallocation shall be
based upon the remaining participants' proportionate shares under the
allocation formula. If reallocation results in a violation of a
contributor's limit under 11 CFR 110.1, the fundraising representative
shall return to the contributor the amount of the contribution that
exceeds the limit.
(ii) Designated contributions which exceed the contributor's limit
to the designated participant under 11 CFR part 110 may not be
reallocated by the fundraising representative absent the prior written
permission of the contributor.
(iii) If any participants can lawfully accept contributions from
sources prohibited under the Act, any such contributions that are
received are not required to be distributed according to the allocation
formula.
(7) Allocation of expenses and distribution of net proceeds. (i) If
participating committees are not affiliated as defined in 11 CFR 110.3
prior to the joint fundraising activity and are not committees of the
same political party;
(A) After gross contributions are allocated among the participants
under 11 CFR 102.17(c)(6), the fundraising representative shall
calculate each participant's share of expenses based on the percentage
of the total receipts each participant had been allocated. If
contributions from sources prohibited under the Act have been received
and distributed under 11 CFR 102.17(c)(6)(iii), those contributions need
not be included in the total receipts for the purpose of allocating
expenses under this section. To calculate each participant's net
proceeds, the fundraising representative shall subtract the
participant's share of expenses from the amount that participant has
been allocated from gross proceeds.
(B) A participant may only pay expenses on behalf of another
participant subject to the contribution limits of 11 CFR part 110.
(C) The expenses from a series of fundraising events or activities
shall be allocated among the participants on a per-event basis
regardless of whether the participants change or remain the same
throughout the series.
(ii) If participating committees are affiliated as defined in 11 CFR
110.3 prior to the joint fundraising activity or if participants are
party committees of the same political party, expenses need not be
allocated among those participants. Payment of such expenses by an
unregistered committee or organization on behalf of an affiliated
political committee may cause the unregistered organization to become a
political committee.
(iii) Payment of expenses may be made from gross proceeds by the
fundraising representative.
(8) Reporting of receipts and disbursements--(i) Reporting receipts.
(A) The fundraising representative shall report all funds received in
the reporting period in which they are received. The fundraising
representative shall report the total amount of contributions received
from prohibited sources during the reporting period, if any, as a memo
entry. Each Schedule A filed by the fundraising representative under
this section shall clearly indicate that the contributions reported on
that schedule represent joint fundraising proceeds.
(B) After distribution of net proceeds, each participating political
committee shall report its share of net proceeds received as a transfer-
in from the fundraising representative. Each participating political
committee shall also file a memo Schedule A itemizing its share of gross
receipts as contributions from original contributors to the extent
required under 11 CFR 104.3(a).
(ii) Reporting disbursements. The fundraising representative shall
report all disbursements in the reporting period in which they are made.
[48 FR 26301, June 7, 1983, as amended at 56 FR 35909, July 29, 1991; 67
FR 49112, July 29, 2002]
PART 103_CAMPAIGN DEPOSITORIES (52 U.S.C. 30102(h))--Table of Contents
Sec.
103.1 Notification of the commission.
103.2 Depositories (52 U.S.C. 30102(h)(1)).
103.3 Deposit of receipts and disbursements (52 U.S.C. 30102(h)(1)).
103.4 Vice Presidential candidate campaign depositories.
Authority: 52 U.S.C. 30102(h), 30111(a)(8).
[[Page 90]]
Source: 45 FR 15108, Mar. 7, 1980, unless otherwise noted.
Sec. 103.1 Notification of the commission.
Each committee shall notify the Commission of the campaign
depository(ies) it has designated, pursuant to 11 CFR 101.1 and 103.2.
Sec. 103.2 Depositories (52 U.S.C. 30102(h)(1)).
Each political committee shall designate one or more State banks,
federally chartered depository institutions (including a national bank),
or depository institutions the depositor accounts of which are insured
by the Federal Deposit Insurance Corporation, Federal Savings and Loan
Insurance Corporation, or the National Credit Union Administration, as
its campaign depository or depositories. One or more depositories may be
established in one or more States. Each political committee shall
maintain at least one checking account or transaction account at one of
its depositories. Additional accounts may be established at each
depository.
Sec. 103.3 Deposit of receipts and disbursements (52 U.S.C. 30102(h)(1)).
(a) All receipts by a political committee shall be deposited in
account(s) established pursuant to 11 CFR 103.2, except that any
contribution may be, within 10 days of the treasurer's receipt, returned
to the contributor without being deposited. The treasurer of the
committee shall be responsible for making such deposits. All deposits
shall be made within 10 days of the treasurer's receipt. A committee
shall make all disbursements by check or similar drafts drawn on an
account at its designated campaign depository, except for expenditures
of $100 or less made from a petty cash fund maintained pursuant to 11
CFR 102.11. Funds may be transferred from the depository for investment
purposes, but shall be returned to the depository before such funds are
used to make expenditures.
(b) The treasurer shall be responsible for examining all
contributions received for evidence of illegality and for ascertaining
whether contributions received, when aggregated with other contributions
from the same contributor, exceed the contribution limitations of 11 CFR
110.1 or 110.2.
(1) Contributions that present genuine questions as to whether they
were made by corporations, labor organizations, foreign nationals, or
Federal contractors may be, within ten days of the treasurer's receipt,
either deposited into a campaign depository under 11 CFR 103.3(a) or
returned to the contributor. If any such contribution is deposited, the
treasurer shall make his or her best efforts to determine the legality
of the contribution. The treasurer shall make at least one written or
oral request for evidence of the legality of the contribution. Such
evidence includes, but is not limited to, a written statement from the
contributor explaining why the contribution is legal, or a written
statement by the treasurer memorializing an oral communication
explaining why the contribution is legal. If the contribution cannot be
determined to be legal, the treasurer shall, within thirty days of the
treasurer's receipt of the contribution, refund the contribution to the
contributor.
(2) If the treasurer in exercising his or her responsibilities under
11 CFR 103.3(b) determined that at the time a contribution was received
and deposited, it did not appear to be made by a corporation, labor
organization, foreign national or Federal contractor, or made in the
name of another, but later discovers that it is illegal based on new
evidence not available to the political committee at the time of receipt
and deposit, the treasurer shall refund the contribution to the
contributor within thirty days of the date on which the illegality is
discovered. If the political committee does not have sufficient funds to
refund the contribution at the time the illegality is discovered, the
political committee shall make the refund from the next funds it
receives.
(3) Contributions which on their face exceed the contribution
limitations set forth in 11 CFR 110.1 or 110.2, and contributions which
do not appear to be excessive on their face, but which exceed the
contribution limits set forth in 11 CFR 110.1 or 110.2 when aggregated
with other contributions from the same contributor, and contributions
which cannot be accepted under
[[Page 91]]
the net debts outstanding provisions of 11 CFR 110.1(b)(3) and
110.2(b)(3) may be either deposited into a campaign depository under 11
CFR 103.3(a) or returned to the contributor. If any such contribution is
deposited, the treasurer may request redesignation or reattribution of
the contribution by the contributor in accordance with 11 CFR 110.1(b),
110.1(k) or 110.2(b), as appropriate. If a redesignation or
reattribution is not obtained, the treasurer shall, within sixty days of
the treasurer's receipt of the contribution, refund the contribution to
the contributor.
(4) Any contribution which appears to be illegal under 11 CFR
103.3(b) (1) or (3), and which is deposited into a campaign depository
shall not be used for any disbursements by the political committee until
the contribution has been determined to be legal. The political
committee must either establish a separate account in a campaign
depository for such contributions or maintain sufficient funds to make
all such refunds.
(5) If a contribution which appears to be illegal under 11 CFR
103.3(b) (1) or (3) is deposited in a campaign depository, the treasurer
shall make and retain a written record noting the basis for the
appearance of illegality. A statement noting that the legality of the
contribution is in question shall be included in the report noting the
receipt of the contribution. If a contribution is refunded to the
contributor because it cannot be determined to be legal, the treasurer
shall note the refund on the report covering the reporting period in
which the refund is made.
[52 FR 774, Jan. 9, 1987]
Sec. 103.4 Vice Presidential candidate campaign depositories.
Any campaign depository designated by the principal campaign
committee of a political party's candidate for President shall be the
campaign depository for that political party's candidate for the office
of Vice President.
PART 104_REPORTS BY POLITICAL COMMITTEES AND OTHER PERSONS
(52 U.S.C. 30104)--Table of Contents
Sec.
104.1 Scope (52 U.S.C. 30104(a)).
104.2 Forms.
104.3 Contents of reports (52 U.S.C. 30104(b), 30114).
104.4 Independent expenditures by political committees (52 U.S.C.
30104(b), (d), and (g)).
104.5 Filing dates (52 U.S.C. 30104(a)(2)).
104.6 Form and content of internal communications reports (52 U.S.C.
30101(9)(B)(iii)).
104.7 Best efforts (52 U.S.C. 30102(i)).
104.8 Uniform reporting of receipts.
104.9 Uniform reporting of disbursements.
104.10 Reporting by separate segregated funds and nonconnected
committees of expenses allocated among candidates and
activities.
104.11 Continuous reporting of debts and obligations.
104.12 Beginning cash on hand for political committees.
104.13 Disclosure of receipt and consumption of in-kind contributions.
104.14 Formal requirements regarding reports and statements.
104.15 Sale or use restriction (52 U.S.C. 30111(a)(4)).
104.16 Audits (52 U.S.C. 30111(b)).
104.17 Reporting of allocable expenses by party committees.
104.18 Electronic filing of reports (52 U.S.C. 30102(d) and
30104(a)(11)).
104.19 [Reserved]
104.20 Reporting electioneering communications (2 U.S.C. 434(f)).
104.21 Reporting by inaugural committees.
104.22 Disclosure of bundling by Lobbyist/Registrants and Lobbyist/
Registrant PACs (52 U.S.C. 30104(i)).
Authority: 52 U.S.C. 30101(1), 30101(8), 30101(9), 30102(g) and (i),
30104, 30111(a)(8) and (b), 30114, 30116, 36 U.S.C. 510.
Source: 45 FR 15108, Mar. 7, 1980, unless otherwise noted.
Sec. 104.1 Scope (52 U.S.C. 30104(a)).
(a) Who must report. Each treasurer of a political committee
required to register under 11 CFR part 102 shall report in accordance
with 11 CFR part 104.
(b) Who may report. An individual seeking federal office who has not
attained candidate status under 11 CFR 100.3, the committee of such an
individual or any other committee may voluntarily register and report in
accordance with 11 CFR parts 102 and 104.
[[Page 92]]
An individual shall not become a candidate solely by voluntarily filing
a report, nor shall such individual, the individual's committee, nor any
other committee be required to file all reports under 11 CFR 104.5,
unless the individual becomes a candidate under 11 CFR 100.3 or unless
the committee becomes a political committee under 11 CFR 100.5.
Sec. 104.2 Forms.
(a) Each report filed by a political committee under 11 CFR part 104
shall be filed on the appropriate FEC form as set forth below at 11 CFR
104.2(e).
(b) Forms may be obtained from the Federal Election Commission at
https://www.fec.gov/help-candidates-and-committees/forms/ or at the
street address identified in the definition of ``Commission'' in Sec.
1.2.
(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; 82 FR 60853, Dec. 26, 2017; 86 FR 72784, Dec.
23, 2021]
Sec. 104.3 Contents of reports (52 U.S.C. 30104(b), 30114).
(a) Reporting of receipts. Each report filed under Sec. 104.1 shall
disclose the total amount of receipts for the reporting period and for
the calendar year (or for the election cycle, in the case of an
authorized committee) and shall disclose the information set forth at
paragraphs (a)(1) through (a)(4) of this section. The first report filed
by a political committee shall also include all amounts received prior
to becoming a political committee under Sec. 100.5 of this chapter,
even if such amounts were not received during the current reporting
period.
(1) Cash on hand. The amount of cash on hand at the beginning of the
reporting period, including: currency; balance on deposit in banks,
savings and loan institutions, and other depository institutions;
traveler's checks owned by the committee; certificates of deposit,
treasury bills and any other committee investments valued at cost.
(2) Categories of receipts for all political committees other than
authorized committees. All committees other than authorized committees
shall report the total amount of receipts received during the reporting
period and, except for itemized and unitemized breakdowns, during the
calendar year for each of the following categories:
(i) Contributions from persons other than any committees;
(A) Itemized contributions from persons, other than any committees,
including contributions from individuals;
(B) Unitemized contributions from persons, other than any
committees, including contributions from individuals;
(C) Total contributions from persons other than any committees,
including contributions from individuals;
(ii) Contributions from political party committees, including
contributions from party committees which are not political committees
under the Act;
(iii) Contributions from political committees, including
contributions from committees which are not political committees under
the Act but excluding contributions from any party committees;
(iv) Total contributions;
(v) Transfers from affiliated committees or organizations and, where
the reporting committee is a political party committee, transfers from
other party
[[Page 93]]
committees of the same party, regardless of whether such committees are
affiliated;
(vi) All loans;
(vii) Offsets to operating expenditures;
(A) Itemized offsets to operating expenditures (such as rebates and
refunds);
(B) Unitemized offsets to operating expenditures (such as rebates
and refunds);
(C) Total offsets to operating expenditures;
(viii) Other receipts:
(A) Itemized other receipts (such as dividends and interest);
(B) Unitemized other receipts (such as dividends and interest);
(C) The total sum of all other receipts.
(ix) The total sum of all receipts.
(3) Categories of receipts for authorized committees. An authorized
committee of a candidate for Federal office shall report the total
amount of receipts received during the reporting period and, except for
itemized and unitemized breakdowns, during the election cycle in each of
the following categories:
(i) Contributions from persons other than any committees;
(A) Itemized contributions from persons, other than any committees,
including contributions from individuals, but excluding contributions
from a candidate to his or her authorized committees;
(B) Unitemized contributions from persons, other than any
committees, including contributions from individuals, but excluding
contributions from a candidate to his or her authorized committees;
(C) Total contributions from persons other than any committees,
including contributions from individuals, but excluding contributions
from a candidate to his or her authorized committees;
(ii) Contributions from the candidate, excluding loans which are
reported under 11 CFR 104.3(a)(3)(vii));
(iii) Contributions from political party committees, including party
committees which are not political committees under the Act, except that
expenditures made under 11 CFR part 109, subpart D (52 U.S.C.
30116(d)),by a party committee shall not be reported as contributions by
the authorized committee on whose behalf they are made;
(iv) Contributions from committees, including contributions from
committees which are not political committees under the Act, but
excluding contributions from any party committees;
(v) Total contributions;
(vi) Transfers from other authorized committee(s) of the same
candidate, regardless of amount;
(vii) Loans;
(A) All loans to the committee, except loans made, guaranteed, or
endorsed by a candidate to his or her authorized committee;
(B) 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 the 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 authorized committee or agent of such committee; and
(C) For an independent expenditure that is made in support of or
opposition to a presidential primary candidate and is publicly
distributed or otherwise publicly disseminated in six or more states but
does not refer to any particular state, the political committee must
report the independent expenditure as a single expenditure--i.e.,
without allocating it among states--and must indicate the state with the
next upcoming presidential primary among those states where the
independent expenditure is distributed, as specified in Sec.
104.4(f)(2). The political committee must use memo text to indicate the
states in which the communication is distributed.
(D) The information required by paragraphs (b)(3)(vii)(A) through
(C) of this section 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
[[Page 94]]
shall also include the total of all such expenditures of $200 or less
made during the reporting period.
(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 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
[[Page 95]]
amounts were not disbursed during the current reporting period.
(1) Categories of disbursements for political committees other than
authorized committees. All political committees other than authorized
committees shall report the total amount of disbursements made during
the reporting period and, except for itemized and unitemized breakdowns,
during the calendar year in each of the following categories:
(i) Operating expenditures;
(A) Itemized operating expenditures;
(B) Unitemized operating expenditures;
(C) Total operating expenditures;
(ii) Transfers to affiliated committees or organizations and, where
the reporting committee is a political party committee, transfers to
other political party committees regardless of whether they are
affiliated;
(iii) Repayment of all loans;
(iv) Offsets;
(A) Itemized offsets to contributions (including contribution
refunds);
(B) Unitemized offsets to contributions (including contribution
refunds);
(C) Total offsets to contributions;
(v) Contributions made to other political committees;
(vi) Loans made by the reporting committee;
(vii) Independent expenditures made by the reporting committee;
(viii) Expenditures made under 11 CFR part 109, subpart D (52 U.S.C.
30116(d)), See 11 CFR 104.3(a)(3)(iii);
(ix) Other disbursements;
(A) Itemized other disbursements;
(B) Unitemized other disbursements;
(C) Total other disbursements;
(x) Total disbursements.
(2) Categories of disbursements for authorized committees. An
authorized committee of a candidate for Federal office shall report the
total amount of disbursements made during the reporting period and,
except for itemized and unitemized breakdowns, during the election cycle
in each of the following categories:
(i) Operating expenditures;
(A) Itemized operating expenditures;
(B) Unitemized operating expenditures;
(C) Total operating expenditures;
(ii) Transfers to other committees authorized by the same candidate;
(iii) Repayment of loans;
(A) Repayment of loans made, guaranteed, or endorsed by the
candidate to his or her authorized committee including loans derived
from a bank loan to the candidate or from an advance on a candidate's
brokerage account, credit card, home equity line of credit, or other
lines of credit described in 11 CFR 100.83 and 100.143;
(B) Repayment of all other loans;
(C) Total loan repayments;
(iv) For an authorized committee of a candidate for the office of
President, disbursements not subject to the limitations of 11 CFR 110.8
(52 U.S.C. 30116(b));
(v) Offsets;
(A) Itemized offsets to contributions (including contribution
refunds);
(B) Unitemized offsets to contributions (including contribution
refunds);
(C) Total offsets to contributions;
(vi) Other disbursements;
(A) Itemized other disbursements;
(B) Unitemized other disbursements;
(C) Total other disbursements;
(vii) Total disbursements.
(3) Itemization of disbursements by political committees other than
authorized committees. Each political committee, other than an
authorized committee, shall report the full name and address of each
person in each of the following categories, as well as the information
required by each category;
(i) Each person to whom an expenditure in an aggregate amount or
value in excess of $200 within the calendar year is made by the
reporting committee to meet the committee's operating expenses, together
with the date, amount, and purpose of such operating expenditure;
(A) As used in 11 CFR 104.3(b)(3), purpose means a brief statement
or description of why the disbursement was made.
