Title 11 Federal Elections

Revised as of January 1, 2016

Containing a codification of documents of general applicability and future effect

As of January 1, 2016

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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Legal Status and Use of Seals and Logos The seal of the National Archives and Records Administration (NARA) authenticates the Code of Federal Regulations (CFR) as the official codification of Federal regulations established under the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the contents of the CFR, a special edition of the Federal Register, shall be judicially noticed. The CFR is prima facie evidence of the original documents published in the Federal Register (44 U.S.C. 1510). It is prohibited to use NARA’s official seal and the stylized Code of Federal Regulations logo on any republication of this material without the express, written permission of the Archivist of the United States or the Archivist’s designee. Any person using NARA’s official seals and logos in a manner inconsistent with the provisions of 36 CFR part 1200 is subject to the penalties specified in 18 U.S.C. 506, 701, and 1017.

Use of ISBN Prefix This is the Official U.S. Government edition of this publication and is herein identified to certify its authenticity. Use of the 0–16 ISBN prefix is for U.S. Government Publishing Office Official Edi- tions only. The Superintendent of Documents of the U.S. Govern- ment Publishing Office requests that any reprinted edition clearly be labeled as a copy of the authentic work with a new ISBN.

U.S. GOVERNMENT PUBLISHING OFFICE U.S. Superintendent of Documents • Washington, DC 20402–0001 http://bookstore.gpo.gov Phone: toll-free (866) 512-1800; DC area (202) 512-1800

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Page Explanation ...... v

Title 11:

Chapter I—Federal Election Commission ...... 3

Chapter II—Election Assistance Commission ...... 365

Finding Aids:

Indexes to Regulations:

Administrative Regulations, Parts 1–8; 200–201 ...... 403

General, Parts 100–116 ...... 409

General Election Financing, Parts 9001–9007 and 9012 ...... 471

Federal Financing of Presidential Nominating Conventions, Part 9008 ...... 483

Presidential Primary Matching Fund, Parts 9031–9039 ...... 491

Table of CFR Titles and Chapters ...... 509

Alphabetical List of Agencies Appearing in the CFR ...... 529

Redesignation Table ...... 539

List of CFR Sections Affected ...... 541

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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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The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further sub- divided into parts covering specific regulatory areas. Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows: Title 1 through Title 16...... as of January 1 Title 17 through Title 27 ...... as of April 1 Title 28 through Title 41 ...... as of July 1 Title 42 through Title 50...... as of October 1 The appropriate revision date is printed on the cover of each volume. LEGAL STATUS The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510). HOW TO USE THE CODE OF FEDERAL REGULATIONS The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to determine the latest version of any given rule. To determine whether a Code volume has been amended since its revision date (in this case, January 1, 2016), consult the ‘‘List of CFR Sections Affected (LSA),’’ which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule. EFFECTIVE AND EXPIRATION DATES Each volume of the Code contains amendments published in the Federal Reg- ister since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cutoff date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text. OMB CONTROL NUMBERS The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies to display an OMB control number with their information collection request.

VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00005 Fmt 8008 Sfmt 8092 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements. PAST PROVISIONS OF THE CODE Provisions of the Code that are no longer in force and effect as of the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on any given date in the past by using the appropriate List of CFR Sections Affected (LSA). For the convenience of the reader, a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume. For changes to the Code prior to the LSA listings at the end of the volume, consult previous annual editions of the LSA. For changes to the Code prior to 2001, consult the List of CFR Sections Affected compilations, published for 1949- 1963, 1964-1972, 1973-1985, and 1986-2000. ‘‘[RESERVED]’’ TERMINOLOGY The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ location at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that a portion of the CFR was left vacant and not accidentally dropped due to a printing or computer error. INCORPORATION BY REFERENCE What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published else- where. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law. What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are: (a) The incorporation will substantially reduce the volume of material published in the Federal Register. (b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process. (c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51. What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010. CFR INDEXES AND TABULAR GUIDES A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS. This volume contains the Parallel Table of Authorities and Rules. A list of CFR titles, chapters, subchapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume.

VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00006 Fmt 8008 Sfmt 8092 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR An index to the text of ‘‘Title 3—The President’’ is carried within that volume. The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg- ister. A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles. REPUBLICATION OF MATERIAL There are no restrictions on the republication of material appearing in the Code of Federal Regulations. INQUIRIES For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency’s name appears at the top of odd-numbered pages. For inquiries concerning CFR reference assistance, call 202–741–6000 or write to the Director, Office of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail [email protected]. SALES The Government Publishing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2104, 24 hours a day. For payment by check, write to: US Government Publishing Office – New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. ELECTRONIC SERVICES The full text of the Code of Federal Regulations, the LSA (List of CFR Sections Affected), The United States Government Manual, the Federal Register, Public Laws, Public Papers of the Presidents of the United States, Compilation of Presi- dential Documents and the Privacy Act Compilation are available in electronic format via www.ofr.gov. For more information, contact the GPO Customer Con- tact Center, U.S. Government Publishing Office. Phone 202-512-1800, or 866-512- 1800 (toll-free). E-mail, [email protected]. The Office of the Federal Register also offers a free service on the National Archives and Records Administration’s (NARA) World Wide Web site for public law numbers, Federal Register finding aids, and related information. Connect to NARA’s web site at www.archives.gov/federal-register. The e-CFR is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments, produced by the Office of the Federal Register and the Government Publishing Office. It is available at www.ecfr.gov.

OLIVER A. POTTS, Director, Office of the Federal Register. January 1, 2016.

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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 codi- fied under this title of the CFR as of January 1, 2016.

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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Part

CHAPTER I—Federal Election Commission ...... 1

CHAPTER II—Election Assistance Commission ...... 9405

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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 Division documents .... 22 6 Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the Federal Election Commission ...... 25 7 Standards of conduct ...... 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)) ...... 123 106 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) ...... 140 109 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 ...... 153 111 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 ...... 197 114 Corporate and labor organization activity ...... 203 115 Federal contractors...... 227

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Part Page 116 Debts owed by candidates and political committees 228

SUBCHAPTER B—ADMINISTRATIVE REGULATIONS 200 Petitions for rulemaking ...... 238 201 Ex parte communications ...... 239

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 ...... 267 9002 Definitions ...... 267 9003 Eligibility for payments ...... 270 9004 Entitlement of eligible candidates to payments; use of payments ...... 280 9005 Certification by Commission ...... 289 9006 Reports and recordkeeping ...... 290 9007 Examinations and audits; repayments ...... 291 9008 Federal financing of Presidential nominating conventions ...... 300 9009–9011 [Reserved] 9012 Unauthorized expenditures and contributions ...... 316

SUBCHAPTER F—PRESIDENTIAL ELECTION CAMPAIGN FUND: PRESIDENTIAL PRIMARY MATCHING FUND 9031 Scope ...... 318 9032 Definitions ...... 318 9033 Eligibility for payments ...... 320 9034 Entitlements ...... 328 9035 Expenditure limitations...... 343 9036 Review of matching fund submissions and certification of payments by Commission ...... 346 9037 Payments and reporting ...... 352 9038 Examinations and audits ...... 353 9039 Review and investigation authority ...... 362 9040–9099 [Reserved]

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writing at the location and to the per- dividual to whom the requested record son specified in the notice describing relates; that record system. (3) Any other information required (b) An individual who believes that by the notice describing the record sys- the Commission maintains records per- tem. taining to him or her but who cannot (c) Proof of identity as required by determine which record system con- paragraph (b)(2) of this section shall be tains those records, may request assist- provided as described in paragraphs (c) ance by mail or in person from the (1) and (2) of this section. Requests Chief Privacy Officer, Federal Election made by an agent, parent, or guardian, Commission, 999 E Street, NW., Wash- shall be in accordance with the proce- ington, DC 20463 during the hours of 9 dures described in § 1.10. a.m. to 5:30 p.m. (1) Requests made in writing shall in- (c) Requests under paragraphs (a) or clude a statement, signed by the indi- (b) of this section shall be acknowl- vidual and either notarized or witnessed by two persons (including wit- edged by the Commission within 15 nesses’ addresses). If the individual ap- days from the date of receipt of the re- pears before a notary, he or she shall quest. If the Commission is unable to submit adequate proof of identification locate the information requested under in the form of a drivers license, birth paragraphs (a) or (b) of this section, it certificate, passport or other identi- shall so notify the individual within 15 fication acceptable to the notary. If days after receipt of the request. Such the statement is witnessed, it shall in- acknowledgement may request addi- clude a sentence above the witnesses’ tional information to assist the Com- signatures that they personally know mission in locating the record or it the individual or that the individual may advise the individual that no has submitted proof of his or her iden- record or document exists about that tification to their satisfaction. In any individual. case in which, because of the extreme [41 FR 43064, Sept. 29, 1976, as amended at 50 sensitivity of the record sought to be FR 50778, Dec. 12, 1985; 75 FR 31, Jan. 4, 2010] seen or copied, the Commission determines that the identification is not § 1.4 Times, places, and requirements adequate, it may request the individual for identification of individuals to submit additional proof of identi- making requests. fication. (a) After being informed by the Com- (2) If the request is made in person, mission that a record system contains the requestor shall submit proof of a record pertaining to him or her, an identification similar to that described individual may request the Commis- in paragraph (c)(1) of this section, ac- sion to disclose that record in the man- ceptable to the Commission. The indi- ner described in this section. Each re- vidual may have a person of his or her quest for the disclosure of a record or a own choosing accompany him or her copy of it shall be made at the Federal when the record is disclosed. Election Commission, 999 E Street, [41 FR 43064, Sept. 29, 1976, as amended at 50 NW., Washington, DC 20463 and to the FR 50778, Dec. 12, 1985] system manager identified in the notice describing the systems of records, § 1.5 Disclosure of requested informa- either in writing or in person. Requests tion to individuals. may be made by specifically authorized (a) Upon submission of proof of iden- agents or by parents or guardians of in- tification as required by § 1.4, the Com- dividuals. mission shall allow the individual to (b) Each individual requesting the see and/or obtain a copy of the re- disclosure of a record or copy of a quested record or shall send a copy of record shall furnish the following infor- the record to the individual by reg- mation with his or her request: istered mail. If the individual requests (1) The name of the record system to see the record, the Commission may containing the record; make the record available either at the (2) Proof as described in paragraph (c) location where the record is main- of this section that he or she is the in- tained or at a place more suitable to

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the requestor, if possible. The record § 1.8 Agency review of request for cor- shall be made available as soon as pos- rection or amendment of record. sible but in no event later than 15 days (a) The Commission shall, not later after proof of identification. than ten (10) days (excluding Satur- (b) The Commission must furnish days, Sundays and legal holidays) after each record requested by an individual the receipt of the request for a correc- under this part in a form intelligible to tion or amendment of a record under that individual. § 1.7, acknowledge receipt of the re- (c) If the Commission denies access quest and inform the individual wheth- to a record to an individual, he or she er information is required before the shall be advised of the reason for the correction or amendment can be con- denial and advised of the right to judi- sidered. cial review. (b) If no additional information is re- (d) Upon request, an individual will quired, within ten (10) days from re- be provided access to the accounting of ceipt of the request, the Commission disclosures from his or her record shall either make the requested correc- under the same procedures as provided tion or amendment or notify the indi- above and in § 1.4. vidual of its refusal to do so, including in the notification the reasons for the § 1.6 Special procedure: Medical refusal, and the appeal procedures pro- records. [Reserved] vided in § 1.9. (c) The Commission shall make each § 1.7 Request for correction or amend- requested correction or amendment to ment to record. a record if that correction or amend- (a) Any individual who has reviewed ment will tend to negate inaccurate, ir- a record pertaining to him or her that relevant, untimely, or incomplete mat- was furnished under this part, may re- ter in the record. quest the Commission to correct or (d) The Commission shall inform amend all or any part of that record. prior recipients of any amendment or (b) Each individual requesting a cor- correction or notation of dispute of rection or amendment shall send the such individual’s record if an account- request to the Commission through the ing of the disclosure was made. The in- person who furnished the record. dividual may request a list of prior re- (c) Each request for a correction or cipients if an accounting of the disclo- amendment of a record shall contain sure was made. the following information: (1) The name of the individual re- § 1.9 Appeal of initial adverse agency determination on amendment or questing the correction or amendment; correction. (2) The name of the system of records in which the record sought to be (a) Any individual whose request for amended is maintained; a correction or amendment has been (3) The location of the system of denied in whole or in part, may appeal that decision to the Commissioners no records from which the individual later than one hundred eighty (180) record was obtained; days after the adverse decision is ren- (4) A copy of the record sought to be dered. amended or corrected or a sufficiently (b) The appeal shall be in writing and detailed description of that record; shall contain the following informa- (5) A statement of the material in the tion: record that the individual desires to (1) The name of the individual mak- correct or amend; ing the appeal; (6) A statement of the basis for the (2) Identification of the record sought requested correction or amendment in- to be amended; cluding any material that the indi- (3) The record system in which that vidual can furnish to substantiate the record is contained; reasons for the correction or amend- (4) A short statement describing the ment sought. amendment sought; and

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(5) The name and location of the court of competent jurisdiction to be agency official who initially denied the incompetent, due to physical or mental correction or amendment. incapacity or age, may act on behalf of (c) Not later than thirty (30) days that individual in any matter covered (excluding Saturdays, Sundays and by this part. A parent or guardian who legal holidays) after the date on which desires to act on behalf of such an indi- the Commission receives the appeal, vidual shall present suitable evidence the Commissioners shall complete of parentage or guardianship, by birth their review of the appeal and make a certificate, certified copy of a court final decision thereon. However, for order, or similar documents, and proof good cause shown, the Commissioners of the individual’s identity in a form may extend that thirty (30) day period. that complies with § 1.4(c) of this part. If the Commissioners extend the pe- (c) An individual to whom a record is riod, the individual requesting the re- to be disclosed in person, pursuant to view shall be promptly notified of the this part may have a person of his or extension and the anticipated date of a her own choosing accompany him or decision. her when the record is disclosed. (d) After review of an appeal, the Commission shall send a written notice § 1.11 Fees. to the requestor containing the fol- (a) The Commission shall not charge lowing information: an individual for the costs of making a (1) The decision and, if the denial is search for a record or the costs of re- upheld, the reasons for the decision; viewing the record. When the Commis- (2) The right of the requestor to in- sion makes a copy of a record as a nec- stitute a civil action in a Federal Dis- essary part of the process of disclosing trict Court for judicial review of the the record to an individual, the Com- decision; and mission shall not charge the individual (3) The right of the requestor to file for the cost of making that copy. with the Commission a concise state- (b) If an individual requests the Com- ment setting forth the reasons for his mission to furnish a copy of the record, or her disagreement with the Commis- the Commission shall charge the indi- sion denial of the correction or amend- vidual for the costs of making the ment. The Commission shall make this copy. The fee that the Commission has statement available to any person to established for making a copy is ten whom the record is later disclosed, to- cents ($.10) per page. gether with a brief statement, if appropriate, of the Commission’s reasons for § 1.12 Penalties. denying the requested correction or Any person who makes a false state- amendment. The Commission shall ment in connection with any request also send a copy of the statement to for a record, or an amendment or cor- prior recipients of the individual’s rection thereto, under this part, is sub- record if an accounting of the disclo- ject to the penalties prescribed in 18 sures was made. U.S.C. 494 and 495.

§ 1.10 Disclosure of record to person § 1.13 General exemptions. [Reserved] other than the individual to whom it pertains. § 1.14 Specific exemptions. (a) Any individual who desires to (a) No individual, under the provi- have a record covered by this part dis- sions of these regulations, shall be enclosed to or mailed to another person titled to access to materials compiled may designate such person and author- in its systems of records identified as ize such person to act as his or her FEC audits and investigations (FEC 2) agent for that specific purpose. The au- or FEC compliance actions (FEC 3). thorization shall be in writing, signed These exempted systems relate to the by the individual and notarized or wit- Commission’s power to exercise exclu- nessed as provided in § 1.4(c). sive civil jurisdiction over the enforce- (b) The parent of any minor indi- ment of the Act under 52 U.S.C. vidual or the legal guardian of any in- 30107(a)(6) and (e); and to defend itself dividual who has been declared by a in actions filed against it under 52

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U.S.C. 30107(a)(6). Further the Commis- PART 2—SUNSHINE REGULATIONS; sion has a duty to investigate viola- MEETINGS tions of the Act under 52 U.S.C. 30109(a)(2); to conduct audits and inves- Sec. tigations pursuant to 52 U.S.C. 30111(b), 2.1 Scope. 26 U.S.C. 9007 and 9038; and to refer ap- 2.2 Definitions. parent violations of the Act to the At- 2.3 General rules. 2.4 Exempted meetings. torney General or other law enforce- 2.5 Procedures for closing meetings. ment authorities under 52 U.S.C. 2.6 Transcripts and recordings. 30109(a)(5) and 30107(a)(9). Information 2.7 Announcement of meetings and schedule contained in FEC systems 2 and 3 con- changes. tain the working papers of the Com- 2.8 Annual report. mission staff and form the basis for ei- AUTHORITY: 5 U.S.C. 552b.

ther civil and/or criminal proceedings SOURCE: 50 FR 39972, Oct. 1, 1985, unless pursuant to the exercise of the powers otherwise noted. and duties of the Commission. These materials must be protected until such § 2.1 Scope. time as they are subject to public ac- These regulations are promulgated cess under the provision of 52 U.S.C. pursuant to the directive of 5 U.S.C. 30109(a)(4)(B) or 5 U.S.C. 552, or other 552b(g) which was added by section 3(a) relevant statutes. of Public Law 94–409, the Government (b)(1) Pursuant to 5 U.S.C. 552a(j)(2), in the Sunshine Act, and specifically records contained in FEC 12, Office of implement section 3 of that Act. Inspector General Investigative Files, are exempt from the provisions of 5 § 2.2 Definitions. U.S.C. 552a, except subsections (b), (c) (a) Commission. Commission means the (1) and (2), (e)(4) (A) through (F), (e) (6), Federal Election Commission, 999 E (7), (9), (10), and (11) and (f) , and the Street, NW., Washington, DC 20463. corresponding provisions of 11 CFR (b) Commissioner or Member. Commis- part 1, to the extent this system of sioner or Member means an individual records relates in any way to the en- appointed to the Federal Election Com- forcement of criminal laws. mission pursuant to 52 U.S.C. 30106(a), but does not include a proxy or other (2) Pursuant to 5 U.S.C. 552a(k)(2), designated representative of a Commis- FEC 12, Office of Inspector General In- sioner. vestigative Files, is exempt from 552a (c) Person. Person means an indi- (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), vidual, including employees of the and (f), and the corresponding provi- Commission, partnership, corporation, sions of 11 CFR part 1, to the extent association, or public or private orga- the system of records consists of inves- nization, other than an agency of the tigatory material compiled for law en- United States Government. forcement purposes, except for mate- (d) Meeting. (1) Meeting means the de- rial that falls within the exemption in- liberation of at least four voting mem- cluded in paragraph (b)(1) of this sec- bers of the Commission in collegia tion. where such deliberations determine or (c) The provisions of paragraph (a) of result in the joint conduct or disposi- this section shall not apply to the ex- tion of official Commission business. tent that application of the subsection For the purpose of this section, joint would deny any individual any right, conduct does not include, for example, privilege or benefit to which he or she situations where the requisite number would otherwise be entitled to receive. of members is physically present in one place but not conducting agency busi- [41 FR 43064, Sept. 29, 1976, as amended at 45 ness as a body (e.g., at a meeting at FR 21209, Apr. 1, 1980; 60 FR 4073, Jan. 20, which one member is giving a speech 1995; 75 FR 31, Jan. 4, 2010; 79 FR 77843, Dec. while a number of other members are 29, 2014] present in the audience). A deliberation conducted through telephone or similar communications equipment by means

