[Federal Register Volume 76, Number 147 (Monday, August 1, 2011)]
[Notices]
[Pages 45798-45799]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-19312]


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FEDERAL ELECTION COMMISSION

[Notice 2011-11]


Policy Statement Regarding a Program for Requesting Consideration 
of Legal Questions by the Commission

AGENCY: Federal Election Commission.

ACTION: Policy Statement.

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SUMMARY: The Federal Election Commission (``Commission'') is adopting a 
program providing for a means by which persons and entities may have a 
legal question considered by the Commission earlier in both the report 
review process and the audit process.

DATES: Effective August 1, 2011.

FOR FURTHER INFORMATION CONTACT: Lorenzo Holloway, Assistant General 
Counsel, or Allison T. Steinle, Attorney, 999 E Street, NW., 
Washington, DC 20463, (202) 694-1650 or (800) 424-9530.

SUPPLEMENTARY INFORMATION: The Commission is adopting a program 
providing for a means by which persons and entities may have a legal 
question considered by the Commission earlier in both the report review 
process and the audit process. Specifically, when the Office of 
Compliance (``OC'') (which includes the Reports Analysis Division and 
the Audit Division) requests that a person or entity take corrective 
action during the report review or audit process, if the person or 
entity disagrees with the request based upon a material dispute on a 
question of law, the person or entity may seek Commission consideration 
of the issue pursuant to this procedure.

I. Procedures

    Within 15 business days of a determination by the Reports Analysis 
Division or Audit Division that a person or entity remains obligated to 
take corrective action to resolve an issue that has arisen during the 
report review or audit process, the person or entity may seek 
Commission consideration if a material dispute on a question of law 
exists with respect to the recommended

[[Page 45799]]

corrective action.\1\ A ``determination'' for purposes of triggering 
the 15 business days is either: (1) notification to the person or 
entity of legal guidance prepared by the Office of General Counsel 
(``OGC'') at the request of the Reports Analysis Division recommending 
the corrective action; or (2) the end of the Committee's Audit Exit 
Conference response period.
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    \1\ Many disputes involving corrective action requests hinge on 
questions of fact rather than questions of law, and thus are not 
appropriate for this procedure.
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    Any request for consideration by a Committee during the report 
review process or the audit process shall be limited to questions of 
law on material issues, when: (1) The legal issue is novel, complex, or 
pertains to an unsettled question of law; (2) there has been 
intervening legislation, rulemaking, or litigation since the Commission 
last considered the issue; or (3) the request to take corrective action 
is contrary to or otherwise inconsistent with prior Commission matters 
dealing with the same issue. The request must specify the question of 
law at issue and why it is subject to Commission consideration. It 
should discuss, when appropriate, prior Commission matters raising the 
same issue, relevant court decisions, and any other analysis of the 
issue that may assist the Commission in its decision-making. The 
Commission will not consider factual disputes under this procedure, and 
any requests for consideration other than on questions of law on 
material issues will not be granted.
    All requests, including any extension requests, should be directed 
to the Commission Secretary, Federal Election Commission, 999 E Street, 
NW., Washington, DC 20463, and must be received within 15 business days 
of the determination of corrective action. Upon receipt of a request, 
the Commission Secretary shall forward a copy of any request to each 
Commissioner, the General Counsel, and the Staff Director.
    Any request for an extension of time to file will be considered on 
a case-by-case basis and will only be granted if good cause is shown, 
and the Commission approves the extension request by four affirmative 
votes within five business days of receipt of the extension request. 
Within five business days of notification to the Commissioners of a 
request for consideration of a legal question, if two or more 
Commissioners agree that the Commission should consider the request, 
OGC will prepare a recommendation and, within 15 business days 
thereafter, circulate the recommendation in accordance with all 
applicable Commission directives.
    After the recommendation is circulated for a Commission vote, in 
the event of an objection, the matter shall be automatically placed on 
the next meeting agenda consistent with the Sunshine Act, 5 U.S.C. 
552b(g), and applicable Commission regulations, 11 CFR part 2. However, 
if within 60 business days of the filing of a request for 
consideration, the Commission has not resolved the issue or provided 
guidance on how to proceed with the matter by the affirmative vote of 
four or more Commissioners, the OC may proceed with the matter. After 
the 60 business days has elapsed, any requestor will be provided a copy 
of OGC's recommendation memorandum and an accompanying vote 
certification, or if no such certification exists, a cover page stating 
the disposition of the memoranda. Confidential information will be 
redacted as necessary.
    After the request review process has concluded, or a Final Audit 
Report has been approved, a copy of the request for consideration, as 
well as the recommendation memorandum and accompanying vote 
certification or disposition memorandum, will be placed with the 
Committee's filings or audit documents on the Commission's website 
within 30 days. These materials will also be placed a Commission 
webpage dedicated to legal questions considered by the Commission under 
this program.
    This procedure is not intended to circumvent or supplant the 
Advisory Opinion process provided under 2 U.S.C. 437f and 11 CFR part 
112. Accordingly, any legal issues that qualify for consideration under 
the Advisory Opinion process are not appropriate for consideration 
under this new procedure. Additionally, this policy statement does not 
supersede the procedures regarding eligibility and entitlement to 
public funds set forth in Commission Directive 24 and 11 CFR 9005.1, 
9033.4, 9033.6 or 9033.10.

II. Annual Review

    No later than July 1 of each year, the OC and OGC shall jointly 
prepare and distribute to the Commission a written report containing a 
summary of the requests made under the program over the previous year 
and a summary of the Commission's consideration of those requests and 
any action taken thereon. The annual report shall also include the 
Chief Compliance Officer's and the General Counsel's assessment of 
whether, and to what extent, the program has promoted efficiency and 
fairness in both the Commission's report review process and in the 
audit process, as well as their recommendations, if any, for 
modifications to the program.
    The Commission may terminate or modify this program through 
additional policy statements at any time by an affirmative vote of four 
of its members.

    Dated: July 26, 2011.
Cynthia L. Bauerly,
Chair, Federal Election Commission.
[FR Doc. 2011-19312 Filed 7-29-11; 8:45 am]
BILLING CODE 6715-01-P