(B) Examples of statements or descriptions which meet the
requirements of 11 CFR 104.3(b)(3) include the following: dinner
expenses, media, salary, polling, travel, party fees, phone banks,
travel expenses, travel expense reimbursement, and catering costs.
However, statements or descriptions such as advance, election day
expenses,
[[Page 96]]
other expenses, expenses, expense reimbursement, miscellaneous, outside
services, get-out-the-vote and voter registration would not meet the
requirements of 11 CFR 104.3(b)(3) for reporting the purpose of an
expenditure.
(ii) Each affiliated committee to which a transfer is made by the
reporting committee during the reporting period and, where the reporting
committee is a political party committee, each transfer of funds by the
reporting committee to another political party committee, regardless of
whether such committees are affiliated, together with the date and
amount of such transfer;
(iii) Each person who receives a loan repayment from the reporting
committee during the reporting period, together with the date and amount
of such loan repayment;
(iv) Each person who receives a contribution refund or other offset
to contributions from the reporting committee where such contribution
refund was reported under 11 CFR 104.3(b)(1)(iv), together with the date
and amount of such refund or offset;
(v) Each political committee which has received a contribution from
the reporting committee during the reporting period, together with the
date and amount of any such contribution, and, in the case of a
contribution to an authorized committee, the candidate's name and office
sought (including State and Congressional district, if applicable);
(vi) Each person who has received a loan from the reporting
committee during the reporting period, together with the date and amount
or value of such loan;
(vii) (A) Each person who receives any disbursement during the
reporting period in an aggregate amount or value in excess of $200
within the calendar year in connection with an independent expenditure
by the reporting committee, together with the date, amount, and purpose
of any such independent expenditure(s);
(B) For each independent expenditure reported, the committee must
also provide a statement which indicates whether such independent
expenditure is in support of, or in opposition to a particular
candidate, as well as the name of the candidate and office sought by
such candidate (including State and Congressional district, when
applicable), and a certification, under penalty of perjury, as to
whether such independent expenditure is made in cooperation,
consultation or concert with, or at the request or suggestion of, any
candidate or any authorized committee or agent of such committee;
(C) The information required by 11 CFR 104.3(b)(3)(vii) (A) and (B)
shall be reported on Schedule E as part of a report covering the
reporting period in which the aggregate disbursements for any
independent expenditure to any person exceed $200 per calendar year.
Schedule E shall also include the total of all such expenditures of $200
or less made during the reporting period.
(viii) Each person who receives any expenditure from the reporting
committee during the reporting period in connection with an expenditure
under 11 CFR part 109, subpart D (52 U.S.C. 30116(d)),together with the
date, amount, and purpose of any such expenditure as well as the name
of, and office sought by (including State and Congressional district,
when applicable), the candidate on whose behalf the expenditure is made;
and
(ix) Each person who has received any disbursement within the
reporting period not otherwise disclosed in accordance with 11 CFR
104.3(b)(3) to whom the aggregate amount or value of disbursements made
by the reporting committee exceeds $200 within the calendar year,
together with the date, amount and purpose of any such disbursement.
(4) Itemization of disbursements by authorized committees. Each
authorized committee shall report the full name and address of each
person in each of the following categories, as well as the information
required by each category.
(i) Each person to whom an expenditure in an aggregate amount or
value in excess of $200 within the election cycle is made by the
reporting authorized committee to meet the authorized committee's
operating expenses, together with the date, amount and purpose of each
expenditure.
(A) As used in this paragraph, purpose means a brief statement or
description
[[Page 97]]
of why the disbursement was made. Examples of statements or descriptions
which meet the requirements of this paragraph include the following:
dinner expenses, media, salary, polling, travel, party fees, phone
banks, travel expenses, travel expense reimbursement, and catering
costs. However, statements or descriptions such as advance, election day
expenses, other expenses, expenses, expense reimbursement,
miscellaneous, outside services, get-out-the-vote and voter registration
would not meet the requirements of this paragraph for reporting the
purpose of an expenditure.
(B) In addition to reporting the purpose described in paragraph
(b)(4)(i)(A) of this section, whenever an authorized committee itemizes
a disbursement that is partially or entirely a personal use for which
reimbursement is required under 11 CFR 113.1(g)(1)(ii)(C) or (D), it
shall provide a brief explanation of the activity for which
reimbursement is required.
(ii) Each authorized committee of the same candidate to which a
transfer is made by the reporting committee during the reporting period,
together with the date and amount of such transfer;
(iii) Each person who receives a loan repayment, including a
repayment of a loan of money derived from an advance on a candidate's
brokerage account, credit card, home equity line of credit, or other
lines of credit described in 11 CFR 100.83 and 100.143, from the
reporting committee during the reporting period, together with the date
and amount of such loan repayment;
(iv) [Reserved]
(v) Each person who receives a contribution refund or other offset
to contributions from the reporting committee where such contribution
refund was reported under 11 CFR 104.3(b)(2)(v), together with the date
and amount of such refund or offset.
(vi) Each person who has received any disbursement(s) not otherwise
disclosed under paragraph (b)(4) of this section to whom the aggregate
amount or value of such disbursements exceeds $200 within the election
cycle, together with the date, amount, and purpose of any such
disbursement.
(c) Summary of contributions and operating expenditures. Each report
filed pursuant to Sec. 104.1 shall disclose for both the reporting
period and the calendar year (or the election cycle, in the case of the
authorized committee):
(1)(i) The total contributions to the reporting committee;
(ii) The total offsets to contributions;
(iii) The net contributions (subtract total offsets from total
contributions);
(2)(i) The reporting committee's total operating expenditures;
(ii) The total offsets to operating expenditures;
(iii) The net operating expenditures (subtract total offsets from
total operating expenditures).
(d) Reporting debts and obligations. Each report filed under 11 CFR
104.1 shall, on Schedule C or D, as appropriate, disclose the amount and
nature of outstanding debts and obligations owed by or to the reporting
committee. Loans, including a loan of money derived from an advance on a
candidate's brokerage account, credit card, home equity line of credit,
or other lines of credit described in 11 CFR 100.83, obtained by an
individual prior to becoming a candidate for use in connection with that
individual's campaign shall be reported as an outstanding loan owed to
the lender by the candidate's principal campaign committee, if such
loans are outstanding at the time the individual becomes a candidate.
Where such debts and obligations are settled for less than their
reported amount or value, each report filed under 11 CFR 104.1 shall
contain a statement as to the circumstances and conditions under which
such debts or obligations were extinguished and the amount paid. See 11
CFR 116.7.
(1) In addition, when a political committee obtains a loan from, or
establishes a line of credit at, a lending institution as described in
11 CFR 100.82(a) through (d) and 100.142(a) through (d), it shall
disclose in the report covering the period when the loan was obtained,
the following information on schedule C-1 or C-P-1:
(i) The date and amount of the loan or line of credit;
(ii) The interest rate and repayment schedule of the loan, or of
each draw on the line of credit;
[[Page 98]]
(iii) The types and value of traditional collateral or other sources
of repayment that secure the loan or the line of credit, and whether
that security interest is perfected;
(iv) An explanation of the basis upon which the loan was made or the
line of credit established, if not made on the basis of either
traditional collateral or the other sources of repayment described in 11
CFR 100.82(e)(1) and (2) and 100.142(e)(1) and (2); and
(v) A certification from the lending institution that the borrower's
responses to paragraphs (d)(1)(i)-(iv) of this section are accurate, to
the best of the lending institution's knowledge; that the loan was made
or the line of credit established on terms and conditions (including
interest rate) no more favorable at the time than those imposed for
similar extensions of credit to other borrowers of comparable credit
worthiness; and that the lending institution is aware of the requirement
that a loan or a line of credit must be made on a basis which assures
repayment and that the lending institution has complied with Commission
regulations at 11 CFR 100.82(a) through (d) and 100.142(a) through (d).
(2) The political committee shall submit a copy of the loan or line
of credit agreement which describes the terms and conditions of the loan
or line of credit when it files Schedule C-1 or C-P-1. This paragraph
(d)(2) shall not apply to any Schedule C-1 or C-P-1 that is filed
pursuant to paragraph (d)(4) of this section.
(3) The political committee shall file in the next due report a
Schedule C-1 or C-P-1 each time a draw is made on a line of credit, and
each time a loan or line of credit is restructured to change the terms
of repayment. This paragraph (d)(3) shall not apply to any Schedule C-1
or C-P-1 that is filed pursuant to paragraph (d)(4) of this section.
(4) When a candidate obtains a bank loan or loan of money derived
from an advance on the candidate's brokerage account, credit card, home
equity line of credit, or other line of credit described in 11 CFR
100.83 and 100.143 for use in connection with the candidate's campaign,
the candidate's principal campaign committee shall disclose in the
report covering the period when the loan was obtained, the following
information on Schedule C-1 or C-P-1:
(i) The date, amount, and interest rate of the loan, advance, or
line of credit;
(ii) The name and address of the lending institution; and
(iii) The types and value of collateral or other sources of
repayment that secure the loan, advance, or line of credit, if any.
(e) Use of pseudonyms. (1) To determine whether the names and
addresses of its contributors are being used in violation of 11 CFR
104.15 to solicit contributions or for commercial purposes, a political
committee may submit up to ten (10) pseudonyms on each report filed.
(2) For purposes of this section, a pseudonym is a wholly fictitious
name which does not represent the name of an actual contributor to a
committee.
(3) If a committee uses pseudonyms it shall subtract the total
dollar amount of the fictitious contributions from the total amount
listed as a memo entry on line 11(a) of the Detailed Summary page,
Unitemized contributions from individual persons other than political
committees. Thus, the committee will, for this purpose only, be
overstating the amount of itemized contributions received and
understating the amount of unitemized contributions received.
(4) No authorized committee of a candidate shall attribute more than
$1,000 in contributions to the same pseudonym for each election and no
other political committee shall attribute more than $5,000 in
contributions to the same pseudonym in any calendar year.
(5) A committee using pseudonyms shall send a list of such
pseudonyms under separate cover directly to the Reports Analysis
Division, Federal Election Commission, at the street address identified
in the definition of ``Commission'' in Sec. 1.2 of this chapter, on or
before the date on which any report containing such pseudonyms is filed
with 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 any Secretary of State or equivalent state officer.
[[Page 99]]
(6) A political committee shall not use pseudonyms for the purpose
of circumventing the reporting requirements or the limitations and
prohibitions of the Act.
(f) Consolidated reports. Each principal campaign committee shall
consolidate in each report those reports required to be filed with it.
Such consolidated reports shall include: (1) Reports submitted to it by
any authorized committees and (2) the principal campaign committee's own
report. Such consolidation shall be made on FEC Form 3-Z and shall be
submitted with the reports of the principal campaign committee and with
the reports, or applicable portions thereof, of the committees shown on
the consolidation.
(g) Building funds. (1) A political party committee must report
gifts, subscriptions, loans, advances, deposits of money, or anything of
value that are used by the political party committee's Federal accounts
to defray the costs of construction or purchase of the committee's
office building. See 11 CFR 300.35. Such a receipt is a contribution
subject to the limitations and prohibitions of the Act and reportable as
a contribution, regardless of whether the contributor has designated the
funds or things of value for such purpose and regardless of whether such
funds are deposited in a separate Federal account dedicated to that
purpose.
(2) Gifts, subscriptions, loans, advances, deposits of money, or
anything of value that are donated to a non-Federal account of a State
or local party committee and are used by that party committee for the
purchase or construction of its office building are not contributions
subject to the reporting requirements of the Act. The reporting of such
funds or things of value is subject to State law.
(3) Gifts, subscriptions, loans, advances, deposits of money, or
anything of value that are used by a national committee of a political
party to defray the costs of construction or purchase of the national
committee's office building are contributions subject to the
requirements of paragraph (g)(1) of this section.
(h) Legal and accounting services. A committee which receives legal
or accounting services pursuant to 11 CFR 100.85 and 100.86 shall report
as a memo entry, on Schedule A, the amounts paid for these services by
the regular employer of the person(s) providing such services; the
date(s) such services were performed; and the name of each person
performing such services.
(i) Cumulative reports. The reports required to be filed under Sec.
104.5 shall be cumulative for the calendar year (or for the election
cycle, in the case of an authorized committee) to which they relate, but
if there has been no change in a category reported in a previous report
during that year (or during that election cycle, in the case of an
authorized committee), only the amount thereof need be carried forward.
(j) Earmarked contributions. Earmarked contributions shall be
reported in accordance with 11 CFR 110.6. See also 11 CFR 102.8(c).
(k) Reporting Election Cycle Activity Occurring Prior to January 1,
2001. The aggregate of each category of receipt listed in paragraph
(a)(3) of this section, except those in paragraphs (a)(3)(i)(A) and (B)
of this section, and for each category of disbursement listed in
paragraph (b)(2) of this section shall include amounts received or
disbursed on or after the day after the last general election for the
seat or office for which the candidate is running through December 31,
2000.
[45 FR 15108, Mar. 7, 1980]
Editorial Note: For Federal Register citations affecting Sec.
104.3, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
Sec. 104.4 Independent expenditures by political committees
(52 U.S.C. 30104(b), (d), and (g)).
(a) Regularly scheduled reporting. Every political committee that
makes independent expenditures must report all such independent
expenditures on Schedule E in accordance with 11 CFR 104.3(b)(3)(vii).
Every person that is not a political committee must report independent
expenditures in accordance with paragraphs (e) and (f) of this section
and 11 CFR 109.10.
(b) Reports of independent expenditures made at any time up to and
including the 20th day before an election--(1) Independent expenditures
aggregating less
[[Page 100]]
than $10,000 in a calendar year. For each election in which a political
committee makes independent expenditures, the political committee shall
aggregate its independent expenditures made in each calendar year to
determine its reporting obligation. When a committee makes independent
expenditures aggregating less than $10,000 for an election in any
calendar year, up to and including the 20th day before an election, the
committee must report those independent expenditures on Schedule E of
the applicable FEC Form, at the time of its regular reports in
accordance with 11 CFR 104.3, 104.5, and 104.9.
(2) Independent expenditures aggregating $10,000 or more in a
calendar year. For each election in which a political committee makes
independent expenditures, the political committee shall aggregate its
independent expenditures made in each calendar year to determine its
reporting obligation. When a committee makes independent expenditures
aggregating $10,000 or more for an election in any calendar year, up to
and including the 20th day before an election, it must report those
independent expenditures on Schedule E of the applicable FEC Form.
Political committees must ensure that the Commission receives these
reports by 11:59 p.m. Eastern Standard/Daylight Time on the second day
following the date on which a communication that constitutes an
independent expenditure is publicly distributed or otherwise publicly
disseminated. Each time subsequent independent expenditures relating to
the same election aggregate an additional $10,000 or more, the political
committee must ensure that the Commission receives a new 48-hour report
of the subsequent independent expenditures by 11:59 p.m. Eastern
Standard/Daylight Time on the second day following the date on which the
communication is publicly distributed or otherwise publicly
disseminated. (See paragraph (f) of this section for aggregation.) Each
48-hour report must contain the information required by 11 CFR
104.3(b)(3)(vii) indicating whether the independent expenditure is made
in support of, or in opposition to, the candidate involved. In addition
to other permissible means of filing, a political committee may file the
48-hour reports under this section by any of the means permissible under
11 CFR 100.19(d)(3).
(c) Reports of independent expenditures made less than 20 days, but
more than 24 hours before the day of an election. Political committees
must ensure that the Commission receives reports of independent
expenditures aggregating $1,000 or more with respect to a given
election, after the 20th day, but more than 24 hours before 12:01 a.m.
of the day of the election, by 11:59 p.m. Eastern Standard/Daylight Time
on the day following the date on which a communication is publicly
distributed or otherwise publicly disseminated. Each time subsequent
independent expenditures relating to the same election aggregate an
additional $1,000 or more, the political committee must ensure that the
Commission receives a new 24-hour report of the subsequent independent
expenditures by 11:59 p.m. Eastern Standard/Daylight Time on the day
following the date on which a communication that constitutes an
independent expenditure is publicly distributed or otherwise publicly
disseminated. (See paragraph (f) of this section for aggregation.) Each
24-hour report shall contain the information required by 11 CFR
104.3(b)(3)(vii) indicating whether the independent expenditure is made
in support of, or in opposition to, the candidate involved. Political
committees may file reports under this section by any of the means
permissible under 11 CFR 100.19(d)(3).
(d) Verification. Political committees must verify reports of
independent expenditures filed under paragraph (b) or (c) of this
section by one of the methods stated in paragraph (d)(1) or (2) of this
section. Any report verified under either of these methods shall be
treated for all purposes (including penalties for perjury) in the same
manner as a document verified by signature.
(1) For reports filed on paper (e.g., by hand-delivery, U.S. Mail or
facsimile machine), the treasurer of the political committee that made
the independent expenditure must certify, under penalty of perjury, the
independence of the expenditure by handwritten signature immediately
following the certification required by 11 CFR 104.3(b)(3)(vii).
[[Page 101]]
(2) For reports filed by electronic mail, the treasurer of the
political committee that made the independent expenditure shall certify,
under penalty of perjury, the independence of the expenditure by typing
the treasurer's name immediately following the certification required by
11 CFR 104.3(b)(3)(vii).
(e) Where to file. Reports of independent expenditures under this
section and 11 CFR 109.10(b) shall be filed as follows:
(1) For independent expenditures in support of, or in opposition to,
a candidate for President or Vice President: with the Commission and the
Secretary of State for the State in which the expenditure is made.
(2) For independent expenditures in support of, or in opposition to,
a candidate for the U.S. Senate or the House of Representatives: With
the Commission and the Secretary of State for the State in which the
candidate is seeking election.
(3) Notwithstanding the requirements of paragraphs (e)(1) and (2) of
this section, political committees and other persons shall not be
required to file reports of independent expenditures with the Secretary
of State if that State has obtained a waiver under 11 CFR 108.1(b).
(f) Aggregating independent expenditures for reporting purposes. (1)
For purposes of determining whether 24-hour and 48-hour reports must be
filed in accordance with paragraphs (b) and (c) of this section and 11
CFR 109.10(c) and (d), aggregations of independent expenditures must be
calculated as of the first date on which a communication that
constitutes an independent expenditure is publicly distributed or
otherwise publicly disseminated, and as of the date that any such
communication with respect to the same election is subsequently publicly
distributed or otherwise publicly disseminated. Every person must
include in the aggregate total all disbursements during the calendar
year for independent expenditures, and all enforceable contracts, either
oral or written, obligating funds for disbursements during the calendar
year for independent expenditures, where those independent expenditures
are made with respect to the same election for Federal office.