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of which all persons participating can (1) As required by 52 U.S.C. hear each other will be considered a 30109(a)(12), all Commission meetings, meeting under this section. or portions of meetings, pertaining to (2) The term meeting does not include any notification or investigation that a the process of notation voting by cir- violation of the Act has occurred, shall culated memorandum for the purpose be closed to the public. of expediting consideration of routine (2) For the purpose of this section, matters. It also does not include delib- any notification or investigation that a erations to schedule a meeting, to take violation of the Act has occurred in- action to open or close a meeting, or to cludes, but is not limited to, deter- release or withhold information, or to minations pursuant to 52 U.S.C. 30109, change the subject matter of a meeting the issuance of subpoenas, discussion of under 11 CFR 2.5, 2.6 and 2.7. referrals to the Department of Justice, or consideration of any other matter [50 FR 39972, Oct. 1, 1985, as amended at 50 FR related to the Commission’s enforce- 50778, Dec. 12, 1985; 65 FR 9206, Feb. 24, 2000; 79 FR 77844, Dec. 29, 2014] ment activity, as set forth in 11 CFR part 111. § 2.3 General rules. (b) Meetings closed by Commission determination. Except as provided in 11 (a) Commissioners shall not jointly CFR 2.4(c), the requirement of open conduct, determine or dispose of Com- meetings will not apply where the mission business other than in accord- Commission finds, in accordance with ance with this part. 11 CFR 2.5, that an open meeting or the (b) Except as provided in 11 CFR 2.4, release of information is likely to re- every portion of every Commission sult in the disclosure of: meeting shall be open to public obser- (1) Matters that relate solely to the vation. Commission’s internal personnel deci- (c) No additional right to participate sions, or internal rules and practices; in Commission meetings is granted to (i) This provision includes, but is not any person by this part. A meeting is limited to, matters relating to Com- not part of the formal or informal mission policies on working conditions, record of decision of the matters dis- or materials prepared predominantly cussed therein except as otherwise re- for internal use, the disclosure of quired by law. Statements of views or which would risk circumvention of expressions of opinions made by Com- Commission regulations; but missioners or FEC employees at meet- (ii) This provision does not include ings are not intended to represent final discussions or materials regarding em- determinations or beliefs. ployees’ dealings with the public, such (d) Members of the public attending as personnel manuals or Commission open Commission meetings may use directives setting forth job functions or small electronic sound recorders to procedures; record the meeting, but the use of (2) Financial or commercial informa- other electronic recording equipment tion obtained from any person which is and cameras requires advance notice to privileged or confidential; and coordination with the Commis- (3) Matters which involve the consid- sion’s Press Officer. eration of a proceeding of a formal nature by the Commission against a spe- § 2.4 Exempted meetings. cific person or the formal censure of (a) Meetings required by statute to be any person; closed. Meetings concerning matters (4) Information of a personal nature specifically exempted from disclosure where disclosure would constitute a by statutes which require public with- clearly unwarranted invasion of per- holding in such a manner as to leave no sonal privacy; discretion for the Commission on the (5) Investigatory records compiled for issue, or which establish particular law enforcement purposes, or informa- types of matters to be withheld, shall tion which if written would be con- be closed to public observation in ac- tained in such records, but only to the cordance with the procedures of 11 CFR extent that the production of such 2.5. records or information would:

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(i) Interfere with enforcement pro- (i) A separate vote shall be taken ceedings, with respect to each item on an agenda (ii) Deprive a person of a right to a proposed to be closed in whole or in fair trial or an impartial adjudication, part pursuant to 11 CFR 2.4, or with re- (iii) Constitute an unwarranted inva- spect to any information proposed to sion of personal privacy, be withheld under 11 CFR 2.4. (iv) Disclose the identity of a con- (ii) A single vote may be taken with fidential source, respect to a particular matter to be (v) Disclose investigative techniques discussed in a series of closed meetings, and procedures, or or with respect to any information con- (vi) Endanger the life or physical cerning such series of meetings, so long safety of law enforcement personnel; as each meeting in the series is sched- (6) Information the premature disclo- uled to be held no more than 30 days sure of which would be likely to have a after the initial meeting. considerable adverse effect on the im- (iii) This section shall not affect the plementation of a proposed Commis- sion action, as long as the Commission Commission’s practice of setting dates has not already disclosed the content for closed meetings more than 30 days or nature of its proposed action, or is in advance of such meetings. not required by law to disclose it prior (2) The Commission Secretary shall to final action; or record the vote of each Commissioner (7) Matters that specifically concern participating in the vote. No proxies, the Commission’s participation in a written or otherwise, shall be counted. civil action or proceeding, or an arbi- (3)(i) A Commissioner may object to tration, or involving a determination a recommendation to close the discus- on the record after opportunity for a sion of a particular matter or may as- hearing. sert a claim of exemption for a matter (c) Nothwithstanding the applica- scheduled to be discussed in an open bility of any exemptions set forth in 11 meeting. Such objection or assertion CFR 2.4(b), the Commission may deter- will be discussed by the Commission at mine that the public interest requires a the next scheduled closed meeting, to meeting to be open. determine whether the matter in question should be discussed in a closed [50 FR 39972, Oct. 1, 1985, as amended at 75 FR meeting. 31, Jan. 4, 2010; 79 FR 77844, Dec. 29, 2014] (ii) An objection for the record only § 2.5 Procedures for closing meetings. will not cause the objection to be (a) General. No meeting or portion of placed on any agenda. a meeting may be closed to the public (d) Public statement of vote. (1) If the observation under this section unless a Commission votes to close a meeting, majority of the Commissioners votes to or any portion thereof, under this sec- take such action. The closing of one tion, it shall make publicly available portion of a meeting shall not justify within 24 hours a written statement of closing any other portion of a meeting. the vote. The written statement shall (b) Certification. Each time the Com- contain: mission votes to close a meeting, the (i) A citation to the provision(s) of 11 General Counsel shall publicly certify CFR 2.4 under which the meeting was that, in his or her opinion, each item closed to public observation and an ex- on the agenda may properly be closed planation of why the specific discus- to public observation. The certification sion comes within the cited exemp- shall state each relevant exemption tion(s); provision. The original copy of the cer- (ii) The vote of each Commissioner tification shall be attached to, and pre- participating in the vote; served with, the statement required by (iii) A list of the names of all persons 11 CFR 2.5(d). expected to attend the closed meeting (c) Voting procedures. (1) No meeting and their affiliation. For purposes of need be held to consider closing a this section, affiliation means title or meeting. The Commission may vote to position, and name of employer, and in close a meeting or any portion thereof the case of a representative, the name by using its notation vote procedures. of the person represented. In the case

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of Commission employees, the state- mation withheld under 11 CFR 2.5 con- ment will reflect, through the use of ti- tain information which should be with- tles rather than individual names, that held pursuant to 11 CFR 2.4. the Commissioners, specified division (2) Portions of transcripts or record- heads and their staff will attend; and ings determined to be outside the scope (iv) The signature of the Commission of any exemptions under 11 CFR Secretary. 2.6(b)(1) shall be promptly made avail- (2) The original copy of the state- able to the public through the Commis- ment shall be maintained by the Com- sion’s Public Records Office at a cost mission Secretary. A copy shall be sufficient to cover the Commission’s posted on a public bulletin board lo- actual cost of duplication or tran- cated in the Commission’s Public scription. Requests for such copies Records Office. shall be made and processed in accord- (e) Public request to close a meeting. A ance with the provisions of 11 CFR part person whose interests may be directly 5. affected by a portion of a meeting may (3) Portions of transcripts or elec- request that the Commission close that tronic recordings not made available portion to the public for any of the rea- immediately pursuant to 11 CFR sons referred to in 11 CFR 2.4. The fol- 2.6(b)(1), and portions of transcripts or lowing procedures shall apply to such recordings withheld pursuant to 11 requests: CFR 2.4(a), will be made available on (1) The request must be made in writ- request when the relevant exemptions ing and shall be directed to the Chair- no longer apply. Such materials shall man of the Commission. be requested and processed under the (2) The request shall identify the pro- provisions of 11 CFR 2.6(b)(2). visions of 11 CFR 2.4 under which the (c) A complete verbatim copy of the requestor seeks to close all or a portion transcript or a complete electronic re- of the meeting. cording of each meeting, or portion of (3) A recorded vote to close the meet- a meeting, closed to the public, shall be ing or a portion thereof shall be taken. (4) Requests made under this section maintained by the Commission Sec- shall become part of the official record retary in confidential files of the Com- of the underlying matter and shall be mission, for a minimum of two years disclosed in accordance with 11 CFR 2.6 subsequent to such meeting, or a min- on completion of the matter. imum of one year after the conclusion (5) If the Commission decides to ap- of any agency proceeding with respect prove a request to close, the Commis- to which the meeting, or portion of the sion will then follow the procedures for meeting, was held, whichever occurs closing a meeting set forth in 11 CFR later. 2.5 (a) through (d). [50 FR 39972, Oct. 1, 1985, as amended at 75 FR 31, Jan. 4, 2010] [50 FR 39972, Oct. 1, 1985, as amended at 65 FR 9206, Feb. 24, 2000] § 2.7 Announcement of meetings and § 2.6 Transcripts and recordings. schedule changes. (a) The Commission Secretary shall (a)(1) In the case of each meeting, the maintain a complete transcript or elec- Commission shall publicly announce tronic recording adequate to record and shall submit such announcement fully the proceedings of each meeting, for publication in the FEDERAL REG- or portion of a meeting, closed to pub- ISTER at least seven days prior to the lic observation. An electronic record- day on which the meeting is to be ing of a meeting shall be coded, or called to order. The Commission Sec- other records shall be kept in a manner retary shall also forward a copy of such adequate to identify each speaker. announcement for posting in the Com- (b)(1) In the case of any meeting mission’s Public Records Office. closed pursuant to 11 CFR 2.4(b), as the (2) Announcements made under this last item of business, the Commission section shall contain the following in- will determine which, if any, portions formation: of the electronic recording or tran- (i) The date of the meeting; script and which if any, items of infor- (ii) The place of the meeting;

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(iii) The subject matter of the meet- (a) A tabulation of the total number ing; of Commission meetings open to the (iv) Whether the meeting is to be public; open or closed to the public; and (b) The total number of such meet- (v) The name and telephone number ings closed to the public; of the official designated by the agency (c) The reasons for closing such meet- to respond to requests for information ings; and about the meeting. (d) A description of any litigation (b) The public announcement and brought against the Commission under submission for publication shall be the Sunshine Act, including any costs made when required by 11 CFR 2.7(a) in assessed against the Commission in the case of every Commission meeting such litigation (whether or not paid by unless a majority of the Commissioners the Commission). decide by recorded vote that Commis- sion business requires that the meeting PART 4—PUBLIC RECORDS AND THE be called at an earlier date, in which FREEDOM OF INFORMATION ACT case the Commission shall make at the earliest practicable time, the an- Sec. nouncement required by this section 4.1 Definitions. and a concurrent submission for publi- 4.2 Policy on disclosure of records. cation of that announcement in the 4.3 Scope. FEDERAL REGISTER. 4.4 Availability of records. (c) The time or place of a meeting 4.5 Categories of exemptions. may be changed following the public 4.6 Discretionary release of exempt records. announcement required by 11 CFR 2.7 4.7 Requests for records. 4.8 Appeal of denial. (a) or (b) only if the Commission an- 4.9 Fees. nounces the change at the earliest practicable time. AUTHORITY: 5 U.S.C. 552, as amended. (d) The subject matter of a meeting, SOURCE: 44 FR 33368, June 8, 1979, unless or the determination of the Commis- otherwise noted. sion to open or close a meeting, or portions of a meeting, to the public may § 4.1 Definitions. be changed following the public an- As used in this part: nouncement required by 11 CFR 2.7 (a) (a) Commission means the Federal or (b) only if: Election Commission, established by (1) A majority of the entire member- the Federal Election Campaign Act of ship of the Commission determines by 1971, as amended. recorded vote that Commission busi- (b) Commissioner means an individual ness so requires and that no earlier an- appointed to the Federal Election Com- nouncement of the change was pos- mission pursuant to 52 U.S.C. 30106(a). sible; and (c) Request means to seek the release (2) The Commission publicly an- of records under 5 U.S.C. 552. nounces the change and the vote of (d) Requestor is any person who sub- each member upon the change at the mits a request to the Commission. earliest practicable time. Immediately (e) Act means the Federal Election following this announcement, the Com- Campaign Act of 1971, as amended by mission shall submit for publication in the Federal Election Campaign Act the FEDERAL REGISTER a notice con- Amendments of 1974, 1976, and 1979, and taining the information required by 11 unless specifically excluded, includes CFR 2.7(a)(2), including a description of chapters 95 and 96 of the Internal Rev- any change from the earlier published enue Code of 1954 relating to public fi- notice. nancing of Federal elections. (f) Public Disclosure Division of the § 2.8 Annual report. Commission is that division which is The Commission shall report annu- responsible for, among other things, ally to Congress regarding its compli- the processing of requests for public ac- ance with the requirements of the Gov- cess to records which are submitted to ernment in the Sunshine Act and of the Commission pursuant to 52 U.S.C. this part, including: 30108(d), 30109(a)(4)(B)(ii), and 30111(a).

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(g) Direct costs means those expendi- doubt the use for which the requestor tures which the Commission actually claims to have made the request or incurs in searching for and duplicating where that use is not clear from the re- (and, in the case of commercial use request itself, the Commission will seek questors, reviewing) documents to re- additional clarification before assign- spond to a FOIA request. Direct costs ing the request to a specific category. include the salary of the employee per- (l) Educational institution means a forming the work (the basic rate of pay preschool, a public or private elemen- for the employee plus 16 percent of that tary or secondary school, an institu- rate to cover benefits) and the cost of tion of graduate higher education, an operating duplicating equipment. Di- institution of undergraduate higher rect costs do not include overhead ex- education, an institution of profes- penses such as the cost of space and sional education, and an institution of heating or lighting the facility in vocational education, which operates a which the records are stored. program or programs of scholarly re- (h) Search means all time spent research. viewing, manually or by automated (m) Non-commercial scientific institu- means, Commission records for the tion means an organization that is not purpose of locating those records that operated on a commercial basis, as are responsive to a FOIA request, in- that term is defined in paragraph (k) of cluding page-by-page or line-by-line this section, and which is operated identification of material within docu- solely for the purpose of conducting ments. Search time does not include scientific research the results of which review of material in order to deter- are not intended to promote any par- mine whether the material is exempt ticular product or industry. from disclosure. (n) Representative of the news media (i) Review means the process of exam- means a person actively gathering ining a document located in response news for an entity that is organized to a commercial use request to deter- and operated to publish or broadcast mine whether any portion of the docu- news to the public. The term news ment located is exempt from disclo- means information that is about cur- sure. Review also refers to processing rent events or that would be of current any document for disclosure, i.e., doing interest to the public. Examples of all that is necessary to excise exempt news media entities include, but are portions of the document and other- not limited to, television or radio sta- wise prepare the document for release. tions broadcasting to the public at Review does not include time spent by large, and publishers of periodicals (but the Commission resolving general legal only in those instances when they can or policy issues regarding the applica- qualify as disseminators of news, as de- tion of exemptions. fined in this paragraph) who make (j) Duplication means the process of their products available for purchase or making a copy of a document nec- subscription by the general public. A essary to respond to a FOIA request. freelance journalist may be regarded as Examples of the form such copies can working for a news organization and take include, but are not limited to, therefore considered a representative paper copy, microform, audio-visual of the news media if that person can materials, or machine readable docu- demonstrate a solid basis for expecting mentation (e.g., magnetic tape or publication by that news organization, disk). even though that person is not actually (k) Commercial use means a purpose employed by that organization. The that furthers the commercial, trade, or best means by which a freelance jour- profit interests of the requestor or the nalist can demonstrate a solid basis for person on whose behalf the request is expecting publication by a news orga- made. The Commission’s determina- nization is by having a publication con- tion as to whether documents are being tract with that news organization. requested for a commercial use will be When no such contract is present, the based on the purpose for which the doc- Commission will look to the freelance uments are being requested. Where the journalist’s past publication record in Commission has reasonable cause to making this determination.

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(o) Record and any other term used in the date on which all respondents are this part in reference to information notified that the Commission has voted includes any information that would be to close such an enforcement file; a Commission record subject to the re- (4) Copies of all records, regardless of quirements of this part when main- form or format, which have been retained by the Commission in any for- leased to any person under this para- mat, including an electronic format. graph (a) and which, because of the nature of their subject matter, the agen- [44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 52 FR 39212, Oct. 21, cy determines have become or are like- 1987; 65 FR 9206, Feb. 24, 2000; 79 FR 77844, ly to become the subject of subsequent Dec. 29, 2014] requests for substantially the same records; and § 4.2 Policy on disclosure of records. (5) A general index of the records re- (a) The Commission will make the ferred to in paragraph (a)(4) of this sec- fullest possible disclosure of records to tion. the public, consistent with the rights (b) In accordance with 5 U.S.C. of individuals to privacy, the rights of 552(a)(3), the Commission shall make persons contracting with the Commis- available, upon proper request, all non- sion with respect to trade secret and exempt Agency records, or portions of commercial or financial information records, not previously made public entitled to confidential treatment, and pursuant to 5 U.S.C. 552(a)(1) and (a)(2). the need for the Commission to pro- (c) The Commission shall maintain mote free internal policy deliberations and make available current indexes and to pursue its official activities and supplements providing identifying without undue disruption. information regarding any matter (b) All Commission records shall be issued, adopted or promulgated after available to the public unless they are April 15, 1975 as required by 5 U.S.C. specifically exempt under this part. 552(a)(2)(C) and (E).These indexes and (c) To carry out this policy, the Com- supplements shall be published and mission shall designate a Freedom of made available on at least a quarterly Information Act Officer. basis for public distribution unless the Commission determines by Notice in § 4.3 Scope. the FEDERAL REGISTER that publication would be unnecessary, impracti- The regulations in this part imple- cable, or not feasible due to budgetary ment the provisions of the Freedom of considerations. Nevertheless, copies of Information Act, 5 U.S.C. 552, with re- any index or supplement shall be made spect to the availability of records for available upon request at a cost not to inspection and copying. exceed the direct cost of duplication. [44 FR 33368, June 8, 1979, as amended at 45 (d) The Freedom of Information Act FR 31291, May 13, 1980] and the provisions of this part apply only to existing records; they do not § 4.4 Availability of records. require the creation of new records. (a) In accordance with 5 U.S.C. (e) If documents or files contain both 552(a)(2), the Commission shall make disclosable and nondisclosable informa- the following materials available for tion, the nondisclosable information public inspection and copying: will be deleted and the disclosable in- (1) Statements of policy and interpre- formation released unless the tation which have been adopted by the disclosable portions cannot be reason- Commission; ably segregated from the other por- (2) Administrative staff manuals and tions in a manner which will allow instructions to staff that affect a mem- meaningful information to be dis- ber of the public; closed. (3) Opinions of Commissioners ren- (f) All records created in the process dered in enforcement cases, General of implementing provisions of 5 U.S.C. Counsel’s Reports and non-exempt 52 552 will be maintained by the Commis- U.S.C. 30109 investigatory materials sion in accordance with the authority shall be placed on the public record of granted by General Records Schedule the Agency no later than 30 days from 14, approved by the National Archives

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and Records Service of the General son, firm, partnership, corporation, or Services Administration. other organization from which the in- (g) The Commission encourages the formation was obtained, unless the public to explore the information Commission is required by law to dis- available on the Commission’s World close such information. These proce- Wide Web site, located at http:// dures shall be used for submitting busi- www.fec.gov. The site includes a Com- ness information in confidence: mission publication, Availability of FEC (i) A request for confidential treat- Information, which provides a detailed ment shall be addressed to the Chief listing of the types of documents avail- FOIA Officer, Federal Election Com- able from the FEC, including those mission, 999 E Street, NW., Wash- available under FOIA, and directions on how to locate and obtain them. ington, DC 20463, and shall indicate clearly on the envelope that it is a re- [44 FR 33368, June 8, 1979, as amended at 45 quest for confidential treatment. FR 31291, May 13, 1980; 65 FR 9206, Feb. 24, (ii) With each submission of, or offer 2000; 79 FR 77844, Dec. 29, 2014] to submit, business information which § 4.5 Categories of exemptions. a submitter desires to be treated as (a) No requests under 5 U.S.C. 552 confidential under paragraph (a)(4) of shall be denied release unless the this section, the submitter shall pro- record contains, or its disclosure would vide the following, which may be dis- reveal, matters that are: closed to the public: (A) A written de- (1) Specifically authorized under cri- scription of the nature of the subject teria established by an executive order information, and a justification for the to be kept secret in the interest of na- request for its confidential treatment, tional defense or foreign policy and are and (B) a certification in writing under in fact properly classified pursuant to oath that substantially identical infor- such Executive order; mation is not available to the public. (2) Related solely to the internal per- (iii) Approval or denial of requests sonnel rules and practices of the Com- shall be made only by the Chief FOIA mission; Officer or his or her designees. A denial (3) Specifically exempted from disclo- shall be in writing, shall specify the sure by statute, provided that such reason therefore, and shall advise the statute (A) requires that the matters submitter of the right to appeal to the be withheld from the public in such a Commission. manner as to leave no discretion on the (iv) For good cause shown, the Com- issue, or (B) establishes particular cri- mission may grant an appeal from a de- teria for withholding or refers to par- nial by the Chief FOIA Officer or his or ticular types of matters to be withheld; her designee if the appeal is filed with- (4) Trade secrets and commercial or in fifteen (15) days after receipt of the financial information obtained from a denial. An appeal shall be addressed to person which are privileged or confidential. Such information includes the Chief FOIA Officer, Federal Elec- confidential business information tion Commission, 999 E Street, NW., which concerns or relates to the trade Washington, DC 20463 and shall clearly secrets, processes, operations, style of indicate that it is a confidential sub- work, or apparatus, or to the produc- mission appeal. An appeal will be de- tion, sales, shipments, purchases, cided within twenty (20) days after its transfers, identification of customers, receipt (excluding Saturdays, Sundays inventories, or amount of source of in- and legal holidays) unless an extension, come, profits, losses, or expenditures of stated in writing with the reasons any person, firm, partnership, corpora- therefore, has been provided the person tion, or other organization, if the dis- making the appeal. closure is likely to have the effect of (v) Any business information sub- either impairing the Commission’s mitted in confidence and determined to ability to obtain such information as is be entitled to confidential treatment necessary to perform its statutory shall be maintained in confidence by functions, or causing substantial harm the Commission and not disclosed ex- to the competitive position of the per- cept as required by law. In the event

