[Federal Register Volume 78, Number 205 (Wednesday, October 23, 2013)]
[Notices]
[Pages 63203-63204]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-24317]



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FEDERAL ELECTION COMMISSION

[Notice 2013-14]


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'') adopted a 
program on August 1, 2011, 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. This new 
policy is identical to that August 1, 2011 program, except that it 
provides an alternative electronic means to file a request with the 
Commission.

DATES: Effective October 23, 2013.

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

SUPPLEMENTARY INFORMATION: On August 1, 2011, the Commission adopted 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. This Commission is now 
revising this program. As revised, the program is identical to that 
August 1, 2011 program, except that it provides alternative means to 
file a request with the Commission. This change was made to address and 
clarify timeliness issues due to delays in the processing and receipt 
of requests mailed to the Commission, by encouraging requests to be 
filed electronically by email. Processing delays can result in an 
untimely submission of a request under the program. Persons and 
entities making such a request may not be aware that these processing 
delays can occur when documents are sent via first class mail to a 
federal government agency. The policy statement regarding this program 
is reprinted in its entirety, below. It includes the revisions outlined 
above, which appear in the third paragraph of the ``Procedures'' 
section, below.

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 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, must be received by 
the Commission within 15 business days of the determination of 
corrective action. All requests should be directed to the attention of 
the Commission Secretary. Requestors may submit requests electronically 
via email to [email protected]. Requestors are encouraged to 
submit comments electronically to ensure timely receipt and 
consideration. Alternatively, requests may be submitted in paper form. 
Paper requests must be sent to the Federal Election Commission, Attn.: 
Commission Secretary, 999 E Street NW., Washington, DC, 20463. 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 Web site 
within 30 days. These materials will also be placed on the Commission's 
Web page 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

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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.

    On behalf of the Commission,

    Dated: September 30, 2013.
Ellen L. Weintraub,
Chair, Federal Election Commission.
[FR Doc. 2013-24317 Filed 10-22-13; 8:45 am]
BILLING CODE 6715-01-P