(2) For purposes of determining whether 24-hour or 48-hour reports
must be filed in accordance with paragraphs (b) and (c) of this section
and 11 CFR 109.10(c) and (d), if the independent expenditure is made in
support of or opposition to a candidate in a presidential primary
election and is publicly distributed or otherwise publicly disseminated
in six or more states but does not refer to any particular state, the
date of the election is the date of the next upcoming presidential
primary election among the presidential primary elections to be held in
the states in which the independent expenditure is publicly distributed
or disseminated.
[68 FR 417, Jan. 3, 2003, as amended at 81 FR 34863, June 1, 2016; 83 FR
66595, Dec. 27, 2018; 84 FR 18699, May 2, 2019]
Sec. 104.5 Filing dates (52 U.S.C. 30104(a)(2)).
(a) Principal campaign committee of House of Representatives or
Senate candidate. Each treasurer of a principal campaign committee of a
candidate for the House of Representatives or for the Senate must file
quarterly reports on the dates specified in paragraph (a)(1) of this
section in both election years and non-election years, and must file
additional reports on the dates specified in paragraph (a)(2) of this
section in election years.
(1) Quarterly reports. (i) Quarterly reports must be filed no later
than the 15th day following the close of the immediately preceding
calendar quarter (on April 15, July 15, and October 15), except that the
report for the final calendar quarter of the year must be filed no later
than January 31 of the following calendar year.
(ii) The report must be complete as of the last day of each calendar
quarter.
(iii) The requirement for a quarterly report shall be waived if,
under paragraph (a)(2) of this section, a pre-election report is
required to be filed during the period beginning on the 5th day after
the close of the calendar quarter and ending on the 15th day after the
close of the calendar quarter.
(2) Additional reports in the election year. (i) Pre-election
reports. (A) Pre-
[[Page 102]]
election reports for the primary and general election must be filed no
later than 12 days before any primary or general election in which the
candidate seeks election. If sent by registered or certified mail,
Priority Mail or Express Mail with a delivery confirmation, or with an
overnight delivery service and scheduled to be delivered the next
business day after the date of deposit and recorded in the overnight
delivery service's on-line tracking system, the postmark on the report
must be dated no later than the 15th day before any election.
(B) The pre-election report must disclose all receipts and
disbursements as of the 20th day before a primary or general election.
(ii) Post-general election report. (A) The post-general election
report must be filed no later than 30 days after any general election in
which the candidate seeks election.
(B) The post-general election report must be complete as of the 20th
day after the general election.
(b) Principal campaign committee of Presidential candidate. Each
treasurer of a principal campaign committee of a candidate for President
shall file reports on the dates specified at 11 CFR 104.5(b) (1) and
(2).
(1) Election year reports. (i) If on January 1 of the election year,
the committee has received or anticipates receiving contributions
aggregating $100,000 or more, or has made or anticipates making
expenditures aggregating $100,000 or more, it shall file monthly
reports.
(A) Each report shall be filed no later than the 20th day after the
last day of each month.
(B) The report shall be complete as of the last day of each month.
(C) In lieu of the monthly reports due in November and December, a
pre-election report shall be filed as prescribed at paragraph (a)(2)(i)
of this section, a post-general election report shall be filed as
prescribed at paragraph (a)(2)(ii) of this section, and a year-end
report shall be filed no later than January 31 of the following calendar
year.
(ii) If on January 1 of the election year, the committee does not
anticipate receiving and has not received contributions aggregating
$100,000 and does not anticipate making and has not made expenditures
aggregating $100,000, the committee shall file a preelection report or
reports, a post general election report, and quarterly reports, as
prescribed in paragraphs (a)(1) and (2) of this section.
(iii) If during the election year, a committee filing under 11 CFR
104.5(b)(1)(ii) receives contributions aggregating $100,000 or makes
expenditures aggregating $100,000, the treasurer shall begin filing
monthly reports at the next reporting period.
(2) Non-election year reports. During a non-election year, the
treasurer shall file either monthly reports as prescribed by paragraph
(b)(1)(i) of this section or quarterly reports as prescribed by
paragraph (a)(1) of this section. A principal campaign committee of a
Presidential candidate may elect to change the frequency of its
reporting from monthly to quarterly or vice versa during a non-election
year only after notifying the Commission in writing of its intention at
the time it files a required report under its pre-existing filing
frequency. The committee will then be required to file the next required
report under its new filing frequency. The committee may change its
filing frequency no more than once per calendar year.
(c) Political committees that are not authorized committees of
candidates. Except as provided in paragraph (c)(4) of this section, each
political committee that is not the authorized committee of a candidate
must file either: Election year and non-election year reports in
accordance with paragraphs (c)(1) and (2) of this section; or monthly
reports in accordance with paragraph (c)(3) of this section. A political
committee reporting under paragraph (c) of this section may elect to
change the frequency of its reporting from monthly to quarterly and
semi-annually or vice versa. A political committee reporting under this
paragraph (c) may change the frequency of its reporting only after
notifying the Commission in writing of its intention at the time it
files a required report under its current filing frequency. Such
political committee will then be required to file the next required
report under its new filing frequency. A political committee may
[[Page 103]]
change its filing frequency no more than once per calendar year.
(1) Election year reports--(i) Quarterly reports. (A) Quarterly
reports shall be filed no later than the 15th day following the close of
the immediately preceding calendar quarter, (on April 15, July 15, and
October 15), except that the report for the final calendar quarter of
the year shall be filed on January 31 of the following calendar year.
(B) The reports shall be complete as of the last day of the calendar
quarter for which the report is filed.
(C) The requirement for a quarterly report shall be waived if under
11 CFR 104.5(c)(1)(ii) a pre-election report is required to be filed
during the period beginning on the fifth day after the close of the
calendar quarter and ending on the fifteenth day after the close of the
calendar quarter.
(ii) Pre-election reports. (A) Pre-election reports for the primary
and general election shall be filed by a political committee which makes
contributions or expenditures in connection with any such election if
such disbursements have not been previously disclosed. Pre-election
reports shall be filed no later than 12 days before any primary or
general election. If sent by registered or certified mail, Priority Mail
or Express Mail with a delivery confirmation, or with an overnight
delivery service and scheduled to be delivered the next business day
after the date of deposit and recorded in the overnight delivery
service's on-line tracking system, the postmark on the report shall be
dated no later than the 15th day before any election.
(B) The report shall disclose all receipts and disbursements as of
the 20th day before a primary or general election.
(iii) Post-general election reports. (A) A post-general election
report shall be filed no later than 30 days after any general election.
(B) The report shall be complete as of the 20th day after the
general election.
(2) Non-election year reports--(i) Semi-annual reports. (A) The
first report shall cover January 1 through June 30, and shall be filed
no later than July 31.
(B) The second report shall cover July 1 through December 31, and
shall be filed no later than January 31 of the following year.
(3) Monthly reports. (i) Except as provided at 11 CFR
104.5(c)(3)(ii), monthly reports shall be filed no later than 20 days
after the last day of the month.
(ii) In lieu of the monthly reports due in November and December, in
any year in which a regularly scheduled general election is held, a pre-
election report shall be filed as prescribed at 11 CFR 104.5(a)(2)(i), a
post general election report shall be filed as prescribed at 11 CFR
104.5(a)(2)(ii), and a year-end report shall be filed no later than
January 31 of the following calendar year.
(4) National party committee reporting. Notwithstanding anything to
the contrary in this paragraph, a national committee of a political
party, including a national Congressional campaign committee, must
report monthly in accordance with paragraph (c)(3) of this section in
both election and non-election years.
(d) Committees supporting Vice Presidential candidates. The
treasurer of a committee supporting a candidate for the office of Vice
President (other than a nominee of a political party) shall file reports
on the same basis that the principal campaign committee of a
Presidential candidate must file reports under 11 CFR 104.5(b).
(e) Date of filing. A designation, report or statement, other than
those addressed in paragraphs (f), (g), and (j) of this section, sent by
registered or certified mail, Priority Mail or Express Mail with a
delivery confirmation, or with an overnight delivery service and
scheduled to be delivered the next business day after the date of
deposit and recorded in the overnight delivery service's on-line
tracking system, shall be considered filed on the date of the postmark
except that a twelve day pre-election report sent by such mail or
overnight delivery service must have a postmark dated no later than the
15th day before any election. Designations, reports or statements, other
than those addressed in paragraphs (f), (g), and (j) of this section,
sent by first class mail, or by any means other than those listed in
this paragraph (e), must be received by the close of business on the
prescribed filing date to be timely
[[Page 104]]
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 and the Secretary of State, as appropriate,
within 48 hours of receipt of the contribution. The notification shall
be in writing and shall include the name of the candidate and office
sought by the candidate, the identification of the contributor, and the
date of receipt and amount of the contribution. The notification shall
be filed in accordance with 11 CFR 100.19. The notification shall be in
addition to the reporting of these contributions on the post-election
report.
(g) Reports of independent expenditures--(1) 48-hour reports of
independent expenditures. Every person that must file a 48-hour report
under 11 CFR 104.4(b) must ensure the Commission receives the report by
11:59 p.m. Eastern Standard/Daylight Time on the second day following
the date on which a communication that constitutes an independent
expenditure is publicly distributed or otherwise publicly disseminated.
Each time subsequent independent expenditures by that person relating to
the same election as that to which the previous report relates aggregate
$10,000 or more, that person must ensure that the Commission receives a
new 48-hour report of the subsequent independent expenditures by 11:59
p.m. Eastern Standard/Daylight Time on the second day following the date
on which the $10,000 threshold is reached or exceeded. (See 11 CFR
104.4(f) for aggregation.)
(2) 24-hour reports of independent expenditures. Every person that
must file a 24-hour report under 11 CFR 104.4(c) must ensure that the
Commission receives the report by 11:59 p.m. Eastern Standard/Daylight
Time on the day following the date on which a communication that
constitutes an independent expenditure is publicly distributed or
otherwise publicly disseminated. Each time subsequent independent
expenditures by that person relating to the same election as that to
which the previous report relates aggregate $1,000 or more, that person
must ensure that the Commission receives a 24-hour report of the
subsequent independent expenditures by 11:59 p.m. Eastern Standard/
Daylight Time on the day following the date on which the $1,000
threshold is reached or exceeded. (See 11 CFR 104.4(f) for aggregation.)
(3) Each 24-hour or 48-hour report of independent expenditures filed
under this section shall contain the information required by 11 CFR
104.3(b)(3)(vii) indicating whether the independent expenditure is made
in support of, or in opposition to, the candidate involved.
(4) For purposes of this part and 11 CFR part 109, a communication
that is mailed to its intended audience is publicly disseminated when it
is relinquished to the U.S. Postal Service.
(h) Special election reports. (1) Within 5 days of the setting of a
special election, the Commission shall set filing dates for reports to
be filed by principal campaign committees of candidates seeking
election, or nomination for election, in special elections and for
political committees, other than authorized committees, which make
contributions to or expenditures on behalf of a candidate or candidates
in special elections. The Commission shall publish such reporting dates
in the Federal Register and shall notify the principal campaign
committees of all candidates in such election of the reporting dates.
The Commission shall not require such committees to file more than one
pre-election report for each election and one post-election report for
the election which fills the vacancy.
(2) Reports required to be filed under 11 CFR 104.5(a) or (c) may be
waived by the Commission for committees filing special election reports
if a report under 11 CFR 104.5(a) or (c) is due within 10 days of the
date a special election report is due. The Commission shall notify all
appropriate committees of reports so waived.
[[Page 105]]
(i) Committees should retain proof of mailing or other means of
transmittal of the reports to the Commission.
(j) 24-hour statements of electioneering communications. Every
person who has made a disbursement or who has executed a contract to
make a disbursement for the direct costs of producing or airing
electioneering communications as defined in 11 CFR 100.29 aggregating in
excess of $10,000 during any calendar year shall file a statement with
the Commission by 11:59 p.m. Eastern Standard/Daylight Time on the day
following the disclosure date. The statement shall be filed under
penalty of perjury and in accordance with 11 CFR 104.20.
[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996; 65
FR 31794, May 19, 2000; 65 FR 38423, June 21, 2000; 67 FR 12839, Mar.
20, 2002; 68 FR 418, Jan. 3, 2003; 68 FR 47414, Aug. 8, 2003; 69 FR
68238, Nov. 24, 2004; 70 FR 13091, Mar. 18, 2005; 79 FR 16663, Mar. 26,
2014; 84 FR 18699, May 2, 2019]
Sec. 104.6 Form and content of internal communications reports
(52 U.S.C. 30101(9)(B)(iii)).
(a) Form. Every membership organization or corporation which makes
disbursements for communications pursuant to 11 CFR 100.134(a) and 114.3
shall report to the Commission on FEC Form 7 such costs which are
directly attributable to any communication expressly advocating the
election or defeat of a clearly identified candidate (other than a
communication primarily devoted to subjects other than the election or
defeat of a clearly identified candidate), if such costs exceed $2,000
for any election.
(1) For the purposes of 11 CFR 104.6(a), election means two separate
processes in a calendar year, to each of which the $2,000 threshold
described above applies separately. The first process is comprised of
all primary elections for federal office, wherever and whenever held;
the second process is comprised of all general elections for federal
office, wherever and whenever held.
(2) The term election shall also include each special election held
to fill a vacancy in a Federal office (11 CFR 100.2(f)) or each runoff
election (11 CFR 100.2(d)).
(b) Filing dates. Organizations required to report under 11 CFR
104.6(a) shall file such reports during a calendar year in which a
regularly scheduled general election is held. Such reports shall be
filed quarterly in accordance with 11 CFR 104.5(a)(1) and, with respect
to any general election, in accordance with 11 CFR 104.5(a)(2)(i). The
organization shall be required to file reports beginning with the first
reporting period during which the aggregate cost for such communications
exceeds $2,000 per election as defined in 11 CFR 104.6(a)(1), and for
each quarter thereafter in which the organization makes additional
disbursements in connection with the same election.
(c) Each report filed under 11 CFR 104.6 shall include, for each
communication:
(1) The type of communication (such as direct mail, telephone or
telegram);
(2) The date(s) of the communication;
(3) The name of the candidate, the office sought (and the district
and state of the office, if applicable), and whether the communication
was for the primary or general election;
(4) Whether the communication was in support of or in opposition to,
a particular candidate; and
(5) The cost of the communication.
[45 FR 15108, Mar. 7, 1980, as amended at 67 FR 78680, Dec. 26, 2002; 79
FR 16663, Mar. 26, 2014]
Sec. 104.7 Best efforts (52 U.S.C. 30102(i)).
(a) When the treasurer of a political committee shows that best
efforts have been used to obtain, maintain and submit the information
required by the Act for the political committee, any report of such
committee shall be considered in compliance with the Act.
(b) With regard to reporting the identification as defined at 11 CFR
100.12 of each person whose contribution(s) to the political committee
and its affiliated political committees aggregate in excess of $200 in a
calendar year (or in an election cycle in the case of an authorized
committee) (pursuant to 11 CFR 104.3(a)(4)), the treasurer and the
political committee will only be deemed to have exercised best efforts
to obtain, maintain and report the required information if:
[[Page 106]]
(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 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
[[Page 107]]
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 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.
[[Page 108]]
(3) If an itemized contribution is reattributed by the
contributor(s) in accordance with 11 CFR 110.1(k), the treasurer shall
report the reattribution in a memo entry on Schedule A of the report
covering the reporting period in which the reattribution is received.
The memo entry for each reattributed contribution shall be reported in
the following manner--
(i) The first part of the memo entry shall disclose all of the
information for the contribution as it was originally reported on
Schedule A;
(ii) The second part of the memo entry shall disclose all of the
information for the contribution as it was reattributed by the
contributors, including the date on which the reattribution was
received.
(4) If a contribution is refunded to the contributor, the treasurer
of the political committee making the refund shall report the refund on
Schedule B of the report covering the reporting period in which the
refund is made, in accordance with 11 CFR 103.3(b)(5) and 104.3(b). If a
contribution is refunded to a political committee, the treasurer of the
political committee receiving the refund shall report the refund on
Schedule A of the report covering the reporting period in which the
refund is received, in accordance with 11 CFR 104.3(a).
(e) For reports covering activity on or before December 31, 2002,
national party committees shall disclose in a memo Schedule A
information about each individual, committee, corporation, labor
organization, or other entity that donates an aggregate amount in excess
of $200 in a calendar year to the committee's non-Federal account(s).
This information shall include the donating individual's or entity's
name, mailing address, occupation or type of business, and the date of
receipt and amount of any such donation. If a donor's name is known to
have changed since an earlier donation reported during the calendar
year, the exact name or address previously used shall be noted with the
first reported donation from that donor subsequent to the name change.
The memo entry shall also include, where applicable, the information
required by paragraphs (b) through (d) of this section.
(f) For reports covering activity on or before December 31, 2002,
national party committees shall also disclose in a memo Schedule A
information about each individual, committee, corporation, labor
organization, or other entity that donates an aggregate amount in excess
of $200 in a calendar year to the committee's building fund account(s).
This information shall include the donating individual's or entity's
name, mailing address, occupation or type of business, and the date of
receipt and amount of any such donation. If a donor's name is known to
have changed since an earlier donation reported during the calendar
year, the exact name or address previously used shall be noted with the
first reported donation from that donor subsequent to the name change.
The memo entry shall also include, where applicable, the information
required by paragraphs (b) through (d) of this section.
(g) The principal campaign committee of the candidate shall report
the receipt of any bank loan obtained by the candidate or loan of money
derived from an advance on a candidate's brokerage account, credit card,
home equity line of credit, or other lines of credit described in 11 CFR
100.83 and 100.143, as an itemized entry of Schedule A as follows:
(1) The amount of the loan that is used in connection with the
candidate's campaign shall be reported as an itemized entry on Schedule
A.
(2) See 11 CFR 100.83(c) for special reporting rules regarding
certain loans used for a candidate's routine living expenses.
[45 FR 15108, Mar. 7, 1980, as amended at 52 FR 774, Jan. 9, 1987; 55 FR
26067, June 26, 1990; 65 FR 42624, July 11, 2000; 67 FR 38360, June 4,
2002; 67 FR 49112, July 29, 2002; 75 FR 31, Jan. 4, 2010]
Sec. 104.9 Uniform reporting of disbursements.