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that any business information sub- (b) Whenever a request is made which mitted to the Commission is not enti- involves access to records described in tled to confidential treatment, the sub- 11 CFR 4.5(a)(7); and mitter will be permitted to withdraw (1) The investigation or proceeding the tender unless it is the subject of a involves a possible violation of crimi- request under the Freedom of Informa- nal law; and tion Act or of judicial discovery pro- (2) There is reason to believe that— ceedings. (i) The subject of the investigation or (vi) Since enforcement actions under proceeding is not aware of its pend- 52 U.S.C. 30109 are confidential by stat- ency; and ute, the procedures outlined in (ii) Disclosure of the existence of the § 4.5(a)(4) (i) thru (v) are not applicable. records could reasonably be expected to (5) Inter-agency or intra-agency interfere with enforcement pro- memoranda or letters which would not ceedings; be available by law to a party in litiga- The agency may, during only such time tion with the Commission. as that circumstance continues, treat (6) Personnel and medical files and the records as not subject to the re- similar files, the disclosure of which quirements of the Freedom of Informa- would constitute a clearly unwarranted tion Act. invasion of personal privacy. (c) Any reasonably segregable por- (7) Records or information compiled tion of a record shall be provided to for law enforcement purposes, but only any person requesting such record after to the extent that the production of deletion of the portions which are ex- such law enforcement records or infor- empt. The amount of information de- mation: leted shall be indicated on the released portion of the record, unless including (i) Could reasonably be expected to that indication would harm an interest interfere with enforcement pro- protected by an exemption in para- ceedings; graph (a) of this section under which (ii) Would deprive a person of a right the deletion is made. If technically fea- to a fair trial or an impartial adjudica- sible, the amount of the information tion; deleted shall be indicated at the place (iii) Could reasonably be expected to in the record where such deletion is constitute an unwarranted invasion of made. personal privacy; (d) If a requested record is one of an- (iv) Could reasonably be expected to other government agency or deals with disclose the identity of a confidential subject matter to which a government source, including a State, local, or for- agency other than the Commission has eign agency or authority or any pri- exclusive or primary responsibility, vate institution which furnished infor- the request for such a record shall be mation on a confidential basis, and, in promptly referred by the Commission the case of a record or information to that agency for disposition or guid- compiled by a criminal law enforce- ance as to disposition. ment authority in the course of a (e) Nothing in this part authorizes criminal investigation, or by an agency withholding of information or limiting conducting a lawful national security the availability of records to the pub- intelligence investigation, information lic, except as specifically provided in furnished by a confidential source; this part; nor is this part authority to (v) Would disclose techniques and withhold information from Congress. procedures for law enforcement investigations or prosecutions, or would dis- [44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985; 52 FR 23638, June 24, close guidelines for law enforcement 1987; 52 FR 39212, Oct. 21, 1987; 65 FR 9206, investigations or prosecutions if such Feb. 24, 2000; 75 FR 31, Jan. 4, 2010; 79 FR disclosure could reasonably be ex- 77844, Dec. 29, 2014] pected to risk circumvention of the law; or § 4.6 Discretionary release of exempt (vi) Could reasonably be expected to records. endanger the life or physical safety of The Commission may, in its discre- any individual. tion, release requested records despite

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the applicability of the exemptions in (3) Necessary for consultation with § 4.5(a), if it determines that it is in the another agency which has a substantial public interest and that the rights of interest in the determination of the re- third parties would not be prejudiced. quest, or with two or more components of the Commission which have a sub- § 4.7 Requests for records. stantial subject matter interest there- (a) [Reserved] in. (b)(1) Requests for copies of records (d) If the Commission determines pursuant to the Freedom of Informa- that an extension of time greater than tion Act shall be addressed to Chief ten working days is necessary to re- FOIA Officer, Federal Election Com- spond to a request satisfying the ‘‘un- mission, 999 E Street, NW., Wash- usual circumstances’’ specified in para- ington, DC 20463. The request shall rea- graph (c) of this section, the Commis- sonably describe the records sought sion shall so notify the requester and with sufficient specificity with respect give the requester an opportunity to to names, dates, and subject matter, to limit the scope of the request so that it permit the records to be located. A re- may be processed within the time limit quester will be promptly advised if the prescribed in paragraph (c) of this sec- records cannot be located on the basis tion, or arrange with the Commission of the description given and that fur- an alternative time frame for proc- ther identifying information must be essing the request or a modified re- provided before the request can be sat- quest. isfied. (e) The Commission may aggregate (2) Requests for Commission records and process as a single request requests and copies thereof shall specify the by the same requester, or a group of re- preferred form or format (including questers acting in concert, if the Com- electronic formats) of the response. mission reasonably believes that the The Commission shall accommodate requests actually constitute a single requesters as to form or format if the request that would otherwise satisfy record is readily available in that form the unusual circumstances specified in or format. When requesters do not paragraph (c) of this section, and the specify the form or format of the re- requests involve clearly related mat- sponse, the Commission shall respond ters. in the form or format in which the doc- (f) The Commission uses a multi- ument is most accessible to the Com- track system to process requests under mission. the Freedom of Information Act that is (c) The Commission shall determine based on the amount of work and/or within twenty working days after re- time involved in processing requests. ceipt of a request, or twenty working Requests for records are processed in days after an appeal is granted, wheth- the order they are received within each er to comply with such request, unless track. Upon receipt of a request for in unusual circumstances the time is records, the Commission shall deter- extended or subject to § 4.9(f)(3), which mine which track is appropriate for the governs advance payments. In the request. The Commission may contact event the time is extended, the re- requesters whose requests do not ap- questor shall be notified of the reasons pear to qualify for the fastest tracks for the extension and the date on which and provide such requesters the oppor- a determination is expected to be tunity to limit their requests so as to made, but in no case shall the extended qualify for a faster track. Requesters time exceed ten working days. An ex- who believe that their requests qualify tension may be made if it is— for the fastest tracks and who wish to (1) Necessary to locate records or be notified if the Commission disagrees transfer them from physically separate may so indicate in the request and, facilities; or where appropriate and feasible, shall (2) Necessary to search for, collect, also be given an opportunity to limit and appropriately examine a large their requests. quantity of separate and distinct (g) The Commission shall consider re- records which are the subject of a sin- quests for the expedited processing of gle request; or requests in cases where the requester

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demonstrates a compelling need for the adverse determination or the fail- such processing. ure to respond by requesting the Com- (1) The term compelling need means: mission to direct that the record be (i) That a failure to obtain requested made available. records on an expedited basis could rea- (b) The appeal request shall be in sonably be expected to pose an immi- writing, shall clearly and prominently nent threat to the life or physical safe- state on the envelope or other cover ty of an individual; or and at the top of the first page ‘‘FOIA (ii) With respect to a request made by Appeal’’, and shall identify the record a person primarily engaged in dissemi- in the form in which it was originally nating information, urgency to inform requested. the public concerning actual or alleged (c) The appeal request should be de- Federal government activity. livered or addressed to the Chief FOIA (2) Requesters for expedited proc- Officer, Federal Election Commission, essing must include in their requests a 999 E Street, NW., Washington, DC statement setting forth the basis for 20463. the claim that a ‘‘compelling need’’ ex- (d) The requestor may state facts and ists for the requested information, cer- cite legal or other authorities as he/she tified by the requester to be true and deems appropriate in support of the ap- correct to the best of his or her knowl- peal request. edge and belief. (e) For good cause shown, the Com- (3) The Commission shall determine mission may disclose a record which is whether to grant a request for expe- subject to one of the exemptions listed dited processing and notify the re- in § 4.5 of this part. quester of such determination within (f) The Commission will make a de- ten days of receipt of the request. Deni- termination with respect to any appeal als of requests for expedited processing within twenty days (excluding Satur- may be appealed as set forth in § 4.8. days, Sundays and legal holidays) after The Commission shall expeditiously receipt of the appeal (or within such determine any such appeal. As soon as extended period as is permitted under practicable, the Commission shall § 4.7(c) of this part). If on appeal, the process the documents responsive to a denial of the request for a record or a request for which expedited processing copy is in whole or in part upheld, the is granted. Commission shall advise the requestor (h) Any person denied access to of the denial and shall notify him/her records by the Commission shall be no- of the provisions for judicial review of tified immediately giving reasons that determination as set forth in 5 therefore, and notified of the right of U.S.C. 552(a)(4). such person to appeal such adverse determination to the Commission. (g) Because of the risk of misunder- (i) The date of receipt of a request standing inherent in oral communica- under this part shall be the date on tions, the Commission will not enter- which the FOIA Officer actually retain any appeal from an alleged denial ceives the request. or failure to comply with an oral request. Any person who has orally re- [44 FR 33368, June 8, 1979, as amended at 45 quested a copy of a record that he/she FR 31292, May 13, 1980; 50 FR 50778, Dec. 12, believes to have been improperly de- 1985; 52 FR 39213, Oct. 21, 1987; 65 FR 9206, nied should resubmit the request in Feb. 24, 2000; 75 FR 31, Jan. 4, 2010] writing as set forth in § 4.7. § 4.8 Appeal of denial. [44 FR 33368, June 8, 1979, as amended at 50 (a) Any person who has been notified FR 50778, Dec. 12, 1985; 75 FR 31, Jan. 4, 2010; pursuant to § 4.7(h) of this part that his/ 79 FR 16663, Mar. 26, 2014] her request for inspection of a record or for a copy has been denied, or who § 4.9 Fees. has received no response within ten (a) Exceptions to fee charges—(1) Gen- working days (or within such extended eral. Except for a commercial use re- period as is permitted under § 4.7(c) of quester, the Commission will not this part) after the request has been re- charge a fee to any requester for the ceived by the Commission, may appeal first two hours of search time and the

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first 100 pages of duplication in reduced or waived, applying the standard sponse to any FOIA request. stated in paragraph (b)(1) of this sec- (2) Free computer search time. For pur- tion to the facts of that particular re- poses of this paragraph, the term quest. In addition, the explanation search time is based on the concept of a shall include: the requester’s (and manual search. To apply this to a user’s, if the requester and the user are search conducted by a computer, the different persons or entities) identity, Commission will provide the equiva- qualifications and expertise in the sub- lent dollar value of two hours of profes- ject area, and ability and intention to sional staff time, calculated according disseminate the information to the to paragraph (c)(4) of this section, in public; and a discussion of any com- computer search time. Computer mercial or personal benefit that the research time is determined by adding questor (and user, if the requestor and the cost of the computer connect time user are different persons or entities) actually used for the search, calculated expects as a result of disclosure, in- at the rate of $25.00 per hour, to the cluding whether the information dis- cost of the operator’s salary for the closed would be resold in any form at a time spent conducting the computer fee above actual cost. search, calculated at the professional (c) Fees to be charged. (1) The FOIA staff time rate set forth at paragraph services provided by the Commission in (c)(4) of this section. response to a FOIA request for which (3) Definition of pages. For purposes of the requestor will be charged will de- this paragraph, the word pages refers to pend upon the category of the re- paper copies of a standard agency size questor. The categories of FOIA re- which will normally be 81⁄2″ × 11″ or 81⁄2″ questors are as follows: × 14″. Thus, while a requester would not (i) Commercial use requestors. A re- be entitled to 100 free computer disks, questor of documents for commercial for example, a requester would be enti- use will be assessed reasonable stand- tled to 100 free pages of a computer ard charges for the full allowable di- printout. rect costs of searching for, reviewing (4) Minimum charge. The Commission for release and duplicating the records will not charge a fee to any requester sought, according to the Commission’s when the allowable direct cost of that schedule of fees for those services as FOIA request is equal to or less than set forth at paragraph (c)(4) of this sec- the Commission’s cost of routinely col- tion. A commercial use requestor is not lecting and processing a FOIA request entitled to two hours of free search fee. time nor 100 free pages of duplication (b) Fee reduction or waiver—(1) The of documents. Commission will consider requests for (ii) Educational and non-commercial the reduction or waiver of any fees as- scientific institution requestors. The Com- sessed pursuant to paragraph (c)(1) of mission will provide documents to re- this section if it determines, either as questors in this category for the cost of a result of its own motion or in re- duplication of the records provided by sponse to a written submission by the the Commission in response to the re- requester, that disclosure of the infor- quest, according to the Commission’s mation is in the public interest because schedule of fees as set forth at para- it is likely to contribute significantly graph (c)(4) of this section, excluding to public understanding of the oper- charges for the first 100 pages of dupli- ations or activities of the government cation. Requestors in this category will and that disclosure of the information not be charged for search time. To be is not primarily in the commercial ineligible for inclusion in this category, terest of the requester. requestors must show that the request (2) A request for a reduction or waiv- is being made as authorized by and er of fees shall be made in writing by under the auspices of a qualifying in- the FOIA requestor; shall accompany stitution and that the records are not the relevant FOIA request so as to be sought for a commercial use, but are considered timely; and shall include a sought in furtherance of scholarly (if specific explanation as to why the fee the request is from an educational infor that FOIA request should be re- stitution) or scientific (if the request is

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from a non-commercial scientific insti- the opportunity to confer with Com- tution) research. mission staff to reformulate the origi- (iii) Requestors who are representatives nal request in order to meet the re- of the news media. The Commission will questor’s needs at a lower cost. provide documents to requestors in (4) The following is the schedule of this category for the cost of duplica- the Commission’s standard fees. The tion of the records provided by the cost of staff time will be added to all of Commission in response to the request, the following fees, generally at the Pro- according to the Commission’s sched- fessional rate listed below, except for ule of fees as set forth at paragraph the cost of Photocopying from (c)(4) of this section, excluding charges photocopying machines which has been for the first 100 pages of duplication. calculated to include staff time. Requestors in this category will not be charged for search time. To be eligible PHOTOCOPYING for inclusion in this category, the re- Photocopying from photocopying machines— questor must meet the criteria listed $.07 per page at 11 CFR 4.1(n) and his or her request Photocopying from microfilm reader-print- must not be made for a commercial er—$.15 per page use. A request for records supporting Paper copies from microfilm-paper print ma- the news dissemination function of the chine—$.05 per frame page requestor shall not be considered to be REELS OF MICROFILM a request that is for a commercial use. (iv) All other requestors. The Commis- Daily film (partial or complete roll)—$2.85 per roll sion will charge requestors who do not Other film (partial or complete roll)—$5.00 fit into any of the categories listed in per roll paragraph (c)(1)(i), (ii) or (iii) of this section the full direct costs of search- PUBLICATIONS: (NEW OR NOT FROM AVAILABLE ing for and duplicating records in re- STOCKS) sponse to the request, according to the Cost of photocopying document—$.07 per Commission’s schedule of fees as set page forth at paragraph (c)(4) of this section, Cost of binding document—$.30 per inch excluding charges for the first two hours of search time and the first 100 PUBLICATIONS: (AVAILABLE STOCK) pages of duplication. Requests from If available from stock on hand, cost is based persons for records about themselves on previously calculated cost as stated in will continue to be treated under the the publication (based on actual cost per fee provisions of the Privacy Act of copy, including reproduction and binding). 1974, which permit fees only for dupli- Commission publications for which fees will be charged include, but are not limited cation. to, the following: Advisory Opinion Index, (2) The Commission may assess fees Report on Financial Activity, Financial for the full allowable direct costs of Control and Compliance Manual, MUR searching for documents in response to Index, and Guideline for Presentation in a request even if the Commission fails Good Order. to locate any documents which are responsive to that request and, in the COMPUTER TAPES case of commercial use requestors, of Cost to process the request at the rate of reviewing documents located in re- $25.00 per hour connect time plus the cost sponse to a request which the Commis- of the computer tape ($25.00) and profes- sion determines are exempt from dis- sional staff time (see Staff Time). closure. COMPUTER INDEXES (INCLUDING NAME (3) If the Commission estimates that SEARCHES) search or duplication charges are like- Cost to process the request at the rate of ly to exceed $25.00, it will notify the re- $25.00 per hour connect time plus the cost questor of the estimated amount of the of professional staff time (see Staff Time). fee unless the requestor has indicated in advance a willingness to pay a fee as STAFF TIME high as that estimated by the Commis- Clerical: $4.50 per each half hour (agency av- sion. Through this notification, the erage of staff below a GS–11) for each re- Commission will offer the requestor quest.

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Professional: $12.40 per each half hour (agen- of evading the assessment of fees, the cy average of staff at GS–11 and above) for Commission will aggregate any such each request. requests and charge the appropriate OTHER CHARGES fees. In making this determination, the Commission will consider the time pe- Certification of a Document: $7.35 per quar- riod in which the requests have oc- ter hour. Transcripts of Commission meetings not pre- curred, the relationship of the reques- viously transcribed: $7.50 per half hour tors, and the subject matter of the re- (equivalent of a GS–11 executive sec- quests. retary). (f) Advance payments. The Commis- The Commission will not charge a fee for or- sion will require a requestor to make dinary packaging and mailing of records an advance payment, i.e., a payment requested. When a request for special mail- before work is commenced or contin- ing or delivery services is received the ued on a request, when: Commission will package the records requested. The requestor will make all ar- (1) The Commission estimates or de- rangements for pick-up and delivery of the termines that allowable charges that a requested materials. The requestor shall requestor may be required to pay are pay all costs associated with special mail- likely to exceed $250. In such a case, ing or delivery services directly to the cou- the Commission will notify the re- rier or mail service. questor of the likely cost and, where (5) Upon receipt of any request for the requestor has a history of prompt the production of computer tape or payment of FOIA fees, obtain satisfac- microfilm, the Commission will advise tory assurance of full payment, or in the requestor of the identity of the pri- the case of a requestor with no FOIA vate contractor who will perform the fee payment history, the Commission duplication services. If fees are charged will require an advance payment of an for the production of computer tape or amount up to the full estimated microfilm, they shall be made payable charges; or to that private contractor and shall be (2) A requestor has previously failed forwarded to the Commission. to pay a fee in a timely fashion (i.e., (d) Interest charges. FOIA requestors within 30 days of the date of the bill- should pay fees within 30 days fol- ing). In such a case, the Commission lowing the day on which the invoice for may require that the requestor pay the that request was sent to the requestor. full amount owed plus any applicable If the invoice is unpaid on the 31st day interest or demonstrate that the fee following the day on which the invoice has been paid and make an advance was sent, the Commission will begin payment of the full amount of the esti- assessing interest charges, which will mated fee before the Commission be- accrue from the date the invoice was gins to process a new request or a pend- mailed. Interest will be charged at a ing request from that requestor. rate that is equal to the average in- (3) If the provisions of paragraph (f) vestment rate for the Treasury tax and (1) or (2) of this section apply, the ad- loan accounts for the 12-month period ministrative time limits prescribed in ending on September 30 of each year, 11 CFR 4.7(c) will begin only after the rounded to the nearest whole percent- Commission has received the payments age point, pursuant to 31 U.S.C. 3717. or the requestor has made acceptable The accrual of interest will be stayed arrangements to make the payments by the Commission’s receipt of the fee, required by paragraph (f) (1) or (2) of even if the fee has not yet been proc- this section. essed. [52 FR 39213, Oct. 21, 1987, as amended at 75 (e) Aggregating requests. A requestor FR 31, Jan. 4, 2010] may not file multiple requests, each seeking portions of a document or doc- PART 5—ACCESS TO PUBLIC DIS- uments, in order to avoid payment of CLOSURE DIVISION DOCUMENTS fees. When the Commission reasonably believes that a FOIA requestor or Sec. group of requestors acting in concert is 5.1 Definitions. attempting to break a request down 5.2 Policy on disclosure of records. into a series of requests for the purpose 5.3 Scope.

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5.4 Availability of records. is available pursuant to the Freedom of 5.5 Request for records. Information Act and the rules set forth 5.6 Fees. as part 4 of this chapter. AUTHORITY: 52 U.S.C. 30108(d), 30109(a)(4)(B)(ii), 30111(a); 31 U.S.C. 9701. § 5.3 Scope. SOURCE: 45 FR 31293, May 13, 1980, unless (a) The regulations in this part im- otherwise noted. plement the provisions of 52 U.S.C. 30108(d), 30109(a)(4)(B)(ii), and 30111(a). § 5.1 Definitions. (b) Public access to such Commission (a) Commission means the Federal records as are subject to the collateral Election Commission established by provisions of the Freedom of Informa- the Federal Election Campaign Act of tion Act and are not included in the 1971, as amended. material subject to disclosure under (b) Commissioner means an individual this part (described in 11 CFR 5.4(a)) appointed to the Federal Election Com- shall be governed by the rules set forth mission pursuant to 52 U.S.C. 30109 6(a). as part 4 of this chapter. (c) Request means to seek access to Commission materials subject to the [45 FR 31293, May 13, 1980, as amended at 79 provisions of the Federal Election FR 77844, Dec. 29, 2014] Campaign Act of 1971, as amended. § 5.4 Availability of records. (d) Requestor is any person who submits a request to the Commission. (a) In accordance with 52 U.S.C. (e) Act means the Federal Election 30111(a), the Commission shall make Campaign Act, as amended by the Fed- the following material available for eral Election Campaign Act Amend- public inspection and copying through ments of 1974, 1976, and 1979, and unless the Commission’s Public Disclosure Di- specifically excluded, includes chapters vision: 95 and 96 of the Internal Revenue Code (1) Reports of receipts and expendi- of 1954 relating to public financing of tures, designations of campaign deposi- Federal elections. tories, statements of organization, can- (f) Public Disclosure Division of the didate designations of campaign com- Commission is that division which is mittees and the indices compiled from responsible for, among other things, the filings therein. the processing of requests for public ac- (2) Requests for advisory opinions, cess to records which are submitted to written comments submitted in con- the Commission pursuant to 52 U.S.C. nection therewith, and responses issued 30109(a)(4)(B)(ii) and 30111(a). by the Commission. [45 FR 31293, May 13, 1980, as amended at 65 (3) With respect to enforcement mat- FR 9207, Feb. 24, 2000; 79 FR 77844, Dec. 29, ters, any conciliation agreement en- 2014] tered into between the Commission and any respondent. § 5.2 Policy on disclosure of records. (4) Opinions of Commissioners ren- (a) The Commission will make the dered in enforcement cases and General fullest possible disclosure of records to Counsel’s Reports and non-exempt 52 the public, consistent with the rights U.S.C. 30109 investigatory materials of individuals to privacy, the rights of shall be placed on the public record of persons contracting with the Commis- the Agency no later than 30 days from sion with respect to trade secrets and the date on which all respondents are commercial or financial information notified that the Commission has voted entitled to confidential treatment, and to close such an enforcement file. the need for the Commission to pro- (5) Letter requests for guidance and mote free internal policy deliberations responses thereto. and to pursue its official activities (6) The minutes of Commission meet- without undue disruption. ings. (b) Nothing herein shall be deemed to (7) Material routinely prepared for restrict the public availability of Com- public distribution, e.g. campaign mission records falling outside provi- guidelines, FEC Record, press releases, sions of the Act, or to restrict such speeches, notices to candidates and public access to Commission records as committees.

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(8) Audit reports (if discussed in open materials not described in 11 CFR session). 5.4(a), it shall promptly forward such (9) Agendas for Commission meet- request to the Commission FOIA Offi- ings. cer for processing in accordance with (b) The provisions of this part apply the provisions of part 4 of this chapter. only to existing records; nothing herein shall be construed as requiring the [45 FR 31293, May 13, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 75 FR 31, Jan. 4, 2010] creation of new records. (c) In order to ensure the integrity of § 5.6 Fees. the Commission records subject to the Act and the maximum availability of (a)(1) Fees will be charged for copies such records to the public, nothing of records which are furnished to a re- herein shall be construed as permitting quester under this part and for the the physical removal of any Commis- staff time spent in locating and repro- sion records from the public facilities ducing such records. The fees to be lev- maintained by the Public Disclosure ied for services rendered under this Division other than copies of such part shall not exceed the Commission’s records obtained in accordance with direct cost of processing requests for the provisions of this part. those records computed on the basis of (d) Release of records under this sec- the actual number of copies produced tion is subject to the provisions of 5 and the staff time expended in ful- U.S.C. 552a. filling the particular request, in accordance with the following schedule of [45 FR 31293, May 13, 1980, as amended at 65 standard fees: FR 9207, Feb. 24, 2000; 79 FR 77844, Dec. 29, 2014] Photocopying from microfilm reader-print- er—$.15 per page § 5.5 Request for records. Photocopying from photocopying machines— (a) A request to inspect or copy those $.05 per page Paper copies from microfilm—Paper Print public records described in 11 CFR Machine—$.05 per frame/page 5.4(a) may be made in person or by mail. The Public Disclosure Division is REELS OF MICROFILM open Monday through Friday between Daily film (partial or complete roll)—$2.85 the hours of 9 a.m. and 5 p.m. and is lo- per roll cated on the first floor, 999 E Street, Other film (partial or complete roll)—$5.00 NW., Washington, DC 20463. per roll (b) Each request shall describe the records sought with sufficient speci- PUBLICATIONS: (NEW OR NOT FROM STOCKS AVAILABLE) ficity with respect to names, dates and subject matter to permit the records to Cost of photocopying (reproducing) docu- be located with a reasonable amount of ment—$.05 per page effort. A requester will be promptly ad- Cost of binding document—$.30 per inch Plus cost of staff research time after first 1⁄2 vised if the requested records cannot be hour (see Research Time) located on the basis of the description given and that further identifying in- PUBLICATIONS: (AVAILABLE STOCK) formation must be provided before the If available from stock on hand, cost is based request can be satisfied. on previously calculated cost as stated in (c) Requests for copies of records not the publication (based on actual cost per available through the Public Disclo- copy, including reproduction and binding). sure Division shall be addressed to the COMPUTER TAPES: Chief FOIA Officer, Federal Election Commission, 999 E Street, NW., Wash- Cost ($.0006 per Computer Resource Unit Uti- ington, DC 20463. Requests for Commis- lized—CRU) to process the request plus the sion records not described in 11 CFR cost of the computer tape ($25) and professional staff time (see Research Time). The 5.4(a) shall be treated as requests made cost varies based upon request. pursuant to the Freedom of Informa- tion Act (5 U.S.C. 552) and shall be gov- COMPUTER INDEXES: erned by 11 CFR part 4. In the event No charge for 20 or fewer requests for com- that the Public Disclosure Division re- puter indexes, except for a name search as ceives a written request for access to described below.

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C Index—Committee Index of Disclosure (b) Commission publications for Documents—No charge for requests of 20 or which fees will be charged under 11 fewer committee ID numbers. Requests for CFR 5.6(a) include, but are not limited more than 20 ID numbers will cost $.05 for to, the following: each ID number requested. E Index (Parts 1–4)—Candidate Index of Sup- Advisory Opinion Index porting Documents—No charge for re- Report on Financial Activity quests of 20 or fewer candidate ID numbers. Financial Control and Compliance Manual Requests for more than 20 ID numbers will MUR Index cost $.10 for each ID number requested. Guideline for Presentation in Good Order D Index—Committee Index or Candidates Office Account Index Supported/Opposed—No charge for requests (c) In the event the anticipated fees of 20 or fewer committee ID numbers. Re- for all pending requests from the same quests for more than 20 ID numbers will cost $.30 for each committee ID number re- requester exceed $25.00, records will not quested. be searched, nor copies furnished, until E Index (Complete)—Candidate Index of Sup- the requester pays, or makes accept- porting Documents—No charge for re- able arrangements to pay, the total quests of 20 or fewer committee ID num- amount due. bers. Requests for more than 20 ID numbers Similarly, if the records requested will cost $2.00 for each candidate ID num- require the production of microfilm or ber requested. of computer tapes, the Commission G Index—Selected List of Receipts and Ex- will not instruct its contractor to du- penditures—No charge for requests of 20 or fewer committee ID numbers. Requests for plicate the records until the requester more than 20 ID numbers will cost $2.00 for has submitted payment as directed or each ID number requested. has made acceptable arrangements to Other computer index requests for more than pay the total amount due. If any fee is 20 ID numbers will cost $.0006 per CRU not precisely ascertainable, an esti- (Computer Resource Unit) utilized. mate will be made by the Commission Name Search—A computer search of an en- and the requester will be required to tire individual contributor file for con- forward the fee so estimated. In the tributions made by a particular individual event any advance payment differs or individuals will cost $.0006 per CRU (Computer Resource Unit) utilized. from the actual fee, an appropriate adjustment will be made at the time the RESEARCH TIME/PHOTOCOPYING TIME copies are made available by the Com- mission. Clerical: First 1⁄2 hour is free; remaining time costs $4.50 per each half hour (agency aver- (d) The Commission may reduce or age of staff below a GS–11) for each re- waive payments of fees hereunder if it quest. determines that such waiver or reduc- Professional: First 1⁄2 hour is free; remaining tion is in the public interest because time costs $12.40 per each half hour (agency the furnishing of the requested infor- average of staff at GS–11 and above) for mation to the particular requester in- each request. volved can be considered as primarily benefiting the general public as op- OTHER CHARGES posed to primarily benefiting the per- Certification of a Document: $7.35 per quar- son or organization requesting the inter hour. formation. Transcripts of Commission meetings not previously transcribed: $7.50 per half hour [49 FR 30460, July 31, 1984, as amended at 52 (equivalent of a GS–11 executive sec- FR 39214, Oct. 21, 1987] retary). (2) Upon receipt of any request for PART 6—ENFORCEMENT OF NON- the production of computer tape or DISCRIMINATION ON THE BASIS microfilm, the Commission will advise OF HANDICAP IN PROGRAMS the requester of the identity of the pri- OR ACTIVITIES CONDUCTED BY vate contractor who will perform the THE FEDERAL ELECTION COMMIS- duplication services. The fee for the SION production of computer tape or microfilm shall be made payable to that pri- Sec. vate contractor and shall be fowarded 6.101 Purpose. to the Commission. 6.102 Application.

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6.103 Definitions. persons (TDD’s), interpreters, 6.104–6.109 [Reserved] notetakers, written materials, and 6.110 Evaluation. other similar services and devices. Al- 6.111 Notice. 6.112–6.129 [Reserved] though auxiliary aids are explicitly re- 6.130 General prohibitions against discrimi- quired only by 11 CFR 6.160(a)(1), they nation. may also be used to meet other re- 6.131–6.139 [Reserved] quirements of this part. 6.140 Employment. (b) Commission means the Federal 6.141–6.148 [Reserved] Election Commission, 999 E Street, 6.149 Program accessibility: Discrimination NW., Washington, DC 20463. prohibited. 6.150 Program accessibility: Existing facili- (c) Complete complaint means a writ- ties. ten statement that contains the com- 6.151 Program accessibility: New construc- plainant’s name and address and de- tion and alterations. scribes the Commission’s actions in 6.152–6.159 [Reserved] sufficient detail to inform the Commis- 6.160 Communications. sion of the nature and date of the al- 6.161–6.169 [Reserved] leged violation of section 504. It shall 6.170 Compliance procedures. 6.171–6.999 [Reserved] be signed by the complainant or by someone authorized to do so on his or AUTHORITY: 29 U.S.C. 794. her behalf. Complaints filed on behalf SOURCE: 49 FR 33211, Aug. 22, 1984, unless of classes or third parties shall describe otherwise noted. or identify (by name, if possible) the alleged victims of discrimination. § 6.101 Purpose. (d) Facility means all or any portion The purpose of this part is to effec- of buildings, structures, equipment, tuate section 119 of the Rehabilitation, roads, walks, parking lots, rolling Comprehensive Services, and Develop- stock or other conveyances, or other mental Disabilities Amendments of real or personal property whether 1978, which amended section 504 of the owned, leased or used on some other Rehabilitation Act of 1973 to prohibit basis by the Commission. discrimination on the basis of handicap (e) Handicapped person means any in programs or activities conducted by person who has a physical or mental Executive agencies or the United impairment that substantially limits States Postal Service. one or more major life activities, has a record of such an impairment, or is re- § 6.102 Application. garded as having such an impairment. This part applies to all programs or As used in this definition, the phrase: activities conducted by the Commis- (1) Physical or mental impairment in- sion. cludes— (i) Any physiological disorder or con- § 6.103 Definitions. dition, cosmetic disfigurement, or ana- For purposes of this part, the term— tomical loss affecting one or more of (a) Auxiliary aids means services, in- the following body systems: Neuro- cluding attendant services, or devices logical; musculoskeletal; special sense that enable handicapped persons, in- organs; respiratory, including speech cluding those with impaired sensory, organs; cardiovascular; reproductive; manual, or speaking skills to have an digestive; genitourinary; hemic and equal opportunity to participate in, lymphatic; skin; and endocrine; or and enjoy the benefits of, programs or (ii) Any mental or psychological dis- activities conducted by the Commis- order, such as mental retardation, or- sion. For example, auxiliary aids useful ganic brain syndrome, emotional or for persons with impaired vision in- mental illness, and specific learning clude readers, Brailled materials, audio disabilities. The term physical or mental recordings, and other similar services impairment includes, but is not limited and devices. Auxiliary aids useful for to, such diseases and conditions as or- persons with impaired hearing include thopedic, visual, speech, and hearing telephone handset amplifiers, tele- impairments, cerebral palsy, epilepsy, phones compatible with hearing aids, muscular dystrophy, multiple sclerosis, telecommunication devices for deaf cancer, heart disease, diabetes, mental

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retardation, emotional illness, drug ad- assisted programs or activities that it diction, and alcoholism. administers. (2) Major life activities includes functions such as caring for one’s self, per- [49 FR 33211, Aug. 22, 1984, as amended at 50 forming manual tasks, walking, seeing, FR 50778, Dec. 12, 1985] hearing, speaking, breathing, learning, §§ 6.104–6.109 [Reserved] and working. (3) Has a record of such an impairment § 6.110 Evaluation. means has a history of, or has been misclassified as having, a mental or (a) Within one year of the effective physical impairment that substantially date of this part, the Commission will limits one or more major life activi- conduct, with the assistance of inter- ties. ested persons, including handicapped (4) Is regarded as having an impairment persons and organizations representing means— handicapped persons, and evaluation of (i) Has a physical or mental impair- its compliance with section 504. This ment that does not substantially limit evaluation will include a determina- major life activities but is treated by tion of whether the Commission’s poli- the Commission as constituting such a cies and practices, and the effects limitation; thereof, meet the requirements of this (ii) Has a physical or mental impair- part and whether modification of any ment that substantially limits major such policies or practices is required to life activities only as a result of the at- comply with section 504. If modifica- titudes of others toward such impair- tion of any policy or practice is found ment; or to be required as a result of this eval- (iii) Has none of the impairments defined in 11 CFR 6.103(e)(1) but is treated uation, the Commission will proceed to by the agency as having such an im- make the necessary modifications. pairment. (b) For at least three years following (f) Qualified handicapped person completion of the evaluation required means— under paragraph (a), the Commission (1) With respect to any Commission will maintain on file and make avail- program or activity under which a per- able for public inspection: son is required to perform services or (1) A list of the interested persons to achieve a level of accomplishment, a consulted; handicapped person who, with reason- (2) A description of areas examined able accommodation, meets the essen- and any problems identified; and tial eligibility requirements and who (3) A description of any modifications can achieve the purpose of the program made. or activity; and (2) With respect to any other pro- § 6.111 Notice. gram or activity, a handicapped person who meets the essential eligibility re- The Commission will make available quirements for participation in, or re- to employees, applicants, participants, ceipt of benefits from, that program or beneficiaries, and other interested per- activity. sons information regarding the provi- (g) Section 504 means section 504 of sions of this part and its applicability the Rehabilitation Act of 1973 (Pub. L. to the programs or activities conducted 93–112, 87 Stat. 394 (29 U.S.C. 794)), as by the Commission. The Commission amended by the Rehabilitation Act will make such information available Amendments of 1974 (Pub. L. 93–516, 88 to them in a manner it finds necessary Stat. 1617), and the Rehabilitation, to effectively apprise such persons of Comprehensive Services, and Develop- the protections against discrimination mental Disabilities Act of 1978 (Pub. L. assured them by section 504 and the 95–602, 92 Stat. 2955). As used in this provisions of this part. part, section 504 applies only to programs or activities conducted by the Commission and not to any federally

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§§ 6.112–6.129 [Reserved] opportunity enjoyed by others receiving the aid, benefit, or service. § 6.130 General prohibitions against (2) The Commission may not deny a discrimination. qualified handicapped person the op- (a) No qualified handicapped person portunity to participate in programs or shall, on the basis of handicap, be ex- activities that are not separate or dif- cluded from participation in, be denied ferent, despite the existence of permis- the benefits of, or otherwise be sub- sibly separate or different programs or jected to discrimination under any pro- activities. gram or activity conducted by the (3) The Commission may not, directly Commission. or through contractual or other ar- (b)(1) The Commission, in providing rangements, utilize criteria or methods any aid, benefit, or service, may not, of administration the purpose or effect directly or through contractual, licens- of which would— ing, or other arrangements, on the (i) Subject qualified handicapped per- basis of handicap— sons to discrimination on the basis of handicap; (i) Deny a qualified handicapped per- (ii) Defeat or substantially impair ac- son the opportunity to participate in complishment of the objectives of a or benefit from the aid, benefit, or program or activity with respect to service; handicapped persons; or (ii) Afford a qualified handicapped (iii) Perpetuate the discrimination of person an opportunity to participate in another agency. or benefit from the aid, benefit, or (4) The Commission may not, in de- service that is not equal to that af- termining the site or location of a fa- forded others; cility, make selections the purpose or (iii) Provide a qualified handicapped effect of which would— person with an aid, benefit, or service (i) Exclude handicapped persons that is not as effective in affording from, deny them the benefits of, or oth- equal opportunity to obtain the same erwise subject them to discrimination result, to gain the same benefit, or to under any program or activity con- reach the same level of achievement as ducted by the Commission; or that provided to others; (ii) Defeat or substantially impair (iv) Provide different or separate the accomplishment of the objectives aids, benefits, or services to handi- of a program or activity with respect capped persons or to any class of handi- to handicapped persons. capped persons than is provided to oth- (5) The Commission, in the selection ers unless such action is necessary to of procurement contractors, may not provide qualified handicapped persons use criteria that subject qualified with aids, benefits, or services that are handicapped persons to discrimination as effective as those provided to others; on the basis of handicap. (v) Aid or perpetuate discrimination (6) The Commission may not admin- against a qualified handicapped person ister a certification program in a man- by providing significant assistance to ner that subjects qualified handicapped an agency, organization, or person that persons to discrimination on the basis discriminates on the basis of handicap of handicap, nor may the Commission in providing any aid, benefit, or service establish requirements for the pro- to beneficiaries of the recipient’s programs or activities of certified entities gram, except that this paragraph does that subject qualified handicapped per- not apply to candidates or conventions sons to discrimination on the basis of receiving public financing under title handicap. However, the programs or ac- 26, United States Code; tivities of entities that are certified by (vi) Deny a qualified handicapped the Commission are not, themselves, person the opportunity to participate covered by this part. as a member of planning or advisory (c) The exclusion of nonhandicapped boards; or persons from the benefits of a program (vii) Otherwise limit a qualified limited by Federal statute or Execu- handicapped person in the enjoyment tive order to handicapped persons or of any right, privilege, advantage, or the exclusion of a specific class of