(a) Political committees shall report the full name and mailing
address of each person to whom an expenditure in an aggregate amount or
value in excess of $200 within the calendar year (or within the election
cycle, in the case of an authorized committee) is made from the
reporting political committee's federal account(s), together with the
[[Page 109]]
date, amount and purpose of such expenditure, in accordance with
paragraph (b) of this section. As used in this section, purpose means a
brief statement or description as to the reasons for the expenditure.
See 11 CFR 104.3(b)(3)(i)(A).
(b) In each case when an expenditure made to a recipient in a
reporting period is added to previously unitemized expenditures to the
same recipient and the total exceeds $200 for the calendar year (or for
the election cycle, in the case of an authorized committee), the
reporting political committee shall disclose the recipient's full name
and mailing address on the prescribed reporting forms, together with the
date, amount and purpose of such expenditure. As used in this section,
purpose means a brief statement or description as to the reason for the
disbursement as defined at 11 CFR 104.3(b)(3)(i)(A).
(c) For reports covering activity on or before March 31, 2003,
national party committees shall report in a memo Schedule B the full
name and mailing address of each person to whom a disbursement in an
aggregate amount or value in excess of $200 within the calendar year is
made from the committee's non-Federal account(s), together with the
date, amount, and purpose of such disbursement, in accordance with
paragraph (b) of this section. As used in this section, purpose means a
brief statement or description as to the reasons for the disbursement.
See 11 CFR 104.3(b)(3)(i)(A).
(d) For reports covering activity on or before March 31, 2003,
national party committees shall report in a memo Schedule B the full
name and mailing address of each person to whom a disbursement in an
aggregate amount or value in excess of $200 within the calendar year is
made from the committee's building fund account(s), together with the
date, amount, and purpose of such disbursement, in accordance with
paragraph (b) of this section. As used in this section, purpose means a
brief statement or description as to the reasons for the disbursement.
See 11 CFR 104.3(b)(3)(i)(A).
(e) For reports covering activity on or before December 31, 2002,
national party committees shall report in a memo Schedule B each
transfer from their non-Federal account(s) to the non-Federal accounts
of a State or local party committee.
(f) The principal campaign committee of the candidate shall report
its repayment to the candidate or lending institution of any bank loan
obtained by the candidate or loan of money derived from an advance on a
candidate's brokerage account, credit card, home equity line of credit,
or other lines of credit described in 11 CFR 100.83 and 100.143 as an
itemized entry on Schedule B.
[45 FR 15108, Mar. 7, 1980, as amended at 55 FR 26067, June 26, 1990; 65
FR 42624, July 11, 2000; 67 FR 38361, June 4, 2002; 67 FR 49113, July
29, 2002; 79 FR 16663, Mar. 26, 2014]
Sec. 104.10 Reporting by separate segregated funds and nonconnected
committees of expenses allocated among candidates and activities.
(a) Expenses allocated among candidates. A political committee that
is a separate segregated fund or a nonconnected committee making an
expenditure on behalf of more than one clearly identified candidate for
Federal office shall allocate the expenditure among the candidates
pursuant to 11 CFR part 106. Payments involving both expenditures on
behalf of one or more clearly identified Federal candidates and
disbursements on behalf of one or more clearly identified non-Federal
candidates shall also be allocated pursuant to 11 CFR part 106. For
allocated expenditures, the committee shall report the amount of each
in-kind contribution, independent expenditure, or coordinated
expenditure attributed to each Federal candidate. If a payment also
includes amounts attributable to one or more non-Federal candidates, and
is made by a political committee with separate Federal and non-Federal
accounts, then the payment shall be made according to the procedures set
forth in 11 CFR 106.6(e), but shall be reported pursuant to paragraphs
(a)(1) through (a)(4) of this section, as follows:
(1) Reporting of allocation of expenses attributable to specific
Federal and non-Federal candidates. In each report disclosing a payment
that includes both expenditures on behalf of one or more Federal
candidates and disbursements
[[Page 110]]
on behalf of one or more non-Federal candidates, the committee shall
assign a unique identifying title or code to each program or activity
conducted on behalf of such candidates, shall state the allocation ratio
calculated for the program or activity, and shall explain the manner in
which the ratio was derived. The committee shall also summarize the
total amounts attributed to each candidate, to date, for each joint
program or activity.
(2) Reporting of transfers between accounts for the purpose of
paying expenses attributable to specific Federal and non-Federal
candidates. A political committee that pays allocable expenses in
accordance with 11 CFR 106.6(e) shall report each transfer of funds from
its non-Federal account to its Federal account or to its separate
allocation account for the purpose of paying such expenses. In the
report covering the period in which each transfer occurred, the
committee shall explain in a memo entry the allocable expenses to which
the transfer relates and the date on which the transfer was made. If the
transfer includes funds for the allocable costs of more than one program
or activity, the committee shall itemize the transfer, showing the
amounts designated for each program or activity conducted on behalf of
one or more clearly identified Federal candidates and one or more
clearly identified non-Federal candidates.
(3) Reporting of allocated disbursements attributable to specific
Federal and non-Federal candidates. A political committee that pays
allocable expenses in accordance with 11 CFR 106.6(e) shall also report
each disbursement from its Federal account or its separate allocation
account in payment for a program or activity conducted on behalf of one
or more clearly identified Federal candidates and one or more clearly
identified non-Federal candidates. In the report covering the period in
which the disbursement occurred, the committee shall state the full name
and address of each person to whom the disbursement was made, and the
date, amount, and purpose of each such disbursement. If the disbursement
includes payment for the allocable costs of more than one program or
activity, the committee shall itemize the disbursement, showing the
amounts designated for payment of each program or activity conducted on
behalf of one or more clearly identified Federal candidates and one or
more clearly identified non-Federal candidates. The committee shall also
report the amount of each in-kind contribution, independent expenditure,
or coordinated expenditure attributed to each Federal candidate, and the
total amount attributed to the non-Federal candidate(s). In addition,
the committee shall report the total amount expended by the committee
that year, to date, for each joint program or activity.
(4) Recordkeeping. The treasurer shall retain all documents
supporting the committee's allocation on behalf of specific Federal and
non-Federal candidates, in accordance with 11 CFR 104.14.
(b) Expenses allocated among activities. A political committee that
is a separate segregated fund or a nonconnected committee and that has
established separate Federal and non-Federal accounts under 11 CFR
102.5(a)(1)(i) shall allocate between those accounts its administrative
expenses and its costs for fundraising, generic voter drives, and
certain public communications according to 11 CFR 106.6, and shall
report those allocations according to paragraphs (b)(1) through (5) of
this section, as follows:
(1) Reporting of allocation of administrative expenses and costs of
generic voter drives and public communications that refer to any
political party. In each report disclosing a disbursement for
administrative expenses, generic voter drives, or public communications
that refer to any political party, but do not refer to any clearly
identified candidates, as described in 11 CFR 106.6(b)(1)(i),
(b)(1)(iii) and (b)(1)(iv), as applicable, the committee shall state the
allocation ratio to be applied to each category of activity according to
11 CFR 106.6(c).
(2) Reporting of allocation of the direct costs of fundraising. In
each report disclosing a disbursement for the direct
[[Page 111]]
costs of a fundraising program, as described in 11 CFR 106.6(b), the
committee shall assign a unique identifying title or code to each such
program or activity, shall state the allocation ratio calculated for the
program or activity according to 11 CFR 106.6(d), and shall explain the
manner in which the ratio was derived. The committee shall also
summarize the total amounts spent by the Federal and non-Federal
accounts that year, to date, for each such program or activity.
(3) Reporting of transfers between accounts for the purpose of
paying allocable expenses. A political committee that pays allocable
expenses in accordance with 11 CFR 106.6(e) shall report each transfer
of funds from its non-Federal account to its Federal account or to its
separate allocation account for the purpose of paying such expenses. In
the report covering the period in which each transfer occurred, the
committee shall explain in a memo entry the allocable expenses to which
the transfer relates and the date on which the transfer was made. If the
transfer includes funds for the allocable costs of more than one
activity, the committee shall itemize the transfer, showing the amounts
designated for administrative expenses and generic voter drives, and for
each fundraising program, as described in 11 CFR 106.6(b).
(4) Reporting of allocated disbursements. A political committee that
pays allocable expenses in accordance with 11 CFR 106.6(e) shall also
report each disbursement from its Federal account or its separate
allocation account in payment for a joint Federal and non-Federal
expense or activity. In the report covering the period in which the
disbursement occurred, the committee shall state the full name and
address of each person to whom the disbursement was made, and the date,
amount, and purpose of each such disbursement. If the disbursement
includes payment for the allocable costs of more than one activity, the
committee shall itemize the disbursement, showing the amounts designated
for payment of administrative expenses and generic voter drives, and for
each fundraising program, as described in 11 CFR 106.6(b). The committee
shall also report the total amount expended by the committee that year,
to date, for each category of activity.
(5) Recordkeeping. The treasurer shall retain all documents
supporting the committee's allocated disbursements for three years, in
accordance with 11 CFR 104.14.
[67 FR 49113, July 29, 2002, as amended at 69 FR 68067, Nov. 23, 2004]
Sec. 104.11 Continuous reporting of debts and obligations.
(a) Debts and obligations owed by or to a political committee which
remain outstanding shall be continuously reported until extinguished.
See 11 CFR 104.3(d). These debts and obligations shall be reported on
separate schedules together with a statement explaining the
circumstances and conditions under which each debt and obligation was
incurred or extinguished. Where such debts and obligations are settled
for less than their reported amount or value, the reporting committee
shall include a statement as to the circumstances and conditions under
which the debt or obligation was extinguished and the amount paid.
(b) A debt or obligation, including a loan, written contract,
written promise or written agreement to make an expenditure, the amount
of which is $500 or less, shall be reported as of the time payment is
made or not later than 60 days after such obligation is incurred,
whichever comes first. A debt or obligation, including a loan, written
contract, written promise or written agreement to make an expenditure,
the amount of which is over $500 shall be reported as of the date on
which the debt or obligation is incurred, except that any obligation
incurred for rent, salary or other regularly reoccurring administrative
expense shall not be reported as a debt before the payment due date. See
11 CFR 116.6. If the exact amount of a debt or obligation is not known,
the report shall state that the amount reported is an estimate. Once the
exact amount is determined, the political committee shall either amend
the report(s) containing the estimate or indicate the correct amount on
the
[[Page 112]]
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 except that:
(1) Reports or statements of independent expenditures filed by
facsimile machine or electronic mail under 11 CFR 104.4(b) or 11 CFR
109.10 must be verified in accordance with those sections; and
(2) Reports, designations, or statements filed electronically under
11 CFR 104.18 must follow the signature requirements of 11 CFR
104.18(g).
(b) Each political committee or other person required to file any
report or statement under this subchapter shall maintain all records as
follows:
(1) Maintain records, including bank records, with respect to the
matters required to be reported, including vouchers, worksheets,
receipts, bills and accounts, which shall provide in sufficient detail
the necessary information and data from which the filed reports and
statements may be verified, explained, clarified, and checked for
accuracy and completeness;
(2) Preserve a copy of each report or statement required to be filed
under 11 CFR parts 102 and 104, and all records relevant to such reports
or statements;
(3) Keep all reports required to be preserved under this section
available for audit, inspection, or examination by the Commission or its
authorized representative(s) for a period of not less that 3 years after
the report or statement is filed (See 11 CFR 102.9(c) for requirements
relating to preservation of records and accounts); and
(4) Candidates, who obtain bank loans or loans derived from an
advance from the candidate's brokerage account, credit card, home equity
line of credit, or other lines of credit available to the candidate,
must preserve the following records for three years after the date of
the election for which they were a candidate:
[[Page 113]]
(i) Records to demonstrate the ownership of the accounts or assets
securing the loans;
(ii) Copies of the executed loan agreements and all security and
guarantee statements;
(iii) Statements of account for all accounts used to secure any loan
for the period the loan is outstanding such as brokerage accounts or
credit card accounts, and statements on any line of credit account that
was used for the purpose of influencing the candidate's election for
Federal office;
(iv) For brokerage loans or other loans secured by financial assets,
documentation to establish the source of the funds in the account at the
time of the loan; and
(v) Documentation for all payments made on the loan by any person.
(c) Acknowledgements by the Commission 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; 67
FR 12840, Mar. 20, 2002; 67 FR 38361, June 4, 2002; 79 FR 16663, Mar.
26, 2014; 84 FR 18700, May 2, 2019]
Sec. 104.15 Sale or use restriction (52 U.S.C. 30111(a)(4)).
(a) Any information copied, or otherwise obtained, from any report
or statement, or any copy, reproduction, or publication thereof, filed
under the Act, shall not be sold or used by any person for the purpose
of soliciting contributions or for any commercial purpose, except that
the name and address of any political committee may be used to solicit
contributions from such committee.
(b) For purposes of 11 CFR 104.15, soliciting contributions includes
soliciting any type of contribution or donation, such as political or
charitable contributions.
(c) The use of information, which is copied or otherwise obtained
from reports filed under 11 CFR part 104, in newspapers, magazines,
books or other similar communications is permissible as long as the
principal purpose of such communications is not to communicate any
contributor information listed on such reports for the purpose of
soliciting contributions or for other commercial purposes.
[45 FR 15108, Mar. 7, 1980, as amended at 61 FR 3549, Feb. 1, 1996]
Sec. 104.16 Audits (52 U.S.C. 30111(b)).
(a) The Commission may conduct audits of any political committee
required to register under 11 CFR part 102 and to report under 11 CFR
part 104. Prior to conducting any such audit or investigation, the
Commission shall conduct an internal review of reports filed by selected
committees to determine whether reports filed by a particular committee
meet thresholds established by the Commission for substantial compliance
with the Act. Such thresholds may vary according to the type of
political committee being reviewed.
(b) The Commission may, upon affirmative vote of four members,
conduct an audit and field investigation of any committee which meets
the thresholds established pursuant to 11 CFR 104.16(a). All such audits
and investigations shall commence within 30 days of such vote except
that any audit or investigation of an authorized committee of a
candidate shall be commenced within 6 months of the election for which
such committee was authorized.
(c) The Commission may, upon affirmative vote of four members,
conduct an audit and field investigation of any committee pursuant to 11
CFR 111.10.
(d) All audits and field investigations concerning the verification
for and the receipt and use of payments under
[[Page 114]]
chapters 95 and 96 of title 26 shall be given priority over any audit or
investigation of committees not receiving such payments.
Sec. 104.17 Reporting of allocable expenses by party committees.
(a) Expenses allocated among candidates. A national party committee
making an expenditure on behalf of more than one clearly identified
candidate for Federal office must report the allocation between or among
the named candidates. A national party committee making expenditures and
disbursements on behalf of one or more clearly identified Federal
candidates and on behalf of one or more clearly identified non-Federal
candidates must report the allocation among all named candidates. These
payments shall be allocated among candidates pursuant to 11 CFR part
106, but only Federal funds may be used for such payments. A State,
district, or local party committee making expenditures and disbursements
for Federal election activity as defined at 11 CFR 100.24 on behalf of
one or more clearly identified Federal and one or more clearly
identified non-Federal candidates must make the payments from its
Federal account and must report the allocation among all named
candidates. A State, district, or local party committee making
expenditures and disbursements on behalf of one or more clearly
identified Federal and one or more clearly identified non-Federal
candidates where the activity is not a Federal election activity may
allocate the payments between its Federal and non-Federal account and
must report the allocation among all named candidates. For allocated
expenditures, the committee must report the amount of each in-kind
contribution, independent expenditure, or coordinated expenditure
attributed to each candidate. If a payment also includes amounts
attributable to one or more non-Federal candidates, and is made by a
State, district, or local party committee with separate Federal and non-
Federal accounts, and is not for a Federal election activity, then the
payment shall be made according to the procedures set forth in 11 CFR
106.7(f), but shall be reported pursuant to paragraphs (a)(1) through
(a)(4) of this section, as follows:
(1) Reporting of allocation of expenses attributable to specific
Federal and non-Federal candidates. In each report disclosing a payment
that includes both expenditures on behalf of one or more Federal
candidates and disbursements on behalf of one or more non-Federal
candidates, the committee must assign a unique identifying title or code
to each program or activity conducted on behalf of such candidates,
state the allocation ratio calculated for the program or activity, and
explain the manner in which the ratio applied to each candidate was
derived. The committee must also summarize the total amounts attributed
to each candidate, to date, for each program or activity.
(2) Reporting of transfers between accounts for the purpose of
paying expenses attributable to specific Federal and non-Federal
candidates. A State, district, or local party committee that pays
allocable expenses in accordance with 11 CFR 106.7(f) shall report each
transfer of funds from its non-Federal account to its Federal account or
to its separate allocation account for the purpose of paying such
expenses. In the report covering the period in which each transfer
occurred, the State, district, or local party committee shall explain in
a memo entry the allocable expenses to which the transfer relates and
the date on which the transfer was made. If the transfer includes funds
for the allocable costs of more than one program or activity, the State,
district, or local party committee must itemize the transfer, showing
the amounts designated for each program or activity conducted on behalf
of one or more clearly identified Federal candidates and one or more
clearly identified non-Federal candidates.
(3) Reporting of allocated disbursements attributable to specific
Federal and non-Federal candidates. A State, district, or local
committee that pays allocable expenses in accordance with 11 CFR
106.7(f) shall also report each disbursement from its Federal account or
its separate allocation account in payment for a program or activity
conducted on behalf of one or more clearly identified Federal candidates
and one or more clearly identified non-Federal
[[Page 115]]
candidates. In the report covering the period in which the disbursement
occurred, the State, district, or local party committee shall state the
full name and address of each person to whom the disbursement was made,
and the date, amount, and purpose of each such disbursement. If the
disbursement includes payment for the allocable costs of more than one
program or activity, the committee shall itemize the disbursement,
showing the amounts designated for payment of each program or activity
conducted on behalf of one or more clearly identified Federal candidates
and one or more clearly identified non-Federal candidates. The State,
district, or local party committee must also report the amount of each
in-kind contribution, independent expenditure, or coordinated
expenditure attributed to each Federal candidate, and the total amount
attributed to the non-Federal candidate(s). In addition, the State,
district, or local party committee must report the total amount expended
by the committee that year, to date, for each joint program or activity.