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handicapped persons from a program sion that compliance would result in limited by Federal statute or Execu- such alteration or burdens must be tive Order to a different class of handi- made by the Commission after consid- capped persons is not prohibited by ering all agency resources available for this part. use in the funding and operation of the (d) The Commission will administer conducted program or activity, and programs and activities in the most in- must be accompanied by a written tegrated setting appropriate to the statement of the reasons for reaching needs of qualified handicapped persons. that conclusion. If an action would result in such an alteration or such bur- §§ 6.131–6.139 [Reserved] dens, the Commission will take any other action that would not result in § 6.140 Employment. such an alteration or such a burden but No qualified handicapped person would nevertheless ensure that handi- shall, on the basis of handicap, be sub- capped persons receive the benefits and jected to discrimination in employ- services of the program or activity. ment under any program or activity (b) Methods. The Commission may conducted by the Commission. The comply with the requirements of this definitions, requirements, and proce- section through such means as redesign dures of section 501 of the Rehabilita- of equipment, reassignment of services tion Act of 1973 (29 U.S.C. 791), as estab- to accessible buildings, assignment of lished in 29 CFR part 1613, shall apply aides to beneficiaries, home visits, de- to employment in federally conducted livery of services at alternate acces- programs or activities. sible sites, alteration of existing facili- §§ 6.141–6.148 [Reserved] ties and construction of new facilities, use of accessible rolling stock, or any § 6.149 Program accessibility: Dis- other methods that result in making crimination prohibited. its programs or activities readily ac- Except as otherwise provided in 11 cessible to and usable by handicapped CFR 6.150 and 11 CFR 6.151, no qualified persons. The Commission is not re- handicapped person shall be denied the quired to make structural changes in benefits of, be excluded from participa- existing facilities where other methods tion in, or otherwise be subjected to are effective in achieving compliance discrimination under any program or with this section. The Commission, in activity conducted by the Commission making alterations to existing build- because its facilities are inaccessible to ings, will meet accessibility require- or unusable by handicapped persons. ments to the extent compelled by the Architectural Barriers Act of 1968, as § 6.150 Program accessibility; Existing amended (42 U.S.C. 4151–4157) and any facilities. regulations implementing it. In choos- (a) General. The Commission will op- ing among available methods for meet- erate each program or activity so that ing the requirements of this section, the program or activity, when viewed the Commission will give priority to in its entirety, is readily accessible to those methods that offer programs and and usable by handicapped persons. activities to qualified handicapped per- This paragraph does not— sons in the most integrated setting ap- (1) Necessarily require the Commis- propriate. sion to make each of its existing facili- (c) Time period for compliance. The ties accessible to and usable by handi- Commission will comply with the obli- capped persons; gations established under this section (2) Require the Commission to take within sixty days of the effective date any action that it can demonstrate of this part except that where struc- would result in a fundamental alter- tural changes in facilities are under- ation in the nature of a program or ac- taken, such changes will be made with- tivity or in undue financial and admin- in three years of the effective date of istrative burdens. The Commission has this part, but in any event as expedi- the burden of proving that compliance tiously as possible. with 11 CFR 6.150(a) would result in (d) Transition plan. In the event that such alterations or burdens. The deci- structural changes to facilities will be

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undertaken to achieve program acces- and enjoy the benefits of, a program or sibility, the Commission will develop, activity conducted by the Commission. within six months of the effective date (i) In determination what type of of this part, a transition plan setting auxiliary aid is necessary, the Commis- forth the steps necessary to complete sion will give primary consideration to such changes. The plan will be devel- the requests of the handicapped person. oped with the assistance of interested (ii) The Commission need not provide persons, including handicapped persons individually prescribed devices, readers and organizations representing handi- for personal use or study, or other de- capped persons. A copy of the transi- vices of a personal nature. tion plan will be made available for (2) Where the Commission commu- public inspection. The plan will, at a nicates with applicants and bene- minimum— ficiaries by telephone, telecommuni- (1) Identify physical obstacles in the cations devices for deaf persons Commission’s facilities that limit the (TDD’s), or equally effective tele- accessibility of its programs or activi- communication systems will be used. ties to handicapped persons; (b) The Commission will ensure that (2) Describe in detail the methods interested persons, including persons that will be used to make the facilities with impaired vision or hearing, can accessible; obtain information as to the existence (3) Specify the schedule for taking and location of accessible services, ac- the steps necessary to achieve compli- tivities, and facilities. ance with this section and, if the time (c) The Commission will provide sign- period of the transition plan is longer age at a primary entrance to each of than one year, identify steps that will its inaccessible facilities, directing be taken during each year of the tran- users to a location at which they can sition period; obtain information about accessible fa- (4) Indicate the official responsible cilities. The international symbol for for implementation of the plan; and accessibility shall be used at each pri- (5) Identify the persons or groups mary entrance of an accessible facility. with whose assistance the plan was (d) The Commission will take appro- prepared. priate steps to provide handicapped persons with information regarding § 6.151 Program accessibility: New their section 504 rights under the Com- construction and alterations. mission’s programs of activities. Each building or part of a building (e) This section does not require the that is constucted or altered by, on be- Commission to take any action that it half of, or for the use of the Commis- can demonstrate would result in a fun- sion shall be designed, constructed, or damental alteration in the nature of a altered so as to be readily accessible to program or activity or in undue finan- and usable by handicapped persons. cial and administrative burdens. The The definitions, requirements, and Commission has the burden of proving standards of the Architectural Barriers that compliance with this section Act, 42 U.S.C. 4151–4157, as established would result in such alterations or bur- in 41 CFR 101–19.600 to 101–19.607, apply dens. The decision that compliance to buildings covered by this section. would result in such alteration or burdens must be made by the Commission §§ 6.152–6.159 [Reserved] after considering all agency resources available for use in the funding and op- § 6.160 Communications. eration of the conducted program or (a) The Commission will take appro- activity, and must be accompanied by priate steps to ensure effective commu- a written statement of the reasons for nication with applicants, participants, reaching that conclusion. If an action personnel of other Federal entities, and required to comply with this section members of the public. would result in such an alteration or (1) The Commission will furnish ap- such burdens, the Commission will propriate auxiliary aids where nec- take any other action that would not essary to afford a handicapped person result in such an alteration or such a an equal opportunity to participate in, burden but would nevertheless ensure

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that, to the maximum extent possible, (f)(1) The Commission will accept and handicapped persons receive the bene- investigate a complete complaint that fits and services of the program or ac- is filed in accordance with paragraph tivity. (d) of this section and over which it has jurisdiction. The Rehabilitation Act §§ 6.161–6.169 [Reserved] Officer will notify the complainant and the respondent of receipt and accept- § 6.170 Compliance procedures. ance of the complaint. (a) Except as provided in paragraph (2) If the Rehabilitation Act Officer (b) of this section, this section applies receives a complaint that is not com- to all allegations of discrimination on plete (See 11 CFR 6.101(c)), he or she the basis of handicap in programs or will notify the complainant within 30 activities conducted by the Commis- days of receipt of the incomplete com- sion. plaint, that additional information is (b) The Commission will process com- needed. If the complainant fails to plaints alleging violations of section complete the complaint within 30 days 504 with respect to employment accord- of receipt of this notice, the Rehabili- ing to the procedures established in 29 tation Act Officer will dismiss the CFR part 1613 pursuant to section 501 complaint without prejudice. of the Rehabilitation Act of 1973 (29 (3) If the Rehabilitation Act Officer U.S.C. 791). receives a complaint over which the (c) Responsibility for implementa- Commission does not have jurisdiction, tion and operation of this section shall the Commission will promptly notify be vested in the Rehabilitation Act Of- the complainant and will make reason- ficer. able efforts to refer the complaint to (d)(1)(i) Any person who believes that the appropriate governmental entity. he or she or any specific class of per- (g) Within 180 days of receipt of a sons of which he or she is a member complete complaint for which it has ju- has been subjected to discrimination risdiction, the Commission will notify prohibited by this part may file a com- the complainant of the results of the plaint with the Rehabilitation Act Offi- investigation in a letter containing— cer. (1) Findings of fact and conclusions (ii) Any person who believes that a of law; denial of his or her services will result (2) A description or a remedy for each or has resulted in discrimination pro- violation found; and hibited by this part may file a complaint with the Rehabilitatin Act Offi- (3) A notice of the right to appeal. cer. (h) Appeals of the findings of fact and (2) All complete complaints must be conclusions of law or remedies must be filed within 180 days of the alleged act filed by the complainant within 90 days of discrimination. The Commission of receipt from the Commission of the may extend this time period for good letter required by § 6.170(g). The Com- cause. mission may extend this time for good (3) Complaints filed under this part cause. shall be addressed to the Rehabilita- (i) Timely appeals to the Commission tion Act Officer, 999 E Street, NW., shall be addressed to the Rehabilita- Washington, DC 20463. tion Act Officer, Federal Election Com- (e) The Commission will notify the mission, 999 E Street, NW., Wash- Architectural and Transportation Bar- ington, DC 20463. riers Compliance Board upon receipt of (j) The Commission will notify the any complaint alleging that a building complainant of the results of the ap- or facility that is subject to the Archi- peal within 60 days of the receipt of the tectural Barriers Act of 1968, as amend- request. If the Commission determines ed (42 U.S.C. 4151–4157), or section 502 of that it needs additional information the Rehabilitation Act of 1973, as from the complainant, it shall have 60 amended (29 U.S.C. 792), are not readily days from the date it receives the addi- accessible and usable to handicapped tional information to make its deter- persons. mination on the appeal.

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(k) The Commission may extend the (b) Commissioner means a member of time limits in paragraphs (g) and (j) of the Federal Election Commission, in this section for good cause. accordance with 52 U.S.C. 30106. (l) The Commission may delegate its (c) Designated Agency Ethics Official authority for conducting complaint in- means the employee designated by the vestigations to other Federal agencies, Commission to administer the provi- except that the authority for making sions of the Ethics in Government Act the final determination may not be of 1978 (5 U.S.C. appendix), as amended, delegated. and includes a designee of the Des- ignated Agency Ethics Official. The [49 FR 33211, Aug. 22, 1984, as amended at 50 General Counsel serves as the Commis- FR 50778, Dec. 12, 1985] sion’s Designated Agency Ethics Offi- §§ 6.171–6.999 [Reserved] cial. (d) Employee means an employee of the Federal Election Commission and PART 7—STANDARDS OF CONDUCT includes a special Government employee as defined in 18 U.S.C. 202(a). Sec. (e) Ex parte communication means any 7.1 Scope. written or oral communication by any 7.2 Definitions. 7.3 Interpretation and guidance. person outside the agency to any Com- 7.4 Reporting suspected violations. missioner or any member of any Com- 7.5 Corrective action. missioner’s staff, but not to any other 7.6 Outside employment and activities by Commission employee, that imparts in- Commissioners. formation or argument regarding pro- 7.7 Prohibition against making complaints spective Commission action or poten- and investigations public. tial action concerning any pending en- 7.8 Ex parte communications in enforce- forcement matter. ment actions. (f) Inspector General means the indi- AUTHORITY: 52 U.S.C. 30106, 30107, and 30111; vidual appointed by the Commission to 5 U.S.C. 7321 et seq. and app. 3. administer the provisions of the In- SOURCE: 76 FR 70330, Nov. 14, 2011, unless spector General Act of 1978, as amended otherwise noted. (5 U.S.C. appendix), and includes any designee of the Inspector General. § 7.1 Scope. [76 FR 70330, Nov. 14, 2011, as amended at 79 (a) The regulations in this part apply FR 77844, Dec. 29, 2014] to members and employees of the Fed- eral Election Commission (‘‘Commis- § 7.3 Interpretation and guidance. sion’’). (a) A Commissioner or employee (b) In addition, members and employ- seeking advice and guidance on mat- ees of the Commission are subject to ters covered by this part or 5 CFR parts the following regulations: 735, 2634, 2635, 2640, or 4701 may consult (1) 5 CFR part 735 (Employee Respon- with the Designated Agency Ethics Of- sibilities and Conduct); ficial. The Designated Agency Ethics (2) 5 CFR part 2634 (Executive Branch Official should be consulted before un- Financial Disclosure, Qualified Trusts, dertaking any action that might vio- and Certificates of Divestiture); late this part or 5 CFR parts 735, 2634, (3) 5 CFR part 2635 (Standards of Eth- 2635, 2640, or 4701 governing the conduct ical Conduct for Employees of the Ex- of Commissioners or employees. ecutive Branch); and (b) The Designated Agency Ethics Of- (4) 5 CFR part 4701 (Supplemental ficial, a Commissioner, or an employee Standards of Ethical Conduct for Em- may request an opinion from the Direc- ployees of the Federal Election Com- tor of the Office of Government Ethics mission). regarding an interpretation of 5 CFR parts 2634, 2635, or 2640. § 7.2 Definitions. As used in this part: § 7.4 Reporting suspected violations. (a) Commission means the Federal Commissioners and employees shall Election Commission, 999 E Street disclose immediately any suspected NW., Washington, DC 20463. violation of a statute or of a rule set

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forth in this part or of a rule set forth pending before the Commission pursu- in 5 CFR parts 735, 2634, 2635, 2640, or ant to 52 U.S.C. 30109: 4701 to the Designated Agency Ethics (a) Except to the extent required for Official, the Office of Inspector Gen- the disposition of enforcement matters eral, or other appropriate law enforce- as required by law (as, for example, ment authorities. during the normal course of an investigation or a conciliation effort), no § 7.5 Corrective action. Commissioner or member of any Com- A violation of this part or 5 CFR missioner’s staff shall make or enter- parts 735, 2634, 2635, 2640, or 4701 by an tain any ex parte communications. employee may be cause for appropriate (b) The prohibition of this section corrective, disciplinary, or adverse ac- shall apply from the time a complaint tion in addition to any penalty pre- is filed with the Commission pursuant scribed by law. to 52 U.S.C. 30109(a)(1) or from the time that the Commission determines on the § 7.6 Outside employment and activi- basis of information ascertained in the ties by Commissioners. normal course of its supervisory re- No member of the Commission may sponsibilities that it has reason to be- devote a substantial portion of his or lieve that a violation has occurred or her time to any other business, voca- may occur pursuant to 52 U.S.C. tion, or employment. Any individual 30109(a)(2), and such prohibition shall who is engaging substantially in any remain in force until the Commission other business, vocation, or employ- has concluded all action with respect ment at the time such individual be- to the enforcement matter in question. gins to serve as a member of the Com- (c) Any written communication pro- mission will appropriately limit such hibited by paragraph (a) of this section activity no later than 90 days after be- shall be delivered to the General Coun- ginning to serve as such a member. sel, who shall place the communication in the case file. § 7.7 Prohibition against making com- (d) A Commissioner or member of plaints and investigations public. any Commissioner’s staff involved in (a) Commission employees are sub- handling enforcement actions who re- ject to criminal penalties if they dis- ceives an offer to make an oral commu- cuss or otherwise make public any nication or any communication con- matters pertaining to a complaint or cerning any enforcement action pend- investigation under 52 U.S.C. 30109, ing before the Commission as described without the written permission of the in paragraph (a) of this section, shall person complained against or being in- decline to listen to such communica- vestigated. Such communications are tion. If unsuccessful in preventing the prohibited by 52 U.S.C. 30109(a)(12)(A). communication, the Commissioner or (b) Section 30109(a)(12)(B) of Title 52 employee shall advise the person mak- of the United States Code provides as ing the communication that he or she follows: ‘‘Any member or employee of will not consider the communication the Commission, or any other person, and shall prepare a statement setting who violates the provisions of [52 forth the substance and circumstances U.S.C. 30109(a)(12)(A)] shall be fined not of the communication. Within 48 hours more than $2,000. Any such member, of receipt of the communication, the employee, or other person who know- Commissioner or any member of any ingly and willfully violates the provi- Commissioner’s staff shall prepare a sions of [52 U.S.C. 30109(a)(12)(A)] shall statement setting forth the substance be fined not more than $5,000.’’ and circumstances of the communication and shall deliver the statement to [79 FR 77844, Dec. 29, 2014] the General Counsel for placing in the file in the manner set forth in para- § 7.8 Ex parte communications in en- graph (c) of this section. forcement actions. (e) Additional rules governing ex In order to avoid the possibility of parte communications made in connec- prejudice, real or apparent, to the pub- tion with Commission enforcement ac- lic interest in enforcement actions tions are found at 11 CFR 111.22. Rules

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governing ex parte communications compliance matters, administrative made in connection with public fund- fines, alternative dispute resolution, ing, Commission audits, litigation, repayments, and court judgments aris- rulemakings, and advisory opinions are ing under the statutes specified in 11 found at 11 CFR part 201. CFR 111.51(a). [76 FR 70330, Nov. 14, 2011 , as amended at 79 (2) Debts involving criminal actions FR 77844, Dec. 29, 2014] of fraud, the presentation of a false claim, or misrepresentation on the part PART 8—COLLECTION OF of the debtor or any other person hav- ADMINISTRATIVE DEBTS ing an interest in the claim. (3) Debts based in whole or in part on Sec. conduct in violation of the antitrust 8.1 Purpose and scope. laws. 8.2 Debts that are covered. (4) Debts under the Internal Revenue 8.3 Administrative collection of claims. 8.4 Bankruptcy claims. Code of 1986. 8.5 Interest, penalties, and administrative (5) Debts between the Commission costs. and another Federal agency. The Com- AUTHORITY: 31 U.S.C. 3701, 3711, and 3716– mission will attempt to resolve inter- 3720A, as amended; 52 U.S.C. 30101 et seq.; 31 agency claims by negotiation in ac- CFR parts 285 and 900–904. cordance with Executive Order 12146, 3 SOURCE: 75 FR 19875, Apr. 16, 2010, unless CFR pp. 409–12 (1980 Comp.). otherwise noted. (6) Debts that have become subject to salary offset under 5 U.S.C. 5514. § 8.1 Purpose and scope. This part prescribes standards and § 8.3 Administrative collection of procedures under which the Commis- claims. sion will collect and dispose of certain (a) The Commission shall act to col- debts owed to the United States, as de- lect all claims or debts. These collec- scribed in 11 CFR 8.2. The regulations tion activities will be undertaken in this part implement the Debt Collec- promptly and follow up action will be tion Improvement Act of 1996, 31 U.S.C. 3701, 3711, and 3716–3720A, as amended; taken as appropriate in accordance and the Federal Claims Collection with 31 CFR 901.1. Standards, 31 CFR parts 900–904. The (b) The Commission may take any activities covered include: the collec- and all appropriate collection actions tion of claims of any amount; compro- authorized and required by the Debt mising claims; suspending or termi- Collection Act of 1982, as amended by nating the collection of claims; refer- the Debt Collection Improvement Act ring debts to the U.S. Department of of 1996, 31 U.S.C. 3701 et seq. The U.S. the Treasury for collection action; and Department of the Treasury regula- referring debts under this part 8 of tions at 31 CFR 285.2, 285.4, 285.7 and more than $100,000 (exclusive of any in- 285.11, and the Federal Claims Collec- terest and charges) to the Department tion Standards issued jointly by the of Justice for litigation. Department of Justice and the U.S. De- partment of the Treasury at 31 CFR § 8.2 Debts that are covered. parts 900–904 also apply. The Commis- (a) The procedures covered by this sion has adopted these regulations by part apply to debts that are either cross-reference. owed by current and former Commis- (c) The Commission will refer to the sion employees, or arise from the pro- Dept. of Treasury all debt that has vision of goods or services by contrac- been delinquent for more than 180 days, tors or vendors doing business with the and may refer to the Dept. of Treasury Commission. (b) The procedures covered by this any debt that has been delinquent for part do not apply to any of the fol- 180 days or less. On behalf of the Com- lowing debts: mission, the U.S. Department of the (1) Debts that are covered by 11 CFR Treasury will attempt to collect the 111.51, regarding debts arising from debt, in accordance with the statutory

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and regulatory requirements and au- ance with the provision of 31 CFR thorities applicable to the debt and ac- 901.2(h). tion. This may include referral to another debt collection center, a private § 8.5 Interest, penalties, and adminis- collection contractor, or the Depart- trative costs. ment of Justice for litigation. See 31 (a) The Commission shall assess in- CFR 285.12 (Transfer of debts to Treas- terest, penalties, and administrative ury for collection). This requirement costs on debts owed to the United does not apply to any debt that: States Government in accordance with (1) Is in litigation or foreclosure; 31 U.S.C. 3717 and 31 CFR 901.9. (2) Will be disposed of under an ap- (b) The Commission shall waive col- proved asset sale program; lection of interest and administrative (3) Has been referred to a private col- costs on a debt or any portion of the lection contractor for a period of time debt that is paid in full within thirty acceptable to the U.S. Department of days after the date on which the inter- the Treasury; or est begins to accrue. (4) Will be collected under internal (c) The Commission may waive col- offset procedures within three years lection of interest, penalties, and ad- after the debt first became delinquent. ministrative costs if it: (d) The U.S. Department of the (1) Determines that collection is Treasury is authorized to charge a fee against equity and good conscience or for services rendered regarding referred not in the best interest of the United or transferred debts. The Commission States, including when an administra- will add the fee to the debt as an ad- tive offset or installment agreement is ministrative cost, in accordance with in effect; or 11 CFR 8.5. (2) Determines that waiver is appropriate under the criteria for com- § 8.4 Bankruptcy claims. promise of debts set forth at 31 CFR When the Commission learns that a 902.2(a). bankruptcy petition has been filed by a (d) The Commission is authorized to debtor, before proceeding with further impose interest and related charges on collection action, the Commission will debts not subject to 31 U.S.C. 3717, in take any necessary action in accord- accordance with common law.

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PART 100—SCOPE AND Subpart C—Exceptions to Contributions DEFINITIONS (52 U.S.C. 30101) 100.71 Scope. 100.72 Testing the waters. Subpart A—General Definitions 100.73 News story, commentary, or editorial by the media. Sec. 100.74 Uncompensated services by volun- 100.1 Scope. teers. 100.2 Election (52 U.S.C. 30101(1)). 100.75 Use of a volunteer’s real or personal 100.3 Candidate (52 U.S.C. 30101(2)). property. 100.4 Federal office (52 U.S.C. 30101(3)). 100.76 Use of church or community room. 100.5 Political committee (52 U.S.C. 30101(4), 100.77 Invitations, food, and beverages. (5), and (6)). 100.78 Sale of food or beverages by vendor. 100.6 Connected organization (52 U.S.C. 100.79 Unreimbursed payment for transpor- 30101(7)). tation and subsistence expenses. 100.7–100.8 [Reserved] 100.80 Slate cards and sample ballots. 100.9 Commission (52 U.S.C. 30101(10)). 100.81 Payment by corporations and labor 100.10 Person (52 U.S.C. 30101(11)). organizations. 100.11 State (52 U.S.C. 30101(12)). 100.82 Bank loans. 100.12 Identification (52 U.S.C. 30101(13)). 100.83 Brokerage loans and lines of credit to 100.13 National committee (52 U.S.C. candidates. 30101(14)). 100.84 Office building for State, local, or dis- 100.14 State Committee, subordinate com- trict party committees or organizations. mittee, district, or local committee (52 100.85 Legal or accounting services to polit- U.S.C. 30101(15)). ical party committees. 100.15 Political party (52 U.S.C. 30101(16)). 100.86 Legal or accounting services to other 100.16 Independent expenditure (52 U.S.C. political committees. 30101(17)). 100.87 Volunteer activity for party commit- 100.17 Clearly identified (52 U.S.C. 30101(18)). tees. 100.18 Act (52 U.S.C. 30101(19)). 100.88 Volunteer activity for candidates. 100.19 File, filed, or filing (52 U.S.C. 100.89 Voter registration and get-out-the- 30104(a)). vote activities for Presidential can- 100.20 Occupation (52 U.S.C. 30101(13)). didates. 100.21 Employer (52 U.S.C. 30101(13)). 100.90 Ballot access fees. 100.22 Expressly advocating (52 U.S.C. 100.91 Recounts. 30101(17)). 100.92 Candidate debates. 100.23 [Reserved] 100.93 Travel by aircraft or other means of 100.24 Federal election activity (52 U.S.C. transportation. 30101(20)). 100.94 Uncompensated Internet activity by 100.25 Generic campaign activity (52 U.S.C. individuals that is not a contribution. 30101(21)). 100.26 Public communication (52 U.S.C. Subpart D—Definition of Expenditure (52 30101(22)). U.S.C. 30101(9)) 100.27 Mass mailing (52 U.S.C. 30101(23)). 100.28 Telephone bank (52 U.S.C. 30101(24)). 100.110 Scope. 100.29 Electioneering communication (52 100.111 Gift, subscription, loan, advance or U.S.C. 30104(f)(3)). deposit of money. 100.30–100.32 [Reserved] 100.112 Contracts, promises, and agreements 100.33 Personal funds. to make expenditures. 100.34–100.50 [Reserved] 100.113 Independent expenditures. 100.114 Office building or facility for na- Subpart B—Definition of Contribution (52 tional party committees. U.S.C. 30101(8)) Subpart E—Exceptions to Expenditures 100.51 Scope. 100.52 Gift, subscription, loan, advance or 100.130 Scope. deposit of money. 100.131 Testing the waters. 100.53 Attendance at a fundraiser or polit- 100.132 News story, commentary, or edi- ical event. torial by the media. 100.54 Compensation for personal services. 100.133 Voter registration and get-out-the- 100.55 Extension of credit. vote activities. 100.56 Office building or facility for national 100.134 Internal communication by corpora- party committees. tions, labor organizations, and member- 100.57 [Reserved] ship organizations.

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100.135 Use of a volunteer’s real or personal (1) An election held in even numbered property. years on the Tuesday following the 100.136 Use of church or community room. first Monday in November is a general 100.137 Invitations, food, and beverages. election. 100.138 Sale of food or beverages by vendor. (2) An election which is held to fill a 100.139 Unreimbursed payment for transportation and subsistence expenses. vacancy in a Federal office (i.e., a spe- 100.140 Slate cards and sample ballots. cial election) and which is intended to 100.141 Payment by corporations and labor result in the final selection of a single organizations. individual to the office at stake is a 100.142 Bank loans. general election. See 11 CFR 100.2(f). 100.143 Brokerage loans and lines of credit (c) Primary election. A primary elec- to candidates. tion is an election which meets one of 100.144 Office building for State, local, or the following conditions: district party committees or organiza- (1) An election which is held prior to tions. 100.145 Legal or accounting services to po- a general election, as a direct result of litical party committees. which candidates are nominated, in ac- 100.146 Legal or accounting services to cordance with applicable State law, for other political committees. election to Federal office in a subse- 100.147 Volunteer activity for party com- quent election is a primary election. mittees. (2) An election which is held for the 100.148 Volunteer activity for candidate. expression of a preference for the nomi- 100.149 Voter registration and get-out-the- nation of persons for election to the of- vote activities for Presidential Can- fice of President of the United States is didates. 100.150 Ballot access fees. a primary election. 100.151 Recounts. (3) An election which is held to elect 100.152 Fundraising costs for Presidential delegates to a national nominating candidates. convention is a primary election. 100.153 Routine living expenses. (4) With respect to individuals seek- 100.154 Candidate debates. ing federal office as independent can- 100.155 Uncompensated Internet activity by didates, or without nomination by a individuals that is not an expenditure. major party (as defined in 26 U.S.C. AUTHORITY: 52 U.S.C. 30101, 30104, 9002(6)), the primary election is consid- 30111(a)(8), and 30114(c). ered to occur on one of the following SOURCE: 45 FR 15094, Mar. 7, 1980, unless dates, at the choice of the candidate: otherwise noted. (i) The day prescribed by applicable State law as the last day to qualify for Subpart A—General Definitions a position on the general election ballot may be designated as the primary § 100.1 Scope. election for such candidate. (ii) The date of the last major party This subchapter is issued by the Fed- primary election, caucus, or conven- eral Election Commission to imple- tion in that State may be designated as ment the Federal Election Campaign the primary election for such can- Act of 1971, as amended, 52 U.S.C. 30101 didate. et seq. (iii) In the case of non-major parties, [79 FR 16663, Mar. 26, 2014, as amended at 79 the date of the nomination by that FR 77844, Dec. 29, 2014] party may be designated as the primary election for such candidate. § 100.2 Election (52 U.S.C. 30101(1)). (5) With respect to any major party (a) Election means the process by candidate (as defined at 26 U.S.C. which individuals, whether opposed or 9002(6)) who is unopposed for nomina- unopposed, seek nomination for election within his or her own party, and tion, or election, to Federal office. The who is certified to appear as that par- specific types of elections, as set forth ty’s nominee in the general election for at 11 CFR 100.2 (b), (c), (d), (e) and (f) the office sought, the primary election are included in this definition. is considered to have occurred on the (b) General election. A general elec- date on which the primary election was tion is an election which meets either held by the candidate’s party in that of the following conditions: State.

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(d) Runoff election. Runoff election ceeds $5,000, or the aggregate of ex- means the election which meets either penditures made under 11 CFR 100.3(a) of the following conditions: (1), (2), and (3), in any combination (1) The election held after a primary thereof, exceeds $5,000. election, and prescribed by applicable (b) Election cycle. For purposes of de- State law as the means for deciding termining whether an individual is a which candidate(s) should be certified candidate under this section, contribu- as a nominee for the Federal office tions or expenditures shall be aggre- sought, is a runoff election. gated on an election cycle basis. An (2) The election held after a general election cycle shall begin on the first election and prescribed by applicable day following the date of the previous State law as the means for deciding general election for the office or seat which candidate should be certified as which the candidate seeks, unless con- an officeholder elect, is a runoff elec- tributions or expenditures are des- tion. ignated for another election cycle. For (e) Caucus or Convention. A caucus or an individual who receives contribu- convention of a political party is an tions or makes expenditures designated election if the caucus or convention for another election cycle, the election has the authority to select a nominee cycle shall begin at the time such indi- for federal office on behalf of that vidual, or any other person acting on party. the individual’s behalf, first receives (f) Special election. Special election contributions or makes expenditures in means an election which is held to fill connection with the designated elec- a vacancy in a Federal office. A special tion. The election cycle shall end on election may be a primary, general, or the date on which the general election runoff election, as defined at 11 CFR for the office or seat that the indi- 100.2 (b), (c) and (d). vidual seeks is held.

§ 100.3 Candidate (52 U.S.C. 30101(2)). § 100.4 Federal office (52 U.S.C. (a) Definition. Candidate means an in- 30101(3)). dividual who seeks nomination for Federal office means the office of election, or election, to federal office. President or Vice President of the An individual becomes a candidate for United States, Senator or Representa- Federal office whenever any of the fol- tive in, or Delegate or Resident Com- lowing events occur: missioner to, the Congress of the (1) The individual has received con- United States. tributions aggregating in excess of $5,000 or made expenditures aggre- § 100.5 Political committee (52 U.S.C. gating in excess of $5,000. 30101(4), (5), and (6)). (2) The individual has given his or Political committee means any group her consent to another person to re- meeting one of the following condi- ceive contributions or make expendi- tions: tures on behalf of that individual and (a) Except as provided in 11 CFR 100.5 such person has received contributions (b), (c) and (d), any committee, club, aggregating in excess of $5,000 or made association, or other group of persons expenditures aggregating in excess of which receives contributions aggre- $5,000. gating in excess of $1,000 or which (3) After written notification by the makes expenditures aggregating in ex- Commission that any other person has cess of $1,000 during a calendar year is received contributions aggregating in a political committee. excess of $5,000 or made expenditures (b) Any separate segregated fund es- aggregating in excess of $5,000 on the tablished under 52 U.S.C. 30118(b)(2)(C) individual’s behalf, the individual fails is a political committee. to disavow such activity by letter to (c) Any local committee of a political the Commission within 30 days of re- party is a political committee if: it receipt of the notification. ceives contributions aggregating in ex- (4) The aggregate of contributions re- cess of $5,000 during a calendar year; it ceived under 11 CFR 100.3(a) (1), (2), and makes payments exempted from the (3), in any combination thereof, ex- definition of contribution, under 11

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CFR 100.80, 100.87, and 100.89 and ex- with 11 CFR part 104. (See definition of penditure, under 11 CFR 100.140, 100.147, delegate at 11 CFR 110.14(b)(1).) and 100.149, which payments aggregate (6) Leadership PAC. Leadership PAC in excess of $5,000 during a calendar means a political committee that is di- year; or it makes contributions aggre- rectly or indirectly established, fi- gating in excess of $1,000 or makes ex- nanced, maintained or controlled by a penditures aggregating in excess of candidate for Federal office or an indi- $1,000 during a calendar year. vidual holding Federal office but which (d) An individual’s principal cam- is not an authorized committee of the paign committee or authorized com- candidate or individual and which is mittee(s) becomes a political com- not affiliated with an authorized committee(s) when that individual becomes mittee of the candidate or individual, a candidate pursuant to 11 CFR 100.3. except that leadership PAC does not in- (e) The following are examples of po- clude a political committee of a polit- litical committees: ical party. (1) Principal campaign committee. Prin- (7) Lobbyist/Registrant PAC. See 11 cipal campaign committee means a polit- CFR 104.22(a)(3). ical committee designated and author- (f) A political committee is either an ized by a candidate pursuant to 11 CFR authorized committee or an unauthor- 101.1 and 102.1. ized committee. (1) Authorized committee. An author- (2) Single candidate committee. Single ized committee means the principal cam- candidate committee means a political paign committee or any other political committee other than a principal cam- committee authorized by a candidate paign committee which makes or re- under 11 CFR 102.13 to receive contribu- ceives contributions or makes expendi- tions or make expenditures on behalf of tures on behalf of only one candidate. such candidate, or which has not been (3) Multi-candidate committee. Multi- disavowed pursuant to 11 CFR candidate committee means a political 100.3(a)(3). committee which (i) has been reg- (2) Unauthorized committee. An unau- istered with the Commission or Sec- thorized committee is a political com- retary of the Senate for at least 6 mittee which has not been authorized months; (ii) has received contributions in writing by a candidate to solicit or for Federal elections from more than 50 receive contributions or make expendi- persons; and (iii) (except for any State tures on behalf of such candidate, or political party organization) has made which has been disavowed pursuant to contributions to 5 or more Federal can- 11 CFR 100.3(a)(3). didates. (g) Affiliated committee. (1) All author- (4) Party committee. Party committee ized committees of the same candidate means a political committee which for the same election to Federal office represents a political party and is part are affiliated. of the official party structure at the (2) All committees (including a sepa- national, State, or local level. rate segregated fund, see 11 CFR part (5) Delegate committee. A delegate 114) established, financed, maintained committee is a group of persons that or controlled by the same corporation, receives contributions or makes ex- labor organization, person, or group of penditures for the sole purpose of influ- persons, including any parent, sub- encing the selection of one or more del- sidiary, branch, division, department, egates to a national nominating con- or local unit thereof, are affiliated. vention. The term delegate committee in- Local unit may include, in appropriate cludes a group of delegates, a group of cases, a franchisee, licensee, or State individuals seeking selection as dele- or regional association. gates and a group of individuals sup- (3) Affiliated committees sharing a porting delegates. A delegate com- single contribution limitation under mittee that qualifies as a political paragraph (g)(2) of this section include committee under 11 CFR 100.5 must all of the committees established, fi- register with the Commission pursuant nanced, maintained or controlled by— to 11 CFR part 102 and report its re- (i) A single corporation and/or its ceipts and disbursements in accordance subsidiaries;

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(ii) A single national or international another sponsoring organization or union and/or its local unions or other committee; subordinate organizations; (D) Whether a sponsoring organiza- (iii) An organization of national or tion or committee has a common or international unions and/or all its overlapping membership with another State and local central bodies; sponsoring organization or committee (iv) A membership organization, which indicates a formal or ongoing re- (other than political party committees, lationship between the sponsoring or- see 11 CFR 110.3(b)) including trade or ganizations or committees; professional associations, see 11 CFR (E) Whether a sponsoring organiza- 114.8(a), and/or related State and local tion or committee has common or entities of that organization or group; overlapping officers or employees with or another sponsoring organization or (v) The same person or group of per- committee which indicates a formal or sons. (4)(i) The Commission may examine ongoing relationship between the spon- the relationship between organizations soring organizations or committees; that sponsor committees, between the (F) Whether a sponsoring organiza- committees themselves, or between tion or committee has any members, one sponsoring organization and a com- officers or employees who were mem- mittee established by another organi- bers, officers or employees of another zation to determine whether commit- sponsoring organization or committee tees are affiliated. which indicates a formal or ongoing re- (ii) In determining whether commit- lationship between the sponsoring or- tees not described in paragraphs (g)(3) ganizations or committees, or which (i)–(iv) of this section are affiliated, the indicates the creation of a successor Commission will consider the cir- entity; cumstantial factors described in para- (G) Whether a sponsoring organiza- graphs (g)(4)(ii) (A) through (J) of this tion or committee provides funds or section. The Commission will examine goods in a significant amount or on an these factors in the context of the ongoing basis to another sponsoring or- overall relationship between commit- ganization or committee, such as tees or sponsoring organizations to de- through direct or indirect payments for termine whether the presence of any administrative, fundraising, or other factor or factors is evidence of one costs, but not including the transfer to committee or organization having been a committee of its allocated share of established, financed, maintained or proceeds jointly raised pursuant to 11 controlled by another committee or CFR 102.17; sponsoring organization. Such factors (H) Whether a sponsoring organiza- include, but are not limited to: tion or committee causes or arranges (A) Whether a sponsoring organiza- for funds in a significant amount or on tion owns controlling interest in the an ongoing basis to be provided to an- voting stock or securities of the spon- other sponsoring organization or com- soring organization of another committee; mittee, but not including the transfer (B) Whether a sponsoring organiza- to a committee of its allocated share of tion or committee has the authority or proceeds jointly raised pursuant to 11 ability to direct or participate in the CFR 102.17; governance of another sponsoring orga- (I) Whether a sponsoring organiza- nization or committee through provi- tion or committee or its agent had an sions of constitutions, bylaws, con- active or significant role in the forma- tracts, or other rules, or through for- tion of another sponsoring organiza- mal or informal practices or proce- tion or committee; and dures; (J) Whether the sponsoring organiza- (C) Whether a sponsoring organizations or committees have similar pat- tion or committee has the authority or terns of contributions or contributors ability to hire, appoint, demote or oth- which indicates a formal or ongoing re- erwise control the officers, or other de- lationship between the sponsoring or- cisionmaking employees or members of ganizations or committees.