(4) Recordkeeping. The treasurer of a State, district, or local
party committee must retain all documents supporting the committee's
allocations on behalf of specific Federal and non-Federal candidates, in
accordance with 11 CFR 104.14.
(b) Allocation of activities that are not Federal election
activities. A State, district, or local committee of a political party
that has established separate Federal and non-Federal accounts,
including related allocation accounts, under 11 CFR 102.5 must report
all payments that are allocable between these accounts pursuant to the
allocation rules in 11 CFR 106.7. Disbursements for activities that are
allocable between Federal and Levin accounts, including related
allocation accounts, must be reported pursuant to 11 CFR 300.36.
(1) Reporting of allocations of expenses for activities that are not
Federal election activities. (i) In the first report in a calendar year
disclosing a disbursement allocable pursuant to 11 CFR 106.7, a State,
district, or local committee shall state and explain the allocation
percentages to be applied to each category of allocable activity (e.g.,
36% Federal/64% non-Federal in Presidential and Senate election years)
pursuant to 11 CFR 106.7(d).
(ii) In each subsequent report in the calendar year itemizing an
allocated disbursement, the State, district, or local party committee
shall state the category of activity for which each allocated
disbursement was made, and shall summarize the total amounts expended
from Federal and non-Federal accounts, or from allocation accounts, that
year to date for each such category.
(iii) In each report disclosing disbursements for allocable
activities as described in 11 CFR 106.7, the State, district, or local
party committee shall assign a unique identifying title or code to each
such program or activity, and shall state the applicable Federal/non-
Federal percentage for any direct costs of fundraising. Unique
identifying titles or codes are not required for salaries and wages
pursuant to 11 CFR 106.7(c)(1), or for other administrative costs
allocated pursuant to 11 CFR 106.7(c)(2).
(2) Reporting of transfers between the accounts of State, district,
and local party committees and into allocation accounts for allocable
expenses. A State, district, or local committee of a political party
that pays allocable expenses in accordance with 11 CFR 106.7 shall
report each transfer of funds from its non-Federal account to its
Federal account, or each transfer from its Federal account and its non-
Federal account into an allocation account, for the purpose of payment
of such expenses. In the report covering the period in which each
transfer occurred, the State, district, or local party committee must
explain in a memo entry the allocable expenses to which the transfer
relates and the date on which the transfer was made. If the transfer
includes funds for the allocable costs of more than one activity, the
State, district, or local party committee must itemize the transfer,
showing the amounts designated for each category of expense as described
in 11 CFR 106.7.
(3) Reporting of allocated disbursements for certain allocable
activity that is not Federal election activity. (i) A State, district,
or local committee of a political party that pays allocable expenses in
[[Page 116]]
accordance with 11 CFR 106.7 shall report each disbursement from its
Federal account for allocable expenses, or each payment from an
allocation account for such activity. In the report covering the period
in which the disbursement occurred, the State, district, or local
committee shall state the full name and address of each individual or
vendor to which the disbursement was made, the date, amount, and purpose
of each such disbursement, and the amounts allocated to Federal and non-
Federal portions of the allocable activity. If the disbursement includes
payment for the allocable costs of more than one activity, the State,
district, or local party committee must itemize the disbursement,
showing the amounts designated for payments of particular categories of
activity as described in 11 CFR 106.7. The State, district, or local
party committee must also report the total amount paid that calendar
year to date for each category of allocable activity.
(ii) A State, district, or local committee of a political party that
pays allocable expenses from a Federal account and a Levin account in
accordance with 11 CFR 300.33 shall report disbursements from those
accounts according to the requirements of 11 CFR 300.36.
(4) Recordkeeping. The treasurer of a State, district, or local
party committee must retain all documents supporting the committee's
allocations of expenditures and disbursements for the costs and
activities cited at paragraph (b) of this section, in accordance with 11
CFR 104.14.
[67 FR 49114, July 29, 2002]
Sec. 104.18 Electronic filing of reports (52 U.S.C. 30102(d) and
30104(a)(11)).
(a) Mandatory. (1) Political committees and other persons required
by the Act to file reports with the Commission, as provided in 11 CFR
parts 101, 102, 104, 105, 107, and 109, must do so in an electronic
format that meets the requirements of this section if--
(i) The political committee or other person has received
contributions or has reason to expect to receive contributions
aggregating in excess of $50,000 in any calendar year; or
(ii) The political committee or other person has made expenditures
or has reason to expect to make expenditures aggregating in excess of
$50,000 in any calendar year.
(2) Once any political committee or other person described in
paragraph (a)(1) of this section exceeds or has reason to expect to
exceed the appropriate threshold, the political committee or person must
file electronically all subsequent reports covering financial activity
for the remainder of the calendar year. All electronically filed reports
must pass the Commission's validation program in accordance with
paragraph (e) of this section. Reports filed on paper do not satisfy a
political committee's or other person's filing obligations.
(3) Have reason to expect to exceed. (i) A political committee or
other person shall have reason to expect to exceed the threshold stated
in paragraph (a)(1) of this section for two calendar years following the
calendar year in which the political committee or other person exceeds
the threshold unless--
(A) The committee is an authorized committee, and has $50,000 or
less in net debts outstanding on January 1 of the year following the
general election, and anticipates terminating prior to January 1 of the
next election year; and
(B) The candidate has not qualified as a candidate for the next
election and does not intend to become a candidate for federal office in
the next election.
(ii) New political committees or other persons with no history of
campaign finance activity shall have reason to expect to exceed the
threshold stated in paragraph (a)(1) of this section within the calendar
year if--
(A) It receives contributions or makes expenditures that exceed one
quarter of the threshold amount in the first calendar quarter of the
calendar year; or
(B) It receives contributions or makes expenditures that exceed one-
half of the threshold amount in the first half of the calendar year.
(b) Voluntary. A political committee or other person who files
reports with the Commission and who is not required to file
electronically under paragraph (a) of this section, may
[[Page 117]]
choose to file its reports in an electronic format that meets the
requirements of this section (internet forms included). If a political
committee or other person chooses to file its reports electronically,
all electronically filed reports must pass the Commission's validation
program in accordance with paragraph (e) of this section. The committee
or other person must continue to file in an electronic format all
reports covering financial activity for that calendar year, unless the
Commission determines that extraordinary and unforeseeable circumstances
have made it impracticable for the political committee or other person
to continue filing electronically.
(c) Definition of report. For purposes of this section, report means
any statement, designation or report required by the Act to be filed
with the Commission.
(d) Format specifications. Reports filed electronically shall
conform to the technical specifications described in the Federal
Election Commission's Electronic Filing Specifications Requirements. The
data contained in the computerized magnetic media provided to the
Commission shall be organized in the order specified by the Electronic
Filing Specifications Requirements.
(e) Acceptance of reports filed in electronic format; validation
program. (1) Each political committee or other person who submits an
electronic report shall check the report against the Commission's
validation program before it is submitted, to ensure that the files
submitted meet the Commission's format specifications and can be read by
the Commission's computer system. Each report submitted in an electronic
format under this section shall also be checked upon receipt against the
Commission's validation program. The Commission's validation program and
the Electronic Filing Specification Requirement are available on request
and at no charge.
(2) A report that does not pass the validation program will not be
accepted by the Commission and will not be considered filed. If a
political committee or other person submits a report that does not pass
the validation program, the Commission will notify the political
committee or other person that the report has not been accepted.
(f) Amended reports. If a political committee or other person files
an amendment to a report that was filed electronically, the political
committee or other person shall also submit the amendment in an
electronic format. The political committee or other person shall submit
a complete version of the report as amended, rather than just those
portions of the report that are being amended. In addition, amendments
must be filed in accordance with the Electronic Filing Specification
Requirements.
(g) Signature requirements. The political committee's treasurer, or
any other person having the responsibility to file a designation, report
or statement under this subchapter, shall verify the report in one of
the following ways: by submitting a signed certification on paper that
is submitted with the computerized media; or by submitting a digitized
copy of the signed certification as a separate file in the electronic
submission; or by submitting a signed certification on a Commission
internet form. Each verification submitted under this section shall
certify that the treasurer or other signatory has examined the report or
statement and, to the best of the signatory's knowledge and belief, it
is true, correct and complete. Any verification under this section shall
be treated for all purposes (including penalties for perjury) in the
same manner as a verification by signature on a report submitted in a
paper format.
(h) Schedules and forms with special requirements. (1) The following
are schedules and forms that require the filing of additional documents
and that have special signature requirements:
(i) Schedules C-1 and C-P-1, Loans and Lines of Credit From Lending
Institutions (see 11 CFR 104.3(d)); and
(ii) Form 8, Debt Settlement Plan (see 11 CFR 116.7(e)).
(2) If a person files a report electronically by submitting a
diskette to the Commission and is required to file any of the schedules
or forms listed in paragraph (h)(1) of this section, the person shall
file a paper copy of the required schedule or form with the electronic
submission, or a digitized version as a
[[Page 118]]
separate file in the electronic submission, by the close of business on
the prescribed filing date.
(3) If a person files a report electronically by uploading the data
to the Commission's electronic filing system and is required to file any
schedules or forms listed in paragraph (h)(1) of this section, the
person shall file a paper copy or a digitized version of the required
schedule or form by the close of business on the prescribed filing date.
(i) Preservation of reports. For any report filed in electronic
format under this section, the treasurer or other person required to
file any report under the Act shall retain a machine-readable copy of
the report as the copy preserved under 11 CFR 104.14(b)(2). In addition,
the treasurer or other person required to file any report under the Act
shall retain the original signed version of any documents submitted in a
digitized format under paragraphs (g) and (h) of this section.
[65 FR 38423, June 21, 2000, as amended at 67 FR 12840, Mar. 20, 2002;
81 FR 34863, June 1, 2016; 84 FR 18700, May 2, 2019]
Sec. 104.19 [Reserved]
Sec. 104.20 Reporting electioneering communications (52 U.S.C. 30104 (f)).
(a) Definitions--(1) Disclosure date means:
(i) The first date on which an electioneering communication is
publicly distributed provided that the person making the electioneering
communication has made one or more disbursements, or has executed one or
more contracts to make disbursements, for the direct costs of producing
or airing one or more electioneering communications aggregating in
excess of $10,000; or
(ii) Any other date during the same calendar year on which an
electioneering communication is publicly distributed provided that the
person making the electioneering communication has made one or more
disbursements, or has executed one or more contracts to make
disbursements, for the direct costs of producing or airing one or more
electioneering communications aggregating in excess of $10,000 since the
most recent disclosure date during such calendar year.
(2) Direct costs of producing or airing electioneering
communications means the following:
(i) Costs charged by a vendor, such as studio rental time, staff
salaries, costs of video or audio recording media, and talent; or
(ii) The cost of airtime on broadcast, cable or satellite radio and
television stations, studio time, material costs, and the charges for a
broker to purchase the airtime.
(3) Persons sharing or exercising direction or control means
officers, directors, executive directors or their equivalent, partners,
and in the case of unincorporated organizations, owners, of the entity
or person making the disbursement for the electioneering communication.
(4) Identification has the same meaning as in 11 CFR 100.12.
(5) Publicly distributed has the same meaning as in 11 CFR
100.29(b)(3).
(b) Who must report and when. Every person who has made an
electioneering communication, as defined in 11 CFR 100.29, aggregating
in excess of $10,000 during any calendar year shall file a statement
with the Commission by 11:59 p.m. Eastern Standard/Daylight Time on the
day following the disclosure date. The statement shall be filed under
penalty of perjury, shall contain the information set forth in paragraph
(c) of this section, and shall be filed on FEC Form 9. Political
committees that make communications that are described in 11 CFR
100.29(a) must report such communications as expenditures or independent
expenditures under 11 CFR 104.3 and 104.4, and not under this section.
(c) Contents of statement. Statements of electioneering
communications filed under paragraph (b) of this section shall disclose
the following information:
(1) The identification of the person who made the disbursement, or
who executed a contract to make a disbursement, and, if the person is
not an individual, the person's principal place of business;
(2) The identification of any person sharing or exercising direction
or control over the activities of the person
[[Page 119]]
who made the disbursement or who executed a contract to make a
disbursement;
(3) The identification of the custodian of the books and accounts
from which the disbursements were made;
(4) The amount of each disbursement, or amount obligated, of more
than $200 during the period covered by the statement, the date the
disbursement was made, or the contract was executed, and the
identification of the person to whom that disbursement was made;
(5) All clearly identified candidates referred to in the
electioneering communication and the elections in which they are
candidates; and
(6) The disclosure date, as defined in paragraph (a) of this
section.
(7) If the election identified pursuant to paragraph (c)(5) of this
section is a presidential primary election and the electioneering
communication is publicly distributed or otherwise disseminated in six
or more states but does not refer to any particular state, the
electioneering communication shall be reported as a single
communication, indicating the state with the next upcoming presidential
primary among those states where the electioneering communication is
distributed, and the states in which it constitutes an electioneering
communication (as defined in 11 CFR 100.29(a)) shall be indicated in
memo text.
(8) If the disbursements were paid exclusively from a segregated
bank account consisting of funds provided solely by persons other than
national banks, corporations organized by authority of any law of
Congress, or foreign nationals as defined in 11 CFR 110.20(a)(3), the
name and address of each donor who donated an amount aggregating $1,000
or more to the segregated bank account, aggregating since the first day
of the preceding calendar year.
(9) If the disbursements were not paid exclusively from a segregated
bank account described in paragraph (c)(7) of this section and were not
made by a corporation or labor organization, the name and address of
each donor who donated an amount aggregating $1,000 or more to the
person making the disbursement, aggregating since the first day of the
preceding calendar year.
(10) If the disbursements were made by a corporation or labor
organization and were not paid exclusively from a segregated bank
account described in paragraph (c)(7) of this section, the name and
address of each person who made a donation aggregating $1,000 or more to
the corporation or labor organization, aggregating since the first day
of the preceding calendar year, which was made for the purpose of
furthering electioneering communications.
(d) Recordkeeping. All persons who make electioneering
communications or who accept donations for the purpose of making
electioneering communications must maintain records in accordance with
11 CFR 104.14.
(e) State waivers. Statements of electioneering communications that
must be filed with the Commission must also be filed with the Secretary
of State of the appropriate State if the State has not obtained a waiver
under 11 CFR 108.1(b).
[68 FR 419, Jan. 3, 2003; 68 FR 5075, Jan. 31, 2003, as amended at 72 FR
72913, Dec. 26, 2007; 80 FR 62816, Oct. 21, 2014; 83 FR 66595, Dec. 27,
2018]
Sec. 104.21 Reporting by inaugural committees.
(a) Definitions--(1) Inaugural committee. Inaugural committee means
the committee appointed by the President-elect to be in charge of the
Presidential inaugural ceremony and functions and activities connected
with the inaugural ceremony.
(2) Donation. For purposes of this section, donation has the same
meaning as in 11 CFR 300.2(e).
(b) Initial letter-filing by inaugural committees. (1) In order to
be considered the inaugural committee under 36 U.S.C. Chapter 5, within
15 days of appointment by the President-elect, the appointed committee
must file a signed letter with the Commission containing the following:
(i) The name and address of the inaugural committee;
(ii) The name of the chairperson, or the name and title of another
officer who will serve as the point of contact; and
[[Page 120]]
(iii) A statement agreeing to comply with paragraphs (c) and (d) of
this section and with 11 CFR 110.20(j).
(2) Upon receipt of the letter filed under this paragraph (b), the
Commission will assign a FEC committee identification number to the
inaugural committee. The inaugural committee must include this FEC
committee identification number on all reports and supplements thereto
required under paragraph (c) of this section, as well as on all
communications with the Commission concerning the letter filed under
this paragraph (b).
(c) Reporting requirements for inaugural committees--(1) Who must
report. The chairperson or other officer identified in the letter-filing
required by paragraph (b) of this section must file a report and any
supplements thereto as required by this paragraph (c). Such person must
sign the report and any supplements thereto in accordance with 11 CFR
104.14(a). The signature on the report and any supplements thereto
certifies that the contents are true, correct, and complete, to the best
of knowledge of the chairperson or other officer identified in the
letter-filing required by paragraph (b) of this section.
(2) When to file. A report, and any supplements thereto, must be
timely filed in accordance with 11 CFR 100.19 as follows:
(i) Report. An inaugural committee must file a report with the
Commission no later than the 90th day following the date on which the
Presidential inaugural ceremony is held.
(ii) Supplements to the report. (A) An inaugural committee must file
a supplement to its report if it accepts a reportable donation, or makes
a refund during the 90 days following the end of the covering period of
its original report or its most recent supplement.
(B) Any supplement must be filed no later than the 90th day
following the filing date of an original report, or if a supplement has
already been filed, the filing date of the most recent supplement.
(3) Where to file. All letters, reports, and any supplements
thereto, as required under this section, shall be filed with the Federal
Election Commission at the street address identified in the definition
of ``Commission'' in Sec. 1.2.
(4) How to file. An inaugural committee must file its letter,
report, and any supplements thereto, in original form; however, an
inaugural committee may choose to file its reports in an electronic
format that meets the requirements of 11 CFR 104.18.
(5) Form. An inaugural committee must file the report required by
this paragraph on FEC Form 13.
(6) Content of report. Each report, and any supplements thereto,
filed with the Commission under this section must contain the following:
(i) Covering period beginning and ending dates, as follows:
(A) The covering period of a report means the period of time
beginning on the date of the inaugural committee's appointment by the
President-elect and ending no earlier than 15 days before the day on
which the inaugural committee files its report with the Commission.
(B) The covering period of a supplement to the report means the
period of time beginning on the day after the ending date of the
covering period of the original report, or the most recent supplement
thereto, and ending no earlier than 15 days before the day on which the
inaugural committee files such supplement with the Commission.
(ii) Cumulative totals from the date of the inaugural committee's
appointment by the President-elect for all:
(A) Donations reported under paragraph (c)(6)(iii) of this section;
(B) Refunds reported under paragraph (c)(6)(iv) of this section; and
(C) Net reported donations;
(iii) Itemization of previously unreported donations of $200 or
more, and donations that aggregate $200 or more, including:
(A) The full name of each person who made such a donation, including
first name, middle name or initial, if available, and last name, in the
case of an individual;
(B) The address of each such person;
(C) The amount of each such donation; and
(D) The date of receipt of each such donation; and
(iv) Itemization of previously unreported refunds of previously, or
contemporaneously, reported donations, including:
[[Page 121]]
(A) The full name of each person to whom such a refund was made,
including first name, middle name or initial, if available, and last
name, in the case of an individual;
(B) The address of each such person;
(C) The amount of each such refund; and
(D) The date of each such refund.
(d) Recordkeeping. All inaugural committees must maintain records in
accordance with 11 CFR 104.14.
[69 FR 59779, Oct. 6, 2004, as amended at 82 FR 60853, Dec. 26, 2017]
Sec. 104.22 Disclosure of bundling by Lobbyist/Registrants and
Lobbyist/Registrant PACs (52 U.S.C. 30104(i)).
(a) Definitions. (1) Reporting Committee. Reporting committee means:
(i) An authorized committee of a Federal candidate as defined at 11
CFR 100.5(f)(1);
(ii) A leadership PAC as defined at 11 CFR 100.5(e)(6); or
(iii) A party committee as defined at 11 CFR 100.5(e)(4).
(2) Lobbyist/Registrant. Lobbyist/registrant means a person who, at
the time a contribution is forwarded to, or is received by, a reporting
committee, is:
(i) A current registrant under Section 4(a) of the Lobbying
Disclosure Act of 1995 (2 U.S.C. 1603(a)); or
(ii) An individual who is named on a current registration or current
report filed under Section 4(b)(6) or 5(b)(2)(C) of the Lobbying
Disclosure Act of 1995 (2 U.S.C. 1603(b)(6) or 1604(b)(2)(C)).
(3) Lobbyist/Registrant PAC. Lobbyist/registrant PAC means any
political committee that a lobbyist/registrant ``established or
controls,'' as defined in paragraph (a)(4) of this section.
(4) Established or Controls. (i) For purposes of this section only,
a lobbyist/registrant established or controls any political committee
that the lobbyist/registrant is required to disclose to the Secretary of
the U. S. Senate or Clerk of the U.S. House of Representatives as being
established or controlled by that lobbyist/registrant under Section 203
of the Honest Leadership and Open Government Act of 2007, amending the
Lobbying Disclosure Act of 1995 (2 U.S.C. 1604(d)(1)(C)).
(ii) If, after consulting guidance from the offices of the Secretary
of the Senate or Clerk of the U.S House of Representatives, or
communicating with such offices, a political committee is unable to
ascertain whether it is established or controlled by a lobbyist/
registrant, a lobbyist/registrant will be deemed to have established or
to control a political committee if:
(A) The political committee is a separate segregated fund with a
current registrant under Section 4(a) of the Lobbying Disclosure Act (2
U.S.C. 1603(a)) as its connected organization; or
(B) The political committee meets either of the following criteria:
(1) A lobbyist/registrant had a primary role in the establishment of
the political committee, excluding the provision of legal or compliance
services or advice; or
(2) A lobbyist/registrant directs the governance or operations of
the political committee, excluding the provision of legal or compliance
services or advice.
(5) Covered Period. Covered period means:
(i) Semi-annually. The semi-annual periods of January 1 through June
30, and July 1 through December 31; and the period described in
paragraph (a)(5)(ii), (iii) or (iv), below, that applies to the
reporting committee.
(ii) Quarterly. For reporting committees that file campaign finance
reports under 11 CFR 104.5 on a quarterly basis, the covered period also
includes the quarters beginning on January 1, April 1, July 1, and
October 1 of each calendar year and the applicable pre- and post-
election reporting periods in election years; in a nonelection year,
reporting committees not authorized by a candidate need only observe the
semi-annual period described in paragraph (a)(5)(i) above; or
(iii) Monthly. For reporting committees that file monthly campaign
finance reports under 11 CFR 104.5, the covered period also includes
each month in the calendar year, except that in election years the pre-
and post-general election reporting periods shall constitute the covered
period in lieu of the monthly November and December reporting periods.
[[Page 122]]
(iv) Alternative for monthly filers. Any reporting committee that
files monthly campaign finance reports under 11 CFR 104.5 may choose to
file reports pursuant to the quarterly covered period in paragraph
(a)(5)(ii) of this section instead of the monthly covered period in
paragraph (a)(5)(iii) of this section. It shall do so by notifying the
Commission in writing of its intention to do so at the time the
reporting committee files a monthly report under paragraph (a)(5)(iii)
of this section. The reporting committee will be required to file its
next report under the new filing frequency. The reporting committee may
change its filing frequency no more than once per calendar year.
(v) Runoffs and Special Elections. For special elections and runoff
elections set by State law, the covered period shall be the same as the
reporting periods set under 11 CFR 104.5(h).
(6) Bundled Contribution. Bundled contribution means any
contribution that meets the definition set forth in either paragraph (i)
or (ii) below:
(i) Forwarded contribution means a contribution delivered or
transmitted, by physical or electronic means, to the reporting committee
by a lobbyist/registrant or lobbyist/registrant PAC, or by any person
that the reporting committee knows to be forwarding such contribution on
behalf of a lobbyist/registrant or lobbyist/registrant PAC.
(ii) Received and credited contribution means a contribution
received by the reporting committee from the contributor or
contributors, and credited by the reporting committee or candidate
involved to a lobbyist/registrant or lobbyist/registrant PAC through
records, designations, or other means of recognizing that a certain
amount of money has been raised by the lobbyist/registrant or lobbyist/
registrant PAC.
(A) Records, designations, or other means of recognizing. Records
means written evidence (including writings, charts, computer files,
tables, spreadsheets, databases, or other data or data compilations
stored in any medium from which information can be obtained) that the
reporting committee or candidate involved attributes to a lobbyist/
registrant or lobbyist/registrant PAC contributions raised by that
person or entity and received by the reporting committee.
Designations or other means of recognizing bundled contributions
means benefits given by the reporting committee to persons for raising a
certain amount of contributions, including but not limited to:
(1) Titles that the reporting committee assigns to persons who have
raised a certain amount of contributions;
(2) Tracking identifiers that the reporting committee assigns and
that are included on contributions or contributions-related materials
(for example, contributor response devices, cover letters, or Internet
Web site solicitation pages) for the purpose of maintaining information
about the amounts of contributions that a person raises;
(3) Access (including offers or attendance) to events or activities
given to the lobbyist/registrant or lobbyist/registrant PAC by the
reporting committee as a result of raising a certain amount of
contributions; and
(4) Mementos, such as photographs with the candidate or autographed
copies of books authored by the candidate, given by the reporting
committee to persons who have raised a certain amount of contributions.
(B) The candidate involved. The candidate involved means the
candidate by whom the authorized committee is authorized; the candidate
or individual holding Federal office who directly or indirectly
established, finances, maintains or controls the leadership PAC; or the
chairman of the committee in the case of a political party committee.
(iii) Bundled contributions do not include contributions made by the
lobbyist/registrant PAC or from the personal funds of the lobbyist/
registrant that forwards or is credited with raising the contributions
or the personal funds of that person's spouse.
(b) Reporting requirement for reporting committees--(1) FEC Form 3L.
Each reporting committee must file FEC Form 3L (Report of Contributions
Bundled by Lobbyist/Registrants and Lobbyist/Registrant PACs) if it has
received two or more bundled contributions (see
[[Page 123]]
paragraph (a)(6)) forwarded by or received and credited to a person
reasonably known by the reporting committee to be a lobbyist/registrant
or lobbyist/registrant PAC aggregating in excess of $15,000 during the
covered period. The form shall set forth:
(i) The name of each lobbyist/registrant or lobbyist/registrant PAC;
(ii) The address of each lobbyist/registrant or lobbyist/registrant
PAC;
(iii) The employer of each lobbyist/registrant; and
(iv) The aggregate amount of bundled contributions forwarded by or
received and credited to each lobbyist/registrant or lobbyist/registrant
PAC by the reporting committee during the covered period.
(2) Determining whether a person is reasonably known to be a
lobbyist/registrant or lobbyist/registrant PAC. (i) In order to comply
with paragraph (b)(1) of this section, a reporting committee must
consult, in a manner reasonably calculated to find the name of each
person who is a lobbyist/registrant or lobbyist/registrant PAC, the Web
sites maintained by the Clerk of the House of Representatives, the
Secretary of the Senate, and the Federal Election Commission to
determine whether, at the time a contribution was forwarded to, or
received by, the reporting committee:
(A) The person was listed as a current registrant under Section 4(a)
of the Lobbying Disclosure Act of 1995 (2 U.S.C. 1603(a));
(B) The person was an individual listed on a current registration
filed under Section 4(b)(6) or a current report filed under Section
5(b)(2)(C) of the Lobbying Disclosure Act of 1995 (2 U.S.C. 1603 or
1604);
(C) The person identified itself as a lobbyist/registrant PAC on its
Statement of Organization, FEC Form 1, filed with the Commission; or
(D) The person was listed as a political committee established or
controlled by a lobbyist or registrant on a report filed under Sec.
203(a) of the Honest Leadership and Open Government Act of 2007,
amending the Lobbying Disclosure Act of 1995 (2 U.S.C. 1604).
(ii) A manner reasonably calculated to find the name of each person
who is a lobbyist/registrant or lobbyist/registrant PAC may be
demonstrated by the reporting committee producing a computer printout or
screen capture from a Web browser indicating that the name of the person
sought was not listed in the results of the Web site consultations
performed in accordance with paragraph (b)(2)(i) of this section. Such a
computer printout or screen capture shall constitute conclusive evidence
that the reporting committee has consulted such Web sites and not found
the name of the person sought, but shall not be the exclusive means by
which the reporting committee may provide evidence that it has consulted
such Web sites and not found the name of the person sought.
(iii) A reporting committee shall be subject to the reporting
requirement under paragraph (b)(1) of this section if it had actual
knowledge that, at the time a contribution was forwarded or received,
the person whose name is sought was required to be listed on any
registration or report described in paragraph (b)(2)(i) of this section.
(c) Lobbyist/Registrant PAC reporting requirements. Any political
committee that is a lobbyist/registrant PAC as defined in paragraph
(a)(3) of this section must identify itself as such on FEC Form 1 either
upon registration with the Commission if it is a new political
committee, or by amendment in accordance with 11 CFR 102.2(a)(2) if it
is a political committee registered with the Commission.
(d) Where to file. Reporting committees shall file with the Federal
Election Commission.
(e) When to file. Reporting committees must file the forms required
under this section with the first report that they file under 11 CFR
104.5 following the end of each covered period.
(f) Recordkeeping. In addition to any requirements to maintain
records and accounts under 11 CFR 102.8, 102.9 and 110.6, each reporting
committee must maintain for three years after the filing of the report
to which the information relates a record of any bundled contributions
(see 11 CFR 104.22(a)(6)) provided by a lobbyist/registrant or lobbyist/
registrant PAC that aggregate
[[Page 124]]
in excess of $15,000 for any covered period. The information required to
be maintained is:
(1) The name and address of the lobbyist/registrant or lobbyist/
registrant PAC;
(2) The employer of the lobbyist/registrant; and
(3) The aggregate amount of bundled contributions forwarded by or
received and credited to each lobbyist/registrant or lobbyist/registrant
PAC by the reporting committee during the covered period.
(g) Price index increase. (1) The threshold for reporting bundled
contributions established in paragraph (b)(1) of this section shall be
increased by the percent difference between the price index as defined
at 11 CFR 110.17(d), as certified to the Commission by the Secretary of
Labor, for the 12 months preceding the beginning of the calendar year
and the price index for the base period.
(2) Each contribution bundling threshold so increased shall be the
threshold in effect for that calendar year.
(3) For purposes of this paragraph (g), the term base period means
calendar year 2006.
(4) If any amount after the increases under this paragraph (g) is
not a multiple of $100, such amount shall be rounded to the nearest
multiple of $100.
[74 FR 7302, Feb. 17, 2009, as amended at 84 FR 18700, May 2, 2019]
PART 105_DOCUMENT FILING (52 U.S.C. 30102(g))--Table of Contents
Sec.
105.1 Place of filing (52 U.S.C. 30102(g), 30104(g)).
105.2-105.5 [Reserved]
Authority: 52 U.S.C. 30102(g), 30104, 30111(a)(8).
Source: 45 FR 15116, Mar. 7, 1980, unless otherwise noted.
Sec. 105.1 Place of filing (52 U.S.C. 30102(g), 30104(g)).
All designations, statements, reports, and notices, as well as any
modification(s) or amendment(s) thereto, required to be filed under the
Act shall be filed in original form with, and received by, the
Commission as defined in Sec. 1.2.
[84 FR 18700, May 2, 2019]
Sec. Sec. 105.2-105.5 [Reserved]
PART 106_ALLOCATIONS OF CANDIDATE AND COMMITTEE ACTIVITIES-
-Table of Contents
Sec.
106.1 Allocation of expenses between candidates.
106.2 State allocation of expenditures incurred by authorized committees
of Presidential primary candidates receiving matching funds.
106.3 Allocation of expenses between campaign and non-campaign related
travel.
106.4 Allocation of polling expenses.
106.5 Allocation of expenses between federal and non-federal activities
by national party committees.
106.6 Allocation of expenses between federal and non-federal activities
by separate segregated funds and nonconnected committees.
106.7 Allocation of expenses between Federal and non-Federal accounts by
party committees, other than for Federal election activities.
106.8 Allocation of expenses for political party committee phone banks
that refer to a clearly identified Federal candidate.
Authority: 52 U.S.C. 30111(a)(8), 30116(b), 30116(g).
Sec. 106.1 Allocation of expenses between candidates.
(a) General rule. (1) Expenditures, including in-kind contributions,
independent expenditures, and coordinated expenditures made on behalf of
more than one clearly identified Federal candidate shall be attributed
to each such candidate according to the benefit reasonably expected to
be derived. For example, in the case of a publication or broadcast
communication, the attribution shall be determined by the proportion of
space or time devoted to each candidate as compared to the total space
or time devoted to all candidates. In the case of a fundraising program
or event where funds are collected by one committee for more than one
clearly identified candidate, the attribution shall be determined by the
proportion of funds received by each candidate as compared to the total
receipts by all candidates. In the case of
[[Page 125]]
a phone bank, the attribution shall be determined by the number of
questions or statements devoted to each candidate as compared to the
total number of questions or statements devoted to all candidates. These
methods shall also be used to allocate payments involving both
expenditures on behalf of one or more clearly identified Federal
candidates and disbursements on behalf of one or more clearly identified
non-Federal candidates.
(2) An expenditure made on behalf of more than one clearly
identified Federal candidate shall be reported pursuant to 11 CFR
104.10(a) or 104.17(a), as appropriate. A payment that also includes
amounts attributable to one or more non-Federal candidates, and that is
made by a political committee with separate Federal and non-Federal
accounts, shall be made according to the procedures set forth in 11 CFR
106.6(e) or 106.7(f), but shall be reported pursuant to 11 CFR 104.10(a)
or 104.17(a). If a State, district, or local party committee's payment
on behalf of both a Federal candidate and a non-Federal candidate is for
a Federal election activity, only Federal funds may be used for the
entire payment. For Federal election activities, the provisions of 11
CFR 300.33 and 104.17(a) will apply to payments attributable to
candidates.
(b) An authorized expenditure made by a candidate or political
committee on behalf of another candidate shall be reported as a
contribution in-kind (transfer) to the candidate on whose behalf the
expenditure was made, except that expenditures made by party committees
pursuant to Sec. 109.32 or 109.33 need only be reported as an
expenditure.
(c) Exceptions: (1) Expenditures for rent, personnel, overhead,
general administrative, fund-raising, and other day-to-day costs of
political committees need not be attributed to individual candidates,
unless these expenditures are made on behalf of a clearly identified
candidate and the expenditure can be directly attributed to that
candidate.
(2) Expenditures for educational campaign seminars, for training of
campaign workers, and for registration or get-out-the-vote drives of
committees need not be attributed to individual candidates unless these
expenditures are made on behalf of a clearly identified candidate, and
the expenditure can be directly attributed to that candidate.
(3) Payments made for the cost of certain voter registration and
get-out-the-vote activities conducted by State or local party
organizations on behalf of any Presidential or Vice-Presidential
candidate(s) are exempt from the definition of a contribution or an
expenditure under 11 CFR 100.89 and 100.149. If the State or local party
organization includes references to any candidate(s) seeking nomination
or election to the House of Representatives or Senate of the United
States the portion of the cost of such activities allocable to such
candidate(s) shall be considered a contribution to or an expenditure on
behalf of such candidate(s), unless such reference is incidental to the
overall activity. If such reference is incidental to the overall
activity, such costs shall not be considered a contribution to or
expenditure on behalf of any candidate(s).
(d) For purposes of this section, clearly identified shall have the
same meaning as set forth at 11 CFR 100.17.
(e) State, district, and local party committees, separate segregated
funds, and nonconnected committees that make mixed Federal/non-Federal
payments for activities other than an activity entailing an expenditure
for a Federal candidate and disbursement for a non-Federal candidate, or
that make mixed Federal/Levin fund payments, shall allocate those
expenses in accordance with 11 CFR 106.6, 106.7, or 300.33, as
appropriate.
(52 U.S.C. 30111(a)(8))
[41 FR 35944, Aug. 25, 1976, as amended at 45 FR 15117, Mar. 7, 1980; 45
FR 21209, Apr. 1, 1980; 55 FR 26069, June 26, 1990; 60 FR 35305, July 6,
1995; 67 FR 49115, July 29, 2002; 67 FR 78681, Dec. 26, 2002]
Sec. 106.2 State allocation of expenditures incurred by authorized
committees of Presidential primary candidates receiving matching funds.
(a) General--(1) This section applies to Presidential primary
candidates receiving or expecting to receive federal matching funds
pursuant to 11 CFR
[[Page 126]]
parts 9031 et seq. The expenditures described in 11 CFR 106.2(b)(2)
shall be allocated to a particular State if incurred by a candidate's
authorized committee(s) for the purpose of influencing the nomination of
that candidate for the office of President with respect to that State.
An expenditure shall not necessarily be allocated to the State in which
the expenditure is incurred or paid. In the event that the Commission
disputes the candidate's allocation or claim of exemption for a
particular expense, the candidate shall demonstrate, with supporting
documentation, that his or her proposed method of allocation or claim of
exemption was reasonable. Expenditures required to be allocated to the
primary election under 11 CFR 9034.4(e) shall also be allocated to
particular states in accordance with this section.