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(5) Notwithstanding paragraphs (g)(2) ment or any authority of the Federal through (g)(4) of this section, no au- government. thorized committee shall be deemed affiliated with any entity that is not an § 100.11 State (52 U.S.C. 30101(12)). authorized committee. State means each State of the United States, the District of Columbia, the [45 FR 15094, Mar. 7, 1980, as amended at 45 FR 34867, May 23, 1980; 52 FR 35534, Sept. 22, Commonwealth of Puerto Rico, and 1987; 54 FR 34109, Aug. 17, 1989; 54 FR 48580, any territory or possession of the Nov. 24, 1989; 61 FR 3549, Feb. 1, 1996; 67 FR United States. 78679, Dec. 26, 2002; 68 FR 67018, Dec. 1, 2003; 74 FR 7302, Feb. 17, 2009; 79 FR 77844, Dec. 29, § 100.12 Identification (52 U.S.C. 2014] 30101(13)). Identification means, in the case of an § 100.6 Connected organization (52 individual, his or her full name, includ- U.S.C. 30101(7)). ing: First name, middle name or ini- (a) Connected organization means any tial, if available, and last name; mail- organization which is not a political ing address; occupation; and the name committee but which directly or indi- of his or her employer; and, in the case rectly establishes, administers, or fi- of any other person, the person’s full nancially supports a political com- name and address. mittee. A connected organization may be a corporation (including a corpora- § 100.13 National committee (52 U.S.C. tion without capital stock), a labor or- 30101(14)). ganization, a membership organization, National committee means the organi- a cooperative or a trade association. zation which, by virtue of the bylaws of (b) For purposes of 11 CFR 100.6, orga- a political party, is responsible for the nizations which are members of the en- day-to-day operation of the political tity (such as corporate members of a party at the national level, as deter- trade association) which establishes, mined by the Commission. administers, or financially supports a political committee are not organiza- § 100.14 State Committee, subordinate tions which directly or indirectly es- committee, district, or local com- tablish, administer or financially sup- mittee (52 U.S.C. 30101(15)). port that political committee. (a) State committee means the organi- (c) For purposes of 11 CFR 100.6, the zation that by virtue of the bylaws of a term financially supports does not in- political party or the operation of clude contributions to the political State law is part of the official party committee, but does include the pay- structure and is responsible for the ment of establishment, administration day-to-day operation of the political and solicitation costs of such com- party at the State level, including an mittee. entity that is directly or indirectly established, financed, maintained, or §§ 100.7–100.8 [Reserved] controlled by that organization, as determined by the Commission. § 100.9 Commission (52 U.S.C. (b) District or local committee means 30101(10)). any organization that by virtue of the Commission means the Federal Elec- bylaws of a political party or the oper- tion Commission, 999 E Street, NW., ation of State law is part of the official Washington, DC 20463. party structure, and is responsible for the day-to-day operation of the polit- [45 FR 15094, Mar. 7, 1980, as amended at 50 ical party at the level of city, county, FR 50778, Dec. 12, 1985] neighborhood, ward, district, precinct, or any other subdivision of a State. § 100.10 Person (52 U.S.C. 30101(11)). (c) Subordinate committee of a State, Person means an individual, partner- district, or local committee means any or- ship, committee, association, corpora- ganization that at the level of city, tion, labor organization, and any other county, neighborhood, ward, district, organization, or group of persons, but precinct, or any other subdivision of a does not include the Federal govern- State or any organization under the

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control or direction of the State com- § 100.17 Clearly identified (52 U.S.C. mittee, and is directly or indirectly es- 30101(18)). tablished, financed, maintained, or The term clearly identified means the controlled by the State, district, or candidate’s name, nickname, photo- local committee. graph, or drawing appears, or the identity of the candidate is otherwise ap- [67 FR 49110, July 29, 2002] parent through an unambiguous ref- § 100.15 Political party (52 U.S.C. erence such as ‘‘the President,’’ ‘‘your 30101(16)). Congressman,’’ or ‘‘the incumbent,’’ or through an unambiguous reference to Political party means an association, his or her status as a candidate such as committee, or organization which ‘‘the Democratic presidential nomi- nominates or selects a candidate for nee’’ or ‘‘the Republican candidate for election to any Federal office, whose Senate in the State of Georgia.’’ name appears on an election ballot as [60 FR 35304, July 6, 1995] the candidate of the association, committee, or organization. § 100.18 Act (52 U.S.C. 30101(19)). § 100.16 Independent expenditure (52 Act means the Federal Election Cam- U.S.C. 30101(17)). paign Act of 1971, as amended, 52 U.S.C. 30101 et. seq. (a) The term independent expenditure means an expenditure by a person for a [79 FR 77845, Dec. 29, 2014] communication expressly advocating § 100.19 File, filed, or filing (52 U.S.C. the election or defeat of a clearly iden- 30104(a)). tified candidate that is not made in co- With respect to documents required operation, consultation, or concert to be filed under 11 CFR parts 101, 102, with, or at the request or suggestion of, 104, 105, 107, 108, and 109, and any modi- a candidate, a candidate’s authorized fications or amendments thereto, the committee, or their agents, or a polit- terms file, filed, and filing mean one of ical party committee or its agents. A the actions set forth in paragraphs (a) communication is ‘‘made in coopera- through (f) of this section. For pur- tion, consultation, or concert with, or poses of this section, document means at the request or suggestion of, a can- any report, statement, notice, or des- didate, a candidate’s authorized com- ignation required by the Act to be filed mittee, or their agents, or a political with the Commission or the Secretary party committee or its agents’’ if it is of the Senate. a coordinated communication under 11 (a) Where to deliver reports. Except for CFR 109.21 or a party coordinated com- documents electronically filed under munication under 11 CFR 109.37. paragraph (c) of this section, a docu- (b) No expenditure by an authorized ment is timely filed upon delivery to committee of a candidate on behalf of the Federal Election Commission, 999 E that candidate shall qualify as an inde- Street, NW., Washington, DC 20463; or pendent expenditure. the Secretary of the United States Sen- (c) No expenditure shall be consid- ate, Office of Public Records, 119 D Street NE., Washington, DC 20510 as re- ered independent if the person making quired by 11 CFR part 105, by the close the expenditure allows a candidate, a of business on the prescribed filing candidate’s authorized committee, or date. their agents, or a political party com- (b) Timely filed. (1) A document, other mittee or its agents to become materi- than those addressed in paragraphs (c) ally involved in decisions regarding the through (f) of this section, is timely communication as described in 11 CFR filed if: 109.21(d)(2), or shares financial respon- (i) Deposited: sibility for the costs of production or (A) As registered or certified mail in dissemination with any such person. an established U.S. Post Office; (B) As Priority Mail or Express Mail, [68 FR 451, Jan. 3, 2003] with a delivery confirmation, in an established U.S. Post Office; or

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(C) With an overnight delivery serv- Time on the day following the date on ice and scheduled to be delivered the which independent expenditures aggre- next business day after the date of de- gate $1,000 or more, in accordance with posit and recorded in the overnight de- 11 CFR 104.4(f), during the period less livery service’s on-line tracking sys- than 20 days but more than 24 hours be- tem; and fore an election. (ii) The postmark on the document (3) Permissible means of filing. In addi- must be dated no later than 11:59 p.m. tion to other permissible means of fil- Eastern Standard/Daylight Time on ing, a 24-hour report or 48-hour report the filing date, except that pre-election of independent expenditures may be reports must have a postmark dated no filed using a facsimile machine or by later than 11:59 p.m. Eastern Standard/ electronic mail if the reporting entity Daylight Time on the fifteenth day be- is not required to file electronically in fore the date of the election. accordance with 11 CFR 104.18. Polit- (2) Documents, other than those ad- ical committees, regardless of whether dressed in paragraphs (c) through (f) of this section, sent by first class mail or they are required to file electronically by any means other than those listed under 11 CFR 104.18, may file 24-hour in paragraph (b)(1)(i) of this section reports using the Commission’s must be received by the close of busi- website’s on-line program. ness on the prescribed filing date to be (e) 48-hour statements of last-minute timely filed. contributions. In addition to other per- (3) As used in this paragraph (b) of missible means of filing, authorized this section and in 11 CFR 104.5, committees that are not required to (i) Overnight delivery service means file electronically may file 48-hour no- a private delivery service business of tifications of contributions using fac- established reliability that offers an simile machines. All authorized com- overnight (i.e., next business day) de- mittees that file with the Commission, livery option. including electronic reporting entities, (ii) Postmark means a U.S. Postal may use the Commission’s website’s Service postmark or the verifiable date on-line program to file 48-hour notifi- of deposit with an overnight delivery cations of contributions. See 11 CFR service. 104.5(f). (c) Electronically filed reports. For (f) 24-hour statements of electioneering electronic filing purposes, a document communications. A 24-hour statement of is timely filed when it is received and electioneering communications under validated by the Federal Election Com- 11 CFR 104.20 is timely filed when it is mission by 11:59 p.m. Eastern Standard/ received by the Commission by 11:59 Daylight Time on the filing date. p.m. Eastern Standard/Daylight Time (d) 48-hour and 24-hour reports of inde- on the day following the disclosure pendent expenditures—(1) 48-hour reports date. (See 11 CFR 104.20(a)(1) and (b)). In of independent expenditures. A 48-hour addition to other permissible means of report of independent expenditures filing, a 24-hour statement of election- under 11 CFR 104.4(b) or 109.10(c) is eering communications may be filed timely filed when it is received by the using a facsimile machine or by elec- Commission by 11:59 p.m. Eastern tronic mail if the reporting entity is Standard/Daylight Time on the second not required to file electronically in day following the date on which inde- accordance with 11 CFR 104.18. pendent expenditures aggregate $10,000 or more in accordance with 11 CFR [67 FR 12839, Mar. 20, 2002, as amended at 68 104.4(f), any time during the calendar FR 416, Jan. 3, 2003; 68 FR 3995, Jan. 27, 2003; year up to and including the 20th day 70 FR 13091, Mar. 18, 2005; 73 FR 79601, Dec. 30, before an election. 2008] (2) 24-hour reports of independent expenditures. A 24-hour report of inde- § 100.20 Occupation (52 U.S.C. pendent expenditures under 11 CFR 30101(13)). 104.4(c) or 109.10(d) is timely filed when Occupation means the principal job it is received by the Commission by title or position of an individual and 11:59 p.m. Eastern Standard/Daylight whether or not self-employed.

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§ 100.21 Employer (52 U.S.C. 30101(13)). (1) In connection with an election in which a candidate for Federal office ap- Employer means the organization or pears on the ballot means: person by whom an individual is employed, and not the name of his or her (i) The period of time beginning on supervisor. the date of the earliest filing deadline for access to the primary election bal- § 100.22 Expressly advocating (52 lot for Federal candidates as deter- U.S.C. 30101(17)). mined by State law, or in those States that do not conduct primaries, on Jan- Expressly advocating means any com- uary 1 of each even-numbered year and munication that—(a) Uses phrases such ending on the date of the general elec- as ‘‘vote for the President,’’ ‘‘re-elect tion, up to and including the date of your Congressman,’’ ‘‘support the any general runoff. Democratic nominee,’’ ‘‘cast your ballot for the Republican challenger for (ii) The period beginning on the date U.S. Senate in Georgia,’’ ‘‘Smith for on which the date of a special election Congress,’’ ‘‘Bill McKay in ’94,’’ ‘‘vote in which a candidate for Federal office Pro-Life’’ or ‘‘vote Pro-Choice’’ accom- appears on the ballot is set and ending panied by a listing of clearly identified on the date of the special election. candidates described as Pro-Life or (2) Voter registration activity. Pro-Choice, ‘‘vote against Old Hick- (i) Voter registration activity means: ory,’’ ‘‘defeat’’ accompanied by a pic- (A) Encouraging or urging potential ture of one or more candidate(s), ‘‘re- voters to register to vote, whether by ject the incumbent,’’ or communica- mail (including direct mail), e-mail, in tions of campaign slogan(s) or indi- person, by telephone (including pre-re- vidual word(s), which in context can corded telephone calls, phone banks have no other reasonable meaning than and messaging such as SMS and MMS), to urge the election or defeat of one or or by any other means; more clearly identified candidate(s), (B) Preparing and distributing infor- such as posters, bumper stickers, ad- mation about registration and voting; vertisements, etc. which say ‘‘Nixon’s (C) Distributing voter registration the One,’’ ‘‘Carter ’76,’’ ‘‘Reagan/Bush’’ forms or instructions to potential vot- or ‘‘Mondale!’’; or ers; (b) When taken as a whole and with (D) Answering questions about how limited reference to external events, to complete or file a voter registration such as the proximity to the election, form, or assisting potential voters in could only be interpreted by a reason- completing or filing such forms; able person as containing advocacy of (E) Submitting or delivering a com- the election or defeat of one or more pleted voter registration form on be- clearly identified candidate(s) behalf of a potential voter; cause— (F) Offering or arranging to trans- (1) The electoral portion of the com- port, or actually transporting potential munication is unmistakable, unambig- voters to a board of elections or county uous, and suggestive of only one mean- clerk’s office for them to fill out voter ing; and registration forms; or (2) Reasonable minds could not differ (G) Any other activity that assists as to whether it encourages actions to potential voters to register to vote. elect or defeat one or more clearly (ii) Activity is not voter registration identified candidate(s) or encourages activity solely because it includes a some other kind of action. brief exhortation to register to vote, so [60 FR 35304, July 6, 1995] long as the exhortation is incidental to a communication, activity, or event. § 100.23 [Reserved] Examples of brief exhortations incidental to a communication, activity, § 100.24 Federal election activity (52 or event include: U.S.C. 30101(20)). (A) A mailer praises the public serv- (a) As used in this section, and in ice record of mayoral candidate X and/ part 300 of this chapter, or discusses his campaign platform.

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The mailer concludes by reminding re- voter lists by verifying or adding infor- cipients, ‘‘Don’t forget to register to mation about the voters’ likelihood of vote for X by October 1st.’’ voting in an upcoming election or their (B) A phone call for a State party likelihood of voting for specific can- fundraiser gives listeners information didates. The date a voter list is ac- about the event, solicits donations, and quired shall govern whether a State, concludes by reminding listeners, district, or local party committee has ‘‘Don’t forget to register to vote.’’ obtained a voter list within the mean- (3) Get-out-the-vote activity. ing of this section. (i) Get-out-the-vote activity means: (b) As used in part 300 of this chapter, (A) Encouraging or urging potential Federal election activity means any of voters to vote, whether by mail (in- the activities described in paragraphs cluding direct mail), e-mail, in person, by telephone (including pre-recorded (b)(1) through (b)(4) of this section. telephone calls, phone banks and mes- (1) Voter registration activity during saging such as SMS and MMS), or by the period that begins on the date that any other means; is 120 calendar days before the date (B) Informing potential voters, that a regularly scheduled Federal whether by mail (including direct election is held and ends on the date of mail), e-mail, in person, by telephone the election. For purposes of voter reg- (including pre-recorded telephone calls, istration activity, the term ‘‘election’’ phone banks and messaging such as does not include any special election. SMS and MMS), or by any other (2) The following activities conducted means, about: in connection with an election in which (1) Times when polling places are one or more candidates for Federal of- open; fice appears on the ballot (regardless of (2) The location of particular polling whether one or more candidates for places; or State or local office also appears on the (3) Early voting or voting by absen- ballot): tee ballot; (i) Voter identification. (C) Offering or arranging to trans- (ii) Generic campaign activity, as de- port, or actually transporting, poten- fined in 11 CFR 100.25. tial voters to the polls; or (D) Any other activity that assists (iii) Get-out-the-vote activity. potential voters to vote. (3) A public communication that re- (ii) Activity is not get-out-the-vote fers to a clearly identified candidate activity solely because it includes a for Federal office, regardless of wheth- brief exhortation to vote, so long as er a candidate for State or local elec- the exhortation is incidental to a com- tion is also mentioned or identified, munication, activity, or event. Exam- and that promotes or supports, or at- ples of brief exhortations incidental to tacks or opposes any candidate for Fed- a communication, activity, or event in- eral office. This paragraph applies clude: whether or not the communication ex- (A) A mailer praises the public serv- pressly advocates a vote for or against ice record of mayoral candidate X and/ a Federal candidate. or discusses his campaign platform. (4) Services provided during any The mailer concludes by reminding re- month by an employee of a State, dis- cipients, ‘‘Vote for X on November trict, or local committee of a political 4th.’’ party who spends more than 25 percent (B) A phone call for a State party of that individual’s compensated time fundraiser gives listeners information during that month on activities in con- about the event, solicits donations, and nection with a Federal election. concludes by reminding listeners, ‘‘Don’t forget to vote on November (c) Exceptions. Federal election activity 4th.’’ does not include any amount expended (4) Voter identification means acquir- or disbursed by a State, district, or ing information about potential voters, local committee of a political party for including, but not limited to, obtaining any of the following activities: voter lists and creating or enhancing

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(1) A public communication that re- page containing information on voting fers solely to one or more clearly iden- or registering to vote; tified candidates for State or local of- (ii) On the Web site of a party com- fice and that does not promote or sup- mittee or an association of State or port, or attack or oppose a clearly local candidates, enabling visitors to identified candidate for Federal office; download a voter registration form or provided, however, that such a public absentee ballot application; communication shall be considered a (iii) On the Web site of a party com- Federal election activity if it con- mittee or an association of State or stitutes voter registration activity, ge- local candidates, posting information neric campaign activity, get-out-the- about voting dates and/or polling loca- vote activity, or voter identification. (2) A contribution to a candidate for tions and hours of operation; or State or local office, provided the con- (iv) Placing voter registration forms tribution is not designated to pay for or absentee ballot applications ob- voter registration activity, voter iden- tained from the board of elections at tification, generic campaign activity, the office of a party committee or an get-out-the-vote activity, a public association of State or local can- communication, or employee services didates. as set forth in paragraphs (a)(1) [67 FR 49110, July 29, 2002, as amended at 71 through (4) of this section. FR 8932, Feb. 22, 2006; 71 FR 14360, Mar. 22, (3) The costs of a State, district, or 2006; 75 FR 55267, Sept. 10, 2010] local political convention, meeting or conference. § 100.25 Generic campaign activity (52 (4) The costs of grassroots campaign U.S.C. 30101(21)). materials, including buttons, bumper Generic campaign activity means a stickers, handbills, brochures, posters, public communication that promotes and yard signs, that name or depict only candidates for State or local of- or opposes a political party and does fice. not promote or oppose a clearly identi- (5) Voter identification activity that fied Federal candidate or a non-Federal is conducted solely in connection with candidate. a non-Federal election held on a date [67 FR 49110, July 29, 2002] on which no Federal election is held, and which is not used in a subsequent § 100.26 Public communication (52 election in which a Federal candidate U.S.C. 30101(22)). appears on the ballot. Public communication means a com- (6) Get-out-the-vote activity that is munication by means of any broadcast, conducted solely in connection with a non-Federal election held on a date on cable, or satellite communication, which no Federal election is held, pro- newspaper, magazine, outdoor adver- vided that any communications made tising facility, mass mailing, or tele- as part of such activity refer exclu- phone bank to the general public, or sively to: any other form of general public polit- (i) Non-Federal candidates partici- ical advertising. The term general pub- pating in the non-Federal election, if lic political advertising shall not include the non-Federal candidates are not also communications over the Internet, ex- Federal candidates; cept for communications placed for a (ii) Ballot referenda or initiatives fee on another person’s Web site. scheduled for the date of the non-Fed- [71 FR 18612, Apr. 12, 2006] eral election; or (iii) The date, polling hours, and lo- § 100.27 Mass mailing (52 U.S.C. cations of the non-Federal election. 30101(23)). (7) De minimis costs associated with the following: Mass mailing means a mailing by (i) On the Web site of a party com- United States mail or facsimile of mittee or an association of State or more than 500 pieces of mail matter of local candidates, posting a hyperlink an identical or substantially similar to a state or local election board’s web nature within any 30-day period. A

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mass mailing does not include elec- (2) Refers to a clearly identified can- tronic mail or Internet communica- didate means that the candidate’s tions. For purposes of this section, sub- name, nickname, photograph, or draw- stantially similar includes communica- ing appears, or the identity of the can- tions that include substantially the didate is otherwise apparent through same template or language, but vary in an unambiguous reference such as ‘‘the non-material respects such as commu- President,’’ ‘‘your Congressman,’’ or nications customized by the recipient’s ‘‘the incumbent,’’ or through an unam- name, occupation, or geographic loca- biguous reference to his or her status tion. as a candidate such as ‘‘the Democratic presidential nominee’’ or ‘‘the Repub- [67 FR 49110, July 29, 2002] lican candidate for Senate in the State of Georgia.’’ § 100.28 Telephone bank (52 U.S.C. (3)(i) Publicly distributed means aired, 30101(24)). broadcast, cablecast or otherwise dis- Telephone bank means more than 500 seminated through the facilities of a telephone calls of an identical or sub- television station, radio station, cable stantially similar nature within any television system, or satellite system. 30-day period. A telephone bank does (ii) In the case of a candidate for not include electronic mail or Internet nomination for President or Vice Presi- communications transmitted over tele- dent, publicly distributed means the re- phone lines. For purposes of this sec- quirements of paragraph (b)(3)(i) of this tion, substantially similar includes com- section are met and the communica- munications that include substantially tion: the same template or language, but (A) Can be received by 50,000 or more vary in non-material respects such as persons in a State where a primary communications customized by the re- election, as defined in 11 CFR 9032.7, is cipient’s name, occupation, or geo- being held within 30 days; or graphic location. (B) Can be received by 50,000 or more persons anywhere in the United States [67 FR 49110, July 29, 2002] within the period between 30 days be- § 100.29 Electioneering communication fore the first day of the national nomi- (52 U.S.C. 30104(f)(3)). nating convention and the conclusion of the convention. (a) Electioneering communication (4) A special election or a runoff elec- means any broadcast, cable, or sat- tion is a primary election if held to ellite communication that: nominate a candidate. A special election (1) Refers to a clearly identified can- or a runoff election is a general election didate for Federal office; if held to elect a candidate. (2) Is publicly distributed within 60 (5) Targeted to the relevant electorate days before a general election for the means the communication can be re- office sought by the candidate; or with- ceived by 50,000 or more persons— in 30 days before a primary or pref- (i) In the district the candidate seeks erence election, or a convention or cau- to represent, in the case of a candidate cus of a political party that has au- for Representative in or Delegate or thority to nominate a candidate, for Resident Commissioner to, the Con- the office sought by the candidate, and gress; or the candidate referenced is seeking the (ii) In the State the candidate seeks nomination of that political party; and to represent, in the case of a candidate (3) Is targeted to the relevant elec- for Senator. torate, in the case of a candidate for (6)(i) Information on the number of Senate or the House of Representa- persons in a Congressional district or tives. State that can receive a communica- (b) For purposes of this section—(1) tion publicly distributed by a tele- Broadcast, cable, or satellite communica- vision station, radio station, a cable tion means a communication that is television system, or satellite system, publicly distributed by a television sta- shall be available on the Federal Com- tion, radio station, cable television munications Commission’s Web site, system, or satellite system. http://www.fcc.gov. A link to that site is

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available on the Federal Election Com- the population of the Congressional mission’s Web site, http://www.fec.gov. district or State is 50,000 or more; or If the Federal Communications Com- (B) In the case of a communication mission’s Web site indicates that a transmitted by an FM radio broadcast communication cannot be received by station or network, where a portion of 50,000 or more persons in the specified the Congressional district or State lies Congressional district or State, then outside of the protected or primary such information shall be a complete service contour, that the population of defense against any charge that such the part of the Congressional district communication constitutes an elec- or State lying within the station’s or tioneering communication, so long as network’s protected or primary service such information is posted on the Fed- contour is 50,000 or more; or eral Communications Commission’s (C) In the case of a communication Web site on or before the date the com- transmitted by an AM radio broadcast munication is publicly distributed. station or network, where the Congres- (ii) If the Federal Communications sional district or State lies entirely Commission’s Web site does not indi- within the station’s or network’s most cate whether a communication can be outward service area, that the popu- received by 50,000 or more persons in lation of the Congressional district or the specified Congressional district or State is 50,000 or more; or State, it shall be a complete defense (D) In the case of a communication against any charge that a communica- transmitted by an AM radio broadcast tion reached 50,000 or more persons station or network, where a portion of when the maker of a communication: the Congressional district or State lies (A) Reasonably relies on written doc- outside of the station’s or network’s umentation obtained from the broad- most outward service area, that the cast station, radio station, cable sys- population of the part of the Congres- sional district or State lying within tem, or satellite system that states the station’s or network’s most out- that the communication cannot be re- ward service area is 50,000 or more; or ceived by 50,000 or more persons in the (E) In the case of a communication specified Congressional district (for appearing on a television broadcast U.S. House of Representatives can- station or network, where the Congres- didates) or State (for U.S. Senate can- sional district or State lies entirely didates or presidential primary can- within the station’s or network’s Grade didates); B broadcast contour, that the popu- (B) Does not publicly distribute the lation of the Congressional district or communication on a broadcast station, State is 50,000 or more; or radio station, or cable system, located (F) In the case of a communication in any Metropolitan Area in the speci- appearing on a television broadcast fied Congressional district (for U.S. station or network, where a portion of House of Representatives candidates) the Congressional district or State lies or State (for U.S. Senate candidates or outside of the Grade B broadcast con- presidential primary candidates); or tour— (C) Reasonably believes that the (1) That the population of the part of communication cannot be received by the Congressional district or State 50,000 or more persons in the specified lying within the station’s or network’s Congressional district (for U.S. House Grade B broadcast contour is 50,000 or of Representatives candidates) or State more; or (for U.S. Senate candidates or presi- (2) That the population of the part of dential primary candidates). the Congressional district or State (7)(i) Can be received by 50,000 or more lying within the station’s or network’s persons means— broadcast contour, when combined (A) In the case of a communication with the viewership of that television transmitted by an FM radio broadcast station or network by cable and sat- station or network, where the Congres- ellite subscribers within the Congres- sional district or State lies entirely sional district or State lying outside within the station’s or network’s pro- the broadcast contour, is 50,000 or tected or primary service contour, that more; or

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(G) In the case of a communication through the facilities of any broadcast, appearing exclusively on a cable or sat- cable, or satellite television or radio ellite television system, but not on a station, unless such facilities are broadcast station or network, that the owned or controlled by any political viewership of the cable system or sat- party, political committee, or can- ellite system lying within a Congres- didate. A news story distributed sional district or State is 50,000 or through a broadcast, cable, or satellite more; or television or radio station owned or (H) In the case of a communication controlled by any political party, polit- appearing on a cable television net- ical committee, or candidate is never- work, that the total cable and satellite theless exempt if the news story meets viewership within a Congressional dis- the requirements described in 11 CFR trict or State is 50,000 or more. 100.132(a) and (b); (ii) Cable or satellite television (3) Constitutes an expenditure or viewership is determined by multi- independent expenditure provided that plying the number of subscribers with- the expenditure or independent expend- in a Congressional district or State, or iture is required to be reported under a part thereof, as appropriate, by the the Act or Commission regulations; current national average household (4) Constitutes a candidate debate or size, as determined by the Bureau of forum conducted pursuant to 11 CFR the Census. 110.13, or that solely promotes such a (iii) A determination that a commu- debate or forum and is made by or on nication can be received by 50,000 or behalf of the person sponsoring the de- more persons based on the application bate or forum; or of the formula at paragraph (b)(7)(i)(G) (5) Is paid for by a candidate for or (H) of this section shall create a re- State or local office in connection with buttable presumption that may be an election to State or local office, pro- overcome by demonstrating that— vided that the communication does not (A) One or more cable or satellite promote, support, attack or oppose any systems did not carry the network on Federal candidate. See 11 CFR 300.71 for which the communication was publicly communications paid for by a can- distributed at the time the commu- didate for State or local office that nication was publicly distributed; and promotes, supports, attacks or opposes (B) Applying the formula to the re- a Federal candidate. maining cable and satellite systems results in a determination that the cable [67 FR 65210, 65217, Oct. 23, 2002, as amended network or systems upon which the at 70 FR 75717, Dec. 21, 2005; 79 FR 16663, Mar. communication was publicly distrib- 26, 2014] uted could not be received by 50,000 §§ 100.30–100.32 [Reserved] persons or more. (c) The following communications § 100.33 Personal funds. are exempt from the definition of electioneering communication. Any commu- Personal funds of a candidate means nication that: the sum of all of the following: (1) Is publicly disseminated through a (a) Assets. Amounts derived from any means of communication other than a asset that, under applicable State law, broadcast, cable, or satellite television at the time the individual became a or radio station. For example, election- candidate, the candidate had legal eering communication does not include right of access to or control over, and communications appearing in print with respect to which the candidate media, including a newspaper or maga- had— zine, handbill, brochure, bumper stick- (1) Legal and rightful title; or er, yard sign, poster, billboard, and (2) An equitable interest; other written materials, including (b) Income. Income received during mailings; communications over the the current election cycle, of the can- Internet, including electronic mail; or didate, including: telephone communications; (1) A salary and other earned income (2) Appears in a news story, com- that the candidate earns from bona fide mentary, or editorial distributed employment;

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(2) Income from the candidate’s influencing any election for Federal of- stocks or other investments including fice is a contribution. interest, dividends, or proceeds from (b) For purposes of this section, the the sale or liquidation of such stocks term loan includes a guarantee, en- or investments; dorsement, and any other form of secu- (3) Bequests to the candidate; rity. (4) Income from trusts established be- (1) A loan that exceeds the contribu- fore the beginning of the election tion limitations of 52 U.S.C. 30116 and cycle; 11 CFR part 110 shall be unlawful (5) Income from trusts established by whether or not it is repaid. bequest after the beginning of the elec- (2) A loan is a contribution at the tion cycle of which the candidate is the time it is made and is a contribution to beneficiary; the extent that it remains unpaid. The (6) Gifts of a personal nature that aggregate amount loaned to a can- had been customarily received by the didate or committee by a contributor, candidate prior to the beginning of the when added to other contributions election cycle; and from that individual to that candidate (7) Proceeds from lotteries and simi- or committee, shall not exceed the con- lar legal games of chance; and tribution limitations set forth at 11 (c) Jointly owned assets. Amounts de- CFR part 110. A loan, to the extent it is rived from a portion of assets that are repaid, is no longer a contribution. owned jointly by the candidate and the (3) Except as provided in paragraph candidate’s spouse as follows: (b)(4) of this section, a loan is a con- (1) The portion of assets that is equal tribution by each endorser or guar- to the candidate’s share of the asset antor. Each endorser or guarantor under the instrument of conveyance or shall be deemed to have contributed ownership; provided, however, that portion of the total amount of the (2) If no specific share is indicated by loan for which he or she agreed to be an instrument of conveyance or owner- liable in a written agreement. Any re- ship, the value of one-half of the prop- duction in the unpaid balance of the erty. loan shall reduce proportionately the [73 FR 79601, Dec. 30, 2008] amount endorsed or guaranteed by each endorser or guarantor in such §§ 100.34–100.50 [Reserved] written agreement. In the event that such agreement does not stipulate the Subpart B—Definition of portion of the loan for which each en- Contribution (52 U.S.C. 30101(8)) dorser or guarantor is liable, the loan shall be considered a loan by each en- SOURCE: 67 FR 50585, Aug. 5, 2002, unless dorser or guarantor in the same pro- otherwise noted. portion to the unpaid balance that each endorser or guarantor bears to the § 100.51 Scope. total number of endorsers or guaran- (a) The term contribution includes the tors. payments, services, or other things of (4) A candidate may obtain a loan on value described in this subpart. which his or her spouse’s signature is (b) For the purpose of this subpart, a required when jointly owned assets are contribution or payment made by an used as collateral or security for the individual shall not be attributed to loan. The spouse shall not be consid- any other individual, unless otherwise ered a contributor to the candidate’s specified by that other individual in campaign if the value of the can- accordance with 11 CFR 110.1(k). didate’s share of the property used as collateral equals or exceeds the § 100.52 Gift, subscription, loan, ad- amount of the loan that is used for the vance or deposit of money. candidate’s campaign. (a) A gift, subscription, loan (except (5) If a political committee makes a for a loan made in accordance with 11 loan to any person, such loan shall be CFR 100.82 and 100.83), advance, or de- subject to the limitations of 11 CFR posit of money or anything of value part 110. Repayment of the principal made by any person for the purpose of amount of such loan to such political

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committee shall not be a contribution § 100.53 Attendance at a fundraiser or by the debtor to the lender committee. political event. Such repayment shall be made with The entire amount paid to attend a funds that are subject to the prohibi- fundraiser or other political event and tions of 11 CFR 110.20 and part 114. The the entire amount paid as the purchase payment of interest to such committee price for a fundraising item sold by a by the debtor shall be a contribution political committee is a contribution. only to the extent that the interest paid exceeds a commercially reason- § 100.54 Compensation for personal services. able rate prevailing at the time the loan is made. All payments of interest The payment by any person of com- shall be made from funds subject to the pensation for the personal services of prohibitions of 11 CFR 110.20 and part another person if those services are 114. rendered without charge to a political committee for any purpose, except for (c) For purposes of this section, the legal and accounting services provided term money includes currency of the under 11 CFR 100.74 and 100.75, is a con- United States or of any foreign nation, tribution. No compensation is consid- checks, money orders, or any other ne- ered paid to any employee under any of gotiable instruments payable on de- the following conditions: mand. (a) Paid on an hourly or salaried basis. (d)(1) For purposes of this section, If an employee is paid on an hourly or the term anything of value includes all salaried basis and is expected to work a in-kind contributions. Unless specifi- particular number of hours per period, cally exempted under 11 CFR part 100, no contribution results if the employee subpart C, the provision of any goods engages in political activity during or services without charge or at a what would otherwise be a regular charge that is less than the usual and work period, provided that the taken normal charge for such goods or serv- or released time is made up or com- ices is a contribution. Examples of pleted by the employee within a rea- such goods or services include, but are sonable time. (b) Paid on commission or piecework not limited to: Securities, facilities, basis. No contribution results where an equipment, supplies, personnel, adver- employee engages in political activity tising services, membership lists, and during what would otherwise be normal mailing lists. If goods or services are working hours if the employee is paid provided at less than the usual and on a commission or piecework basis, or normal charge, the amount of the in- is paid only for work actually per- kind contribution is the difference be- formed and the employee’s time is con- tween the usual and normal charge for sidered his or her own to use as he or the goods or services at the time of the she sees fit. contribution and the amount charged (c) Vacation or earned leave time. No the political committee. contribution results where the time (2) For purposes of paragraph (d)(1) of used by the employee to engage in po- this section, usual and normal charge for litical activity is bona fide, although goods means the price of those goods in compensable, vacation time or other the market from which they ordinarily earned leave time. would have been purchased at the time of the contribution; and usual and nor- § 100.55 Extension of credit. mal charge for any services, other than The extension of credit by any person those provided by an unpaid volunteer, is a contribution unless the credit is means the hourly or piecework charge extended in the ordinary course of the for the services at a commercially rea- person’s business and the terms are sonable rate prevailing at the time the substantially similar to extensions of services were rendered. credit to nonpolitical debtors that are of similar risk and size of obligation. If [67 FR 50585, Aug. 5, 2002, as amended at 67 a creditor fails to make a commer- FR 78680, Dec. 26, 2002; 79 FR 16663, Mar. 26, cially reasonable attempt to collect 2014; 79 FR 77845, Dec. 29, 2014] the debt, a contribution will result.

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(See 11 CFR 116.3 and 116.4.) If a debt (b) Exemption not applicable to individ- owed by a political committee is for- uals who have decided to become can- given or settled for less than the didates. This exemption does not apply amount owed, a contribution results to funds received for activities indi- unless such debt is settled in accord- cating that an individual has decided ance with the standards set forth at 11 to become a candidate for a particular CFR 116.3 and 116.4. office or for activities relevant to conducting a campaign. Examples of ac- § 100.56 Office building or facility for tivities that indicate that an indi- national party committees. vidual has decided to become a can- A gift, subscription, loan, advance, or didate include, but are not limited to: deposit of money or anything of value (1) The individual uses general public to a national party committee for the political advertising to publicize his or purchase or construction of an office her intention to campaign for Federal building or facility is a contribution. office. (2) The individual raises funds in ex- § 100.57 [Reserved] cess of what could reasonably be expected to be used for exploratory ac- Subpart C—Exceptions to tivities or undertakes activities de- Contributions signed to amass campaign funds that would be spent after he or she becomes SOURCE: 67 FR 50585, Aug. 5, 2002, unless a candidate. otherwise noted. (3) The individual makes or authorizes written or oral statements that § 100.71 Scope. refer to him or her as a candidate for a (a) The term contribution does not in- particular office. clude payments, services or other (4) The individual conducts activities things of value described in this sub- in close proximity to the election or part. over a protracted period of time. (b) For the purpose of this subpart, a (5) The individual has taken action to contribution or payment made by an qualify for the ballot under State law. individual shall not be attributed to any other individual, unless otherwise § 100.73 News story, commentary, or editorial by the media. specified by that other individual in accordance with 11 CFR 110.1(k). Any cost incurred in covering or carrying a news story, commentary, or § 100.72 Testing the waters. editorial by any broadcasting station (a) General exemption. Funds received (including a cable television operator, solely for the purpose of determining programmer or producer), Web site, whether an individual should become a newspaper, magazine, or other peri- candidate are not contributions. Exam- odical publication, including any Inter- ples of activities permissible under this net or electronic publication, is not a exemption if they are conducted to de- contribution unless the facility is termine whether an individual should owned or controlled by any political become a candidate include, but are party, political committee, or cannot limited to, conducting a poll, tele- didate, in which case the costs for a phone calls, and travel. Only funds per- news story: missible under the Act may be used for (a) That represents a bona fide news such activities. The individual shall account communicated in a publica- keep records of all such funds received. tion of general circulation or on a li- See 11 CFR 101.3. If the individual sub- censed broadcasting facility; and sequently becomes a candidate, the (b) That is part of a general pattern funds received are contributions sub- of campaign-related news accounts ject to the reporting requirements of that give reasonably equal coverage to the Act. Such contributions must be all opposing candidates in the circula- reported with the first report filed by tion or listening area, is not a con- the principal campaign committee of tribution. the candidate, regardless of the date [67 FR 50585, Aug. 5, 2002, as amended at 71 the funds were received. FR 18613, Apr. 12, 2006]

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§ 100.74 Uncompensated services by premises or in a church or community volunteers. room as specified at 11 CFR 100.75 and The value of services provided with- 100.76 to a candidate for candidate-re- out compensation by any individual lated activity or to any political com- who volunteers on behalf of a candidate mittee of a political party for party-re- or political committee is not a con- lated activity, to the extent that: The tribution. aggregate value of such invitations, food and beverages provided by the in- § 100.75 Use of a volunteer’s real or dividual on behalf of the candidate personal property. does not exceed $1,000 with respect to No contribution results where an in- any single election; and on behalf of all dividual, in the course of volunteering political committees of each political personal services on his or her residen- party does not exceed $2,000 in any cal- tial premises to any candidate or to endar year. any political committee of a political party, provides the use of his or her [69 FR 68238, Nov. 24, 2004] real or personal property to such candidate for candidate-related activity or § 100.78 Sale of food or beverages by to such political committee of a polit- vendor. ical party for party-related activity. The sale of any food or beverage by a For the purposes of this section, an in- vendor (whether incorporated or not) dividual’s residential premises, shall for use in a candidate’s campaign, or include a recreation room in a residen- for use by a political committee of a tial complex where the individual vol- political party, at a charge less than unteering services resides, provided the normal or comparable commercial that the room is available for use with- rate, is not a contribution, provided out regard to political affiliation. A nominal fee paid by such individual for that the charge is at least equal to the the use of such room is not a contribu- cost of such food or beverage to the tion. vendor, to the extent that: The aggregate value of such discount given by § 100.76 Use of church or community the vendor on behalf of any single can- room. didate does not exceed $1,000 with re- No contribution results where an inspect to any single election; and on be- dividual, in the course of volunteering half of all political committees of each personal services to any candidate or political party does not exceed $2,000 in political committee of a political a calendar year. party, obtains the use of a church or community room and provides such § 100.79 Unreimbursed payment for room to any candidate for candidate- transportation and subsistence ex- related activity or to any political penses. committee of a political party for (a) Transportation expenses. Any unre- party-related activity, provided that imbursed payment for transportation the room is used on a regular basis by expenses incurred by any individual on members of the community for non- behalf of any candidate or any political commercial purposes and the room is committee of a political party is not a available for use by members of the contribution to the extent that: community without regard to political (1) The aggregate value of the pay- affiliation. A nominal fee paid by such ments made by such individual on be- individual for the use of such room is half of a candidate does not exceed not a contribution. $1,000 with respect to a single election; § 100.77 Invitations, food, and bev- and erages. (2) The aggregate value of the pay- The cost of invitations, food and bev- ments made by such individual on be- erages is not a contribution where such half of all political committees of each items are voluntarily provided by an political party does not exceed $2,000 in individual volunteering personal serv- a calendar year. ices on the individual’s residential

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(b) Subsistence expenses. Any unreim- not a contribution by the lending insti- bursed payment from a volunteer’s per- tution if such loan is made in accord- sonal funds for usual and normal sub- ance with applicable banking laws and sistence expenses incidental to volun- regulations and is made in the ordinary teer activity is not a contribution. course of business. A loan will be deemed to be made in the ordinary § 100.80 Slate cards and sample bal- course of business if it: lots. (1) Bears the usual and customary in- The payment by a State or local terest rate of the lending institution committee of a political party of the for the category of loan involved; costs of preparation, display, or mail- (2) Is made on a basis that assures re- ing or other distribution incurred by payment; such committee with respect to a (3) Is evidenced by a written instru- printed slate card, sample ballot, palm ment; and card, or other printed listing(s) of three (4) Is subject to a due date or amorti- or more candidates for any public of- zation schedule. fice for which an election is held in the (b) Reporting. Such loans shall be re- State in which the committee is orga- ported by the political committee in nized is not a contribution. The pay- accordance with 11 CFR 104.3(a) and (d). ment of the portion of such costs allo- (c) Endorsers and guarantors. Each en- cable to Federal candidates must be dorser or guarantor shall be deemed to made from funds subject to the limita- have contributed that portion of the tions and prohibitions of the Act. If total amount of the loan for which he made by a political committee, such or she agreed to be liable in a written payments shall be reported by that agreement, except that, in the event of committee as disbursements, but need a signature by the candidate’s spouse, not be allocated in committee reports the provisions of 11 CFR 100.52(b)(4) to specific candidates. This exemption shall apply. Any reduction in the un- shall not apply to costs incurred by paid balance of the loan shall reduce such a committee with respect to the proportionately the amount endorsed preparation and display of listings or guaranteed by each endorser or made on broadcasting stations, or in guarantor in such written agreement. newspapers, magazines, and similar In the event that such agreement does types of general public political adver- not stipulate the portion of the loan tising such as billboards. But see 11 for which each endorser or guarantor is CFR 100.24, 104.17(a) and part 300, sub- liable, the loan shall be considered a part B for exempt activities that also contribution by each endorser or guar- constitute Federal election activity. antor in the same proportion to the unpaid balance that each endorser or § 100.81 Payments by corporations and guarantor bears to the total number of labor organizations. endorsers or guarantors. Any payment made or obligation in- (d) Overdrafts. For purposes of this curred by a corporation or a labor or- section, an overdraft made on a check- ganization is not a contribution, if ing or savings account of a political under the provisions of 11 CFR part 114 committee shall be considered a con- such payment or obligation would not tribution by the bank or institution constitute an expenditure by the cor- unless: poration or labor organization. (1) The overdraft is made on an account that is subject to automatic § 100.82 Bank loans. overdraft protection; (a) General provisions. A loan of (2) The overdraft is subject to a defi- money to a political committee or a nite interest rate that is usual and cus- candidate by a State bank, a federally tomary; and chartered