(2) Disbursements made prior to the time an individual becomes a
candidate for the purpose of determining whether that individual should
become a candidate pursuant to 11 CFR 100.72(a) and 100.131(a), i.e.,
payments for testing the waters, shall be allocable expenditures under
this section if the individual becomes a candidate.
(b) Method of allocating expenditures among States--(1) General
allocation method. Unless otherwise specified under 11 CFR 106.2(b)(2),
an expenditure described in 11 CFR 106.2(b)(2) and incurred by a
candidate's authorized committee(s) for the purpose of influencing the
nomination of that candidate in more than one State shall be allocated
to each State on a reasonable and uniformly applied basis. The total
amount allocated to a particular State may be reduced by the amount of
exempt fundraising expenses for that State, as specified in 11 CFR
110.8(c)(2).
(2) Specific allocation methods. Expenditures that fall within the
categories listed below shall be allocated based on the following
methods. The method used to allocate a category of expenditures shall be
based on consistent data for each State to which an allocation is made.
(i) Media expenditures--(A) Print media. Except for expenditures
exempted under 11 CFR 106.2(b)(2)(i) (E) and (F), allocation of
expenditures for the publication and distribution of newspaper, magazine
and other types of printed advertisements distributed in more than one
State shall be made using relative circulation percentages in each State
or an estimate thereof. For purposes of this section, allocation to a
particular State will not be required if less than 3% of the total
estimated readership of the publication is in that State.
(B) Broadcast media. Except for expenditures exempted under 11 CFR
106.2(b)(2)(i) (E) and (F), expenditures for radio, television and
similar types of advertisements purchased in a particular media market
that covers more than one State shall be allocated to each State in
proportion to the estimated audience. This allocation of expenditures,
shall be made using industry market data. If industry market data is not
available, the committee shall obtain market data from the media carrier
transmitting the advertisement(s).
(C) Refunds for media expenditures. Refunds for broadcast time or
advertisement space, purchased but not used, shall be credited to the
States on the same basis as the original allocation.
(D) Limits on allocation of media expenditures. No allocation of
media expenditures shall be made to any State in which the primary
election has already been held.
(E) National advertising. Expenditures incurred for advertisements
on national networks, national cable or in publications distributed
nationwide need not be allocated to any State.
(F) Media production costs. Expenditures incurred for production of
media advertising, whether or not that advertising is used in more than
one State, need not be allocated to any State.
(G) Commissions. Expenditures for commissions, fees and other
compensation for the purchase of broadcast or print media need not be
allocated to any State.
(ii) Expenditures for mass mailings and other campaign materials.
Expenditures for mass mailings of more than 500 pieces to addresses in
the same State, and expenditures for shipping campaign materials to a
State, including pins, bumperstickers, handbills, brochures, posters and
yardsigns, shall be allocated to that State. For purposes of
[[Page 127]]
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 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
[[Page 128]]
nationwide basis, expenditures incurred for the taking of a public
opinion poll covering two or more States shall be allocated to those
States based on the number of people interviewed in each State.
Expenditures incurred for the taking of a public opinion poll include
consultant's fees, travel costs and other expenses associated with
designing and conducting the poll. Records supporting the committee's
allocation under this section shall include documentation showing the
total number of people contacted for each poll and the number contacted
in each State.
(3) National consulting fees. Expenditures for consultants' fees
need not be allocated to any State if the fees are charged for
consulting on national campaign strategy. Expenditures for consultants'
fees charged for conducting special telephone programs and public
opinion polls shall be allocated in accordance with paragraphs (b)(2)
(iv) and (v) of this section.
(c) Reporting. All expenditures allocated under this section shall
be reported on FEC Form 3P, page 3.
(d) Recordkeeping. All assumptions and supporting calculations for
allocations made under this section shall be documented and retained for
Commission inspection. In addition to the records specified in paragraph
(b) of this section, the treasurer shall retain records supporting the
committee's allocations of expenditures to particular States and claims
of exemption from allocation under this section. If the records
supporting the allocation or claim of exemption are not retained, the
expenditure shall be considered allocable and shall be allocated to the
State holding the next primary election, caucus or convention after the
expenditure is incurred.
[56 FR 35909, July 29, 1991, as amended at 60 FR 31872, June 16, 1995;
67 FR 78681, Dec. 26, 2002]
Sec. 106.3 Allocation of expenses between campaign and non-campaign
related travel.
(a) This section applies to allocation for expenses between campaign
and non-campaign related travel with respect to campaigns of candidates
for Federal office, other than Presidential and Vice Presidential
candidates who receive federal funds pursuant to 11 CFR part 9005 or
9036. (See 11 CFR 9004.7 and 9034.7) All expenditures for campaign-
related travel paid for by a candidate from a campaign account or by his
or her authorized committees or by any other political committee shall
be reported.
(b)(1) Travel expenses paid for by a candidate from personal funds,
or from a source other than a political committee, shall constitute
reportable expenditures if the travel is campaign-related.
(2) Where a candidate's trip involves both campaign-related and non-
campaign-related stops, the expenditures allocable for campaign purposes
are reportable, and are calculated on the actual cost-per-mile of the
means of transportation actually used, starting at the point of origin
of the trip, via every campaign-related stop and ending at the point of
origin.
(3) Where a candidate conducts any campaign-related activity in a
stop, the stop is a campaign-related stop and travel expenditures made
are reportable. Campaign-related activity shall not include any
incidental contacts.
(c)(1) Where an individual, other than a candidate, conducts
campaign-related activities on a trip, the portion of the trip
attributed to each candidate shall be allocated on a reasonable basis.
(2) Travel expenses of a candidate's spouse and family are
reportable as expenditures only if the spouse or family members conduct
campaign-related activities.
(d) Costs incurred by a candidate for the United States Senate or
House of Representatives for travel between Washington, DC, and the
State or district in which he or she is a candidate need not be reported
herein unless the costs are paid by a candidate's authorized
committee(s), or by any other political committee(s).
(e) Notwithstanding paragraphs (b) and (c) of this section, the
reportable expenditure for a candidate who uses government
accommodations for travel that is campaign-related is the rate for
comparable accommodations. The reportable expenditure for a candidate
who uses a government conveyance for
[[Page 129]]
travel that is campaign-related is the applicable rate for a comparable
commercial conveyance set forth in 11 CFR 100.93(e). In the case of a
candidate authorized by law or required by national security to be
accompanied by staff and equipment, the allocable expenditures are the
costs of facilities sufficient to accommodate the party, less authorized
or required personnel and equipment. If such a trip includes both
campaign and noncampaign stops, equivalent costs are calculated in
accordance with paragraphs (b) and (c) of this section.
(52 U.S.C. 30111(a)(8))
[41 FR 35944, Aug. 25, 1976, as amended at 45 FR 15117, Mar. 7, 1980; 45
FR 43387, June 27, 1980; 48 FR 5234, Feb. 4, 1983; 68 FR 69595, Dec. 15,
2003]
Sec. 106.4 Allocation of polling expenses.
(a) The purchase of opinion poll results by a candidate or a
candidate's authorized political committee or agent is an expenditure by
the candidate. Regarding the purchase of opinion poll results for the
purpose of determining whether an individual should become a candidate,
see 11 CFR 100.131(a).
(b) The purchase of opinion poll results by a political committee or
other person not authorized by a candidate to make expenditures and the
subsequent acceptance of the poll results by a candidate or a
candidate's authorized political committee or agent or by another
unauthorized political committee is a contribution in-kind by the
purchaser to the candidate or other political committee and an
expenditure by the candidate or other political committee. Regarding the
purchase of opinion poll results for the purpose of determining whether
an individual should become a candidate, see 11 CFR 100.72(a). The poll
results are accepted by a candidate or other political committee if the
candidate or the candidate's authorized political committee or agent or
the other unauthorized political committee--
(1) Requested the poll results before their receipt;
(2) Uses the poll results; or
(3) Does not notify the contributor that the results are refused.
(c) The acceptance of any part of a poll's results which part, prior
to receipt, has been made public without any request, authorization,
prearrangement, or coordination by the candidate-receipient or political
committee-recipient, shall not be treated as a contribution in-kind and
expenditure under paragraph (b) of this section.
(d) The purchase of opinion poll results by an unauthorized
political committee for its own use, in whole or in part, is an overhead
expenditure by the political committee under Sec. 106.1(c)(1) to the
extent of the benefit derived by the committee.
(e) The amount of a contribution under paragraph (b) of this section
or of any expenditure under paragraphs (a) and (b) of this section
attributable to each candidate-recipient or political committee-
recipient shall be--
(1) That share of the overall cost of the poll which is allocable to
each candidate (including State and local candidates) or political
committee, based upon the cost allocation formula of the polling firm
from which the results are purchased. Under this method the size of the
sample, the number of computer column codes, the extent of computer
tabulations, and the extent of written analysis and verbal consultation,
if applicable, may be used to determine the shares; or
(2) An amount computed by dividing the overall cost of the poll
equally among candidates (including State and local candidates) or
political committees receiving the results; or
(3) A proportion of the overall cost of the poll equal to the
proportion that the number of question results received by the candidate
or political committee bears to the total number of question results
received by all candidates (including State and local candidates) and
political committees; or
(4) An amount computed by any other method which reasonably reflects
the benefit derived.
(f) The first candidate(s) or committee(s) receiving poll results
under paragraph (b) or (d) of this section and any candidate or
political committee receiving poll results under paragraph (b) of this
section within 15 days after receipt by the initial recipient(s) shall
[[Page 130]]
compute the amount of the contribution in-kind and the expenditure as
provided in paragraph (e) of this section.
(g) The amount of the contribution and expenditure reported by a
candidate or a political committee receiving poll results under
paragraph (b) of this section more than 15 days after receipt of such
poll results by the initial recipient(s) shall be--
(1) If the results are received during the period 16 to 60 days
following receipt by the initial recipient(s), 50 percent of the amount
allocated to an initial recipient of the same results;
(2) If the results are received during the period 61 to 180 days
after receipt by the initial recipient(s), 5 percent of the amount
allocated to an initial recipient of the same results;
(3) If the results are received more than 180 days after receipt by
the initial recipient(s), no amount need be allocated.
(h) A contributor of poll results under paragraph (b) of this
section shall maintain records sufficient to support the valuation of
the contribution(s) in-kind and shall inform the candidate-recipient(s)
or political committee-recipient(s) of the value of the contribution(s).
[41 FR 35944, Aug. 25, 1976, as amended at 45 FR 21209, Apr. 1, 1980; 67
FR 78681, Dec. 26, 2002]
Sec. 106.5 Allocation of expenses between federal and non-federal
activities by national party committees.
(a) General rules--(1) Disbursements from Federal and non-Federal
accounts. National party committees that make disbursements in
connection with Federal and non-Federal elections shall make those
disbursements entirely from funds subject to the prohibitions and
limitations of the Act, or from accounts established pursuant to 11 CFR
102.5. Political committees that have established separate Federal and
non-Federal accounts under 11 CFR 102.5(a)(1)(i) shall allocate expenses
between those accounts according to this section. Organizations that are
not political committees but have established separate Federal and non-
Federal accounts under 11 CFR 102.5(b)(1)(i), or that make Federal and
non-Federal disbursements from a single account under 11 CFR
102.5(b)(1)(ii), shall also allocate their Federal and non-Federal
expenses according to this section. This section covers:
(i) General rules regarding allocation of Federal and non-Federal
expenses by party committees;
(ii) Percentages to be allocated for administrative expenses and
costs of generic voter drives by national party committees;
(iii) Methods for allocation of administrative expenses, costs of
generic voter drives, and of fundraising costs by national party
committees; and
(iv) Procedures for payment of allocable expenses. Requirements for
reporting of allocated disbursements are set forth in 11 CFR 104.10.
(2) Costs to be allocated. National party committees that make
disbursements in connection with Federal and non-Federal elections shall
allocate expenses according to this section for the following categories
of activity:
(i) Administrative expenses including rent, utilities, office
supplies, and salaries, except for such expenses directly attributable
to a clearly identified candidate;
(ii) The direct costs of a fundraising program or event including
disbursements for solicitation of funds and for planning and
administration of actual fundraising events, where Federal and non-
Federal funds are collected by one committee through such program or
event; and
(iii) [Reserved]
(iv) Generic voter drives including voter identification, voter
registration, and get-out-the-vote drives, or any other activities that
urge the general public to register, vote or support candidates of a
particular party or associated with a particular issue, without
mentioning a specific candidate.
(b) National party committees other than Senate or House campaign
committees; fixed percentages for allocating administrative expenses and
costs of generic voter drives--(1) General rule. Each national party
committee other than a Senate or House campaign committee shall allocate
a fixed percentage of its administrative expenses and costs of generic
voter drives, as described in paragraph (a)(2) of this section, to its
[[Page 131]]
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 non-Federal account, as necessary, to reflect
the adjusted allocation ratio. The committee shall make note of any such
adjustments and transfers on its periodic reports, submitted pursuant to
11 CFR 104.5.
(2) Minimum Federal percentage for administrative expenses and costs
of generic voter drives. Regardless of the allocation ratio calculated
under paragraph (c)(1) of this section, each Senate or House campaign
committee of a national party shall allocate to its Federal account at
least 65% each of its administrative expenses and costs of generic voter
drives each year. If the committee's own allocation calculation under
paragraph (c)(1) of this section yields a Federal share greater than
65%, then the higher percentage shall be applied. If such calculation
yields a Federal share lower than 65%, then the committee shall report
its calculated ratio according to 11 CFR 104.10(b), and shall apply the
required minimum Federal percentage.
(3) Allocation of fundraising costs. Senate and House campaign
committees shall allocate the costs of each combined Federal and non-
Federal fundraising program or event according to paragraph (f) of this
section, with no minimum percentages required.
(d)-(e) [Reserved]
(f) National party committees; method for allocating direct costs of
fundraising. (1) If Federal and non-Federal funds are collected by one
committee through a
[[Page 132]]
joint activity, that committee shall allocate its direct costs of
fundraising, as described in paragraph (a)(2) of this section, according
to the funds received method. Under this method, the committee shall
allocate its fundraising costs based on the ratio of funds received into
its Federal account to its total receipts from each fundraising program
or event. This ratio shall be estimated prior to each such program or
event based upon the committee's reasonable prediction of its Federal
and non-Federal revenue from that program or event, and shall be noted
in the committee's report for the period in which the first disbursement
for such program or event occurred, submitted pursuant 11 CFR 104.5. Any
disbursements for fundraising costs made prior to the actual program or
event shall be allocated according to this estimated ratio.
(2) No later than the date 60 days after each fundraising program or
event from which both Federal and non-Federal funds are collected, the
committee shall adjust the allocation ratio for that program or event to
reflect the actual ratio of funds received. If the non-Federal account
has paid more than its allocable share, the committee shall transfer
funds from its Federal to its non-Federal account, as necessary, to
reflect the adjusted allocation ratio. If the Federal account has paid
more than its allocable share, the committee shall make any transfers of
funds from its non-federal to its federal account to reflect the
adjusted allocation ratio within the 60-day time period established by
this paragraph. The committee shall make note of any such adjustments
and transfers in its report for any period in which a transfer was made,
and shall also report the date of the fundraising program or event that
serves as the basis for the transfer. In the case of a telemarketing or
direct mail campaign, the date for purposes of this paragraph is the
last day of the telemarketing campaign, or the day on which the final
direct mail solicitations are mailed.
(g) Payment of allocable expenses by committees with separate
Federal and non-Federal accounts--(1) Payment options. Committees that
have established separate Federal and non-Federal accounts under 11 CFR
102.5(a)(1)(i) or (b)(1)(i) shall pay the expenses of joint Federal and
non-Federal activities described in paragraph (a)(2) of this section
according to either paragraph (g)(1)(i) or (ii), as follows:
(i) Payment by Federal account; transfers from non-Federal account
to Federal account. The committee shall pay the entire amount of an
allocable expense from its Federal account and shall transfer funds from
its non-Federal account to its Federal account solely to cover the non-
Federal share of that allocable expense.
(ii) Payment by separate allocation account; transfers from Federal
and non-Federal accounts to allocation account. (A) The committee shall
establish a separate allocation account into which funds from its
Federal and non-Federal accounts shall be deposited solely for the
purpose of paying the allocable expenses of joint Federal and non-
Federal activities. Once a committee has established a separate
allocation account for this purpose, all allocable expenses shall be
paid from that account for as long as the account is maintained.
(B) The committee shall transfer funds from its Federal and non-
Federal accounts to its allocation account in amounts proportionate to
the Federal or non-Federal share of each allocable expense.
(C) No funds contained in the allocation account may be transferred
to any other account maintained by the committee.
(2) Timing of transfers between accounts. (i) Under either payment
option described in paragraphs (g)(1)(i) or (ii) of this section, the
committee shall transfer funds from its non-Federal account to its
Federal account or from its Federal and non-Federal accounts to its
separate allocation account following determination of the final cost of
each joint Federal and non-Federal activity, or in advance of such
determination if advance payment is required by the vendor and if such
payment is based on a reasonable estimate of the activity's final cost
as determined by the committee and the vendor(s) involved.
(ii) Funds transferred from a committee's non-Federal account to its
[[Page 133]]
Federal account or its allocation account are subject to the following
requirements:
(A) For each such transfer, the committee must itemize in its
reports the allocable activities for which the transferred funds are
intended to pay, as required by 11 CFR 104.10(b)(3); and
(B) Except as provided in paragraph (f)(2) of this section, such
funds may not be transferred more than 10 days before or more than 60
days after the payments for which they are designated are made.
(iii) Any portion of a transfer from a committee's non-Federal
account to its Federal account or its allocation account that does not
meet the requirements of paragraph (g)(2)(ii) of this section shall be
presumed to be a loan or contribution from the non-Federal account to a
Federal account, in violation of the Act.
(3) Reporting transfers of funds and allocated disbursements. A
political committee that transfers funds between accounts and pays
allocable expenses according to this section shall report each such
transfer and disbursement pursuant to 11 CFR 104.10(b).
(h) Sunset provision. This section applies from November 6, 2002, to
December 31, 2002. After December 31, 2002, see 11 CFR 106.7(a).
[67 FR 49116, July 29, 2002]
Sec. 106.6 Allocation of expenses between federal and non-federal
activities by separate segregated funds and nonconnected committees.
(a) General rule. Separate segregated funds and nonconnected
committees that make disbursements in connection with federal and non-
federal elections shall make those disbursements either entirely from
funds subject to the prohibitions and limitations of the Act, or from
accounts established pursuant to 11 CFR 102.5. Separate segregated funds
and nonconnected committees that have established separate federal and
non-federal accounts under 11 CFR 102.5 (a)(1)(i), or that make federal
and non-federal disbursements from a single account under 11 CFR
102.5(a)(1)(ii), shall allocate their federal and non-federal expenses
according to paragraphs (c), (d), and (f) of this section. For purposes
of this section, ``nonconnected committee'' includes any committee which
conducts activities in connection with an election, but which is not a
party committee, an authorized committee of any candidate for federal
election, or a separate segregated fund.
(b) Payments for administrative expenses, voter drives and certain
public communications--(1) Costs to be allocated. Separate segregated
funds and nonconnected committees that make disbursements in connection
with Federal and non-Federal elections shall allocate expenses for the
following categories of activity in accordance with paragraphs (c) or
(d) of this section:
(i) Administrative expenses including rent, utilities, office
supplies, and salaries not attributable to a clearly identified
candidate, except that for a separate segregated fund such expenses may
be paid instead by its connected organization;
(ii) The direct costs of a fundraising program or event including
disbursements for solicitation of funds and for planning and
administration of actual fundraising events, where Federal and non-
Federal funds are collected through such program or event, except that
for a separate segregated fund such expenses may be paid instead by its
connected organization;
(iii) Generic voter drives including voter identification, voter
registration, and get-out-the-vote drives, or any other activities that
urge the general public to register, vote or support candidates of a
particular party or associated with a particular issue, without
mentioning a specific candidate; and
(iv) Public communications that refer to a political party, but do
not refer to any clearly identified Federal or non-Federal candidate;
(2) Costs not subject to allocation. Separate segregated funds and
nonconnected committees that make disbursements for the following
categories of activity shall pay for those activities in accordance with
paragraph (f) of this section:
(i) Voter drives, including voter identification, voter
registration, and get-out-the-vote drives, in which the printed
materials or scripted messages refer to, or the written instructions
direct
[[Page 134]]
the separate segregated fund's or nonconnected committee's employee or
volunteer to refer to:
(A) One or more clearly identified Federal candidates, but do not
refer to any clearly identified non-Federal candidates; or
(B) One or more clearly identified Federal candidates and also refer
to candidates of a particular party or associated with a particular
issue, but do not refer to any clearly identified non-Federal
candidates;
(ii) Voter drives, including voter identification, voter
registration, and get-out-the-vote drives, in which the printed
materials or scripted messages refer to, or the written instructions
direct the separate segregated fund's or nonconnected committee's
employee or volunteer to refer to:
(A) One or more clearly identified non-Federal candidates, but do
not refer to any clearly identified Federal candidates; or
(B) One or more clearly identified non-Federal candidates and also
refer to candidates of a particular party or associated with a
particular issue, but do not refer to any clearly identified Federal
candidates;
(iii) Public communications that refer to one or more clearly
identified Federal candidates, regardless of whether there is reference
to a political party, but do not refer to any clearly identified non-
Federal candidates; and
(iv) Public communications that refer to a political party, and
refer to one or more clearly identified non-Federal candidates, but do
not refer to any clearly identified Federal candidates.
(c) [Reserved]
(d) Method for allocating direct costs of fundraising. (1) If
federal and non-federal funds are collected by one committee through a
joint activity, that committee shall allocate its direct costs of
fundraising, as described in paragraph (b)(1) of this section, according
to the funds received method. Under this method, the committee shall
allocate its fundraising costs based on the ratio of funds received into
its federal account to its total receipts from each fundraising program
or event. This ratio shall be estimated prior to each such program or
event based upon the committee's reasonable prediction of its federal
and non-federal revenue from that program or event, and shall be noted
in the committee's report for the period in which the first disbursement
for such program or event occurred, submitted pursuant to 11 CFR 104.5.
Any disbursements for fundraising costs made prior to the actual program
or event shall be allocated according to this estimated ratio.
(2) No later than the date 60 days after each fundraising program or
event from which both federal and non-federal funds are collected, the
committee shall adjust the allocation ratio for that program or event to
reflect the actual ratio of funds received. If the non-federal account
has paid more than its allocable share, the committee shall transfer
funds from its federal to its non-federal account, as necessary, to
reflect the adjusted allocation ratio. If the federal account has paid
more than its allocable share, the committee shall make any transfers of
funds from its non-federal to its federal account to reflect the
adjusted allocation ratio within the 60-day time period established by
this paragraph. The committee shall make note of any such adjustments
and transfers in its report for any period in which a transfer was made,
and shall also report the date of the fundraising program or event which
serves as the basis for the transfer. In the case of a telemarketing or
direct mail campaign, the ``date'' for purposes of this paragraph is the
last day of the telemarketing campaign, or the day on which the final
direct mail solicitations are mailed.
(e) Payment of allocable expenses by committees with separate
federal and non-federal accounts--(1) Payment options. Nonconnected
committees and separate segregated funds that have established separate
federal and non-federal accounts under 11 CFR 102.5 (a)(1)(i) shall pay
the expenses of joint federal and non-federal activities described in
paragraph (b) of this section according to either paragraph (e)(1)(i) or
(ii), as follows:
(i) Payment by federal account; transfers from non-federal account
to federal account. The committee shall pay the entire amount of an
allocable expense
[[Page 135]]
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).
(f) [Reserved]
Note to 11 CFR 106.6: On November 30, 2009, the United States
District Court for the District of Columbia ordered that paragraphs (c)
and (f) of Sec. 106.6 are vacated. See Final Order, EMILY's List v.
FEC, No. 05-0049 (D.D.C. Nov. 30, 2009).
[55 FR 26071, June 26, 1990, as amended at 57 FR 8993, Mar. 13, 1992; 69
FR 68067, Nov. 23, 2004; 74 FR 68662, Dec. 29, 2009; 75 FR 13224, Mar.
19, 2010; 81 FR 34863, June 1, 2016]
Sec. 106.7 Allocation of expenses between Federal and non-Federal
accounts by party committees, other than for Federal election activities.
(a) National party committees are prohibited from raising or
spending non-Federal funds. Therefore, these committees shall not
allocate expenditures and disbursements between Federal and non-Federal
accounts. All disbursements by a national party committee must be made
from a Federal account.
(b) State, district, and local party committees that make
expenditures and disbursements in connection with both Federal and non-
Federal elections for activities that are not Federal election
activities pursuant to 11 CFR 100.24 may use only funds subject to the
prohibitions and limitations of the Act, or they may allocate such
expenditures and disbursements between their Federal and their non-
Federal accounts. State, district, and local party committees that are
political committees that have established separate Federal and non-
Federal accounts under 11 CFR 102.5(a)(1)(i) shall allocate expenses
between those accounts according to
[[Page 136]]
paragraphs (c) and (d) of this section. Party organizations that are not
political committees but have established separate Federal and non-
Federal accounts, or that make Federal and non-Federal disbursements
from a single account, shall also allocate their Federal and non-Federal
expenses according to paragraphs (c) and (d) of this section. In lieu of
establishing separate accounts, party organizations that are not
political committees may choose to use a reasonable accounting method
approved by the Commission (including any method embedded in software
provided or approved by the Commission) pursuant to 11 CFR 102.5 and
300.30.
(c) Costs allocable by State, district, and local party committees
between Federal and non-Federal accounts--(1) Salaries, wages, and
fringe benefits. State, district, and local party committees must either
pay salaries, wages, and fringe benefits for employees who spend 25% or
less of their time in a given month on Federal election activity or
activity in connection with a Federal election with funds from their
Federal account, or with a combination of funds from their Federal and
non-Federal accounts, in accordance with paragraph (d)(2) of this
section. See 11 CFR 300.33(d)(1).
(2) Administrative costs. State, district, and local party
committees may either pay administrative costs, including rent,
utilities, office equipment, office supplies, postage for other than
mass mailings, and routine building maintenance, upkeep and repair, from
their Federal account, or allocate such expenses between their Federal
and non-Federal accounts, except that any such expenses directly
attributable to a clearly identified Federal candidate must be paid only
from the Federal account.
(3) Exempt party activities that are not Federal election
activities. State, district, and local party committees may pay expenses
for party activities that are exempt from the definitions of
contribution and expenditure under 11 CFR 100.80, 100.87 or 100.89, and
100.140, 100.147 or 100.149, that are conducted in conjunction with non-
Federal activity, and that are not Federal election activities pursuant
to 11 CFR 100.24, from their Federal accounts, or may allocate these
expenses between their Federal and non-Federal accounts.
(4) Certain fundraising costs. State, district, and local party
committees may allocate the direct costs of joint fundraising programs
or events between their Federal and non-Federal accounts according to
the funds received method described in paragraph (d)(4) of this section.
The direct costs of a fundraising program or event include expenses for
the solicitation of funds and for the planning and administration of
actual fundraising programs and events.
(5) Voter-drive activities that do not qualify as Federal election
activities and that are not party exempt activities. Expenses for voter
identification, voter registration, and get-out-the-vote drives, and any
other activities that urge the general public to register or vote, or
that promote or oppose a political party, without promoting or opposing
a candidate or non-Federal candidate, that do not qualify as Federal
election activities and that are not exempt party activities, must be
paid with Federal funds or may be allocated between the committee's
Federal and non-Federal accounts.
(d) Allocation percentages, ratios, and record-keeping--(1) Salaries
and wages. Committees must keep a monthly log of the percentage of time
each employee spends in connection with a Federal election. Allocations
of salaries and wages shall be undertaken as follows:
(i) Except as provided in paragraph (d)(1)(iii) of this section,
salaries, wages, and fringe benefits paid for employees who spend 25% or
less of their compensated time in a given month on Federal election
activities or on activities in connection with a Federal election must
either be paid only from the Federal account or be allocated as
administrative costs under paragraph (d)(2) of this section.
(ii) Salaries, wages, and fringe benefits paid for employees who
spend more than 25% of their compensated time in a given month on
Federal election activities or on activities in connection with a
Federal election must be paid only from a Federal account. See 11 CFR
300.33(d)(2), and paragraph (e)(2) of this section.
[[Page 137]]
(iii) Salaries, wages, and fringe benefits paid for employees who
spend none of their compensated time in a given month on Federal
election activities or on activities in connection with a Federal
election may be paid entirely with funds that comply with State law.
(2) Administrative costs. State, district, and local party
committees that choose to allocate administrative expenses may do so
subject to the following requirements:
(i) Presidential election years. In any even year in which a
Presidential candidate, but no Senate candidate appears on the ballot,
and in the preceding year, State, district, and local party committees
must allocate at least 28% of administrative expenses to their Federal
accounts.
(ii) Presidential and Senate election year. In any even year in
which a Presidential candidate and a Senate candidate appear on the
ballot, and in the preceding year, State, district, and local party
committees must allocate at least 36% of administrative expenses to
their Federal accounts.
(iii) Senate election year. In any even year in which a Senate
candidate, but no Presidential candidate, appears on the ballot, and in
the preceding year, State, district, and local party committees must
allocate at least 21% of administrative expenses to their Federal
account.
(iv) Non-Presidential and non-Senate year. In any even year in which
neither a Presidential nor a Senate candidate appears on the ballot, and
in the preceding year, State, district, and local party committees must
allocate at least 15% of administrative expenses to their Federal
account.
(3) Exempt party activities and voter drive activities that are not
Federal election activities. State, district, and local party committees
that choose to allocate expenses for exempt activities conducted in
conjunction with non-Federal activities and voter drive activities, that
are not Federal election activities, must do so subject to the following
requirements:
(i) Presidential election years. In any even year in which a
Presidential candidate, but no Senate candidate appears on the ballot,
and in the preceding year, State, district, and local party committees
must allocate at least 28% of these expenses to their Federal accounts.
(ii) Presidential and Senate election year. In any even year in
which a Presidential candidate and a Senate candidate appear on the
ballot, and in the preceding year, State, district, and local party
committees must allocate at least 36% of these expenses to their Federal
accounts.
(iii) Senate election year. In any even year in which a Senate
candidate, but no Presidential candidate, appears on the ballot, and in
the preceding year, State, district, and local party committees must
allocate at least 21% of these expenses to their Federal account.
(iv) Non-Presidential and non-Senate year. In any even year in which
neither a Presidential nor a Senate candidate appears on the ballot, and
in the preceding year, State, district, and local party committee must
allocate at least 15% of these expenses to their Federal account.
(4) Fundraising for Federal and non-Federal accounts. If Federal and
non-Federal funds are collected by a State, district, or local party
committee through a joint fundraising activity, that committee must
allocate its direct fundraising costs using the funds received method
and according to the following procedures:
(i) The committee must allocate its fundraising costs based on the
ratio of funds received into its Federal account to its total receipts
from each fundraising program or event. This ratio shall be estimated
prior to each such program or event based upon the committee's
reasonable prediction of its Federal and non-Federal revenue from that
program or event, and must be noted in the committee's report for the
period in which the first disbursement for such program or event
occurred, submitted pursuant to 11 CFR 104.5. Any disbursements for
fundraising costs made prior to the actual program or event must be
allocated according to this estimated ratio.
(ii) No later than the date 60 days after each fundraising program
or event from which both Federal and non-Federal funds are collected,
the committee shall adjust the allocation
[[Page 138]]
ratio for that program or event to reflect the actual ratio of funds
received. If the non-Federal account has paid more than its allocable
share, the committee shall transfer funds from its Federal to its non-
Federal account, as necessary, to reflect the adjusted allocation ratio.
If the Federal account has paid more than its allocable share, the
committee shall make any transfers of funds from its non-Federal to its
Federal account to reflect the adjusted allocation ratio within the 60-
day time period established by this paragraph. The committee shall make
note of any such adjustments and transfers in its report for any period
in which a transfer was made, and shall also report the date of the
fundraising program or event that serves as the basis for the transfer.
In the case of a telemarketing or direct mail campaign, the date for
purposes of this paragraph is the last day of the telemarketing
campaign, or the day on which the final direct mail solicitations are
mailed.
(e) Costs not allocable by State, district, and local party
committees between Federal and non-Federal accounts. The following costs
incurred by State, district, and local party committees shall be paid
only with Federal funds:
(1) Disbursements for State, district, and local party committees
for activities that refer only to one or more candidates for Federal
office must not be allocated. All such disbursements must be made from a
Federal account.
(2) Salaries and wages. Salaries and wages for employees who spend
more than 25% of their compensated time in a given month on activities
in connection with a Federal election must not be allocated. All such
disbursements must be made from a Federal account. See 11 CFR
300.33(d)(2).
(3) Federal election activities. Activities that are Federal
election activities pursuant to 11 CFR 100.24 must not be allocated
between Federal and non-Federal accounts. Only Federal funds, or a
mixture of Federal funds and Levin funds, as provided in 11 CFR 300.33,
may be used.
(f) Transfers between accounts to cover allocable expenses. State,
district, and local party committees may transfer funds from their non-
Federal to their Federal accounts or to an allocation account solely to
meet allocable expenses under this section and only pursuant to the
following requirements:
(1) Payments from Federal accounts or from allocation accounts. (i)
State, district, and local party committees must pay the entire amount
of an allocable expense from their Federal accounts and transfer funds
from their non-Federal account to the Federal account solely to cover
the non-Federal share of that allocable expense; or
(ii) State, district, or local party committees may establish a
separate allocation account into which funds from its Federal and non-
Federal accounts may be deposited solely for the purpose of paying the
allocable expenses of joint Federal and non-Federal activities.
(2) Timing. (i) If a Federal or allocation account is used to make
allocable expenditures and disbursements, State, district, and local
party committees must transfer funds from their non-Federal to their
Federal or allocation account to meet allocable expenses no more than 10
days before and no more than 60 days after the payments for which they
are designated are made from a Federal or allocation account, except
that transfers may be made more than 10 days before a payment is made
from the Federal or allocation account if advance payment is required by
the vendor(s) and if such payment is based on a reasonable estimate of
the activity's final costs as determined by the committee and the
vendor(s) involved.
(ii) Any portion of a transfer from a committee's non-Federal
account to its Federal or allocation account that does not meet the
requirement of paragraph (f)(2)(i) of this section shall be presumed to
be a loan or contribution from the non-Federal account to the Federal or
allocation account, in violation of the Act.
[67 FR 49118, July 29, 2002, as amended at 67 FR 78681, Dec. 26, 2002;
70 FR 75384, Dec. 20, 2005; 81 FR 34863, June 1, 2016]
Sec. 106.8 Allocation of expenses for political party committee phone
banks that refer to a clearly identified Federal candidate.
(a) Scope. This section applies to the costs of a phone bank
conducted by a
[[Page 139]]
national, State, district, or local committee or organization of a
political party where--
(1) The communication refers to a clearly identified Federal
candidate;
(2) The communication does not refer to any other clearly identified
Federal or non-Federal candidate;
(3) The communication includes another reference that generically
refers to other candidates of the Federal candidate's party without
clearly identifying them;
(4) The communication does not solicit a contribution, donation, or
any other funds from any person; and
(5) The phone bank is not exempt from the definition of
``contribution'' under 11 CFR 100.89 and is not exempt from the
definition of ``expenditure'' under 11 CFR 100.149.
(b) Attribution. Each disbursement for the costs of a phone bank
described in paragraph (a) of this section shall be attributed as
follows:
(1) Fifty percent of the disbursement is not attributable to any
other Federal or non-Federal candidate, but must be paid for entirely
with Federal funds; and
(2) Fifty percent of the disbursement is attributed to the clearly
identified Federal candidate and must be paid for entirely with Federal
funds. This disbursement may be one or a combination of the following:
(i) An in-kind contribution, subject to the limitations set forth in
11 CFR 110.1 or 110.2; or
(ii) A coordinated expenditure or an independent expenditure,
subject to the limitations, restrictions, and requirements of 11 CFR
109.10, 109.32, and 109.33; or
(iii) Reimbursed by the clearly identified Federal candidate or his
or her authorized committee.
[68 FR 64520, Nov. 14, 2003, as amended at 69 FR 63920, Nov. 3, 2004]
PART 107_PRESIDENTIAL NOMINATING CONVENTION, REGISTRATION AND REPORTS-
-Table of Contents
Sec.
107.1 Registration and reports by political parties.
107.2 Registration and reports by host committees and municipal funds.
Authority: 52 U.S.C. 30105, 30111(a)(8).
Source: 59 FR 33615, June 29, 1994, unless otherwise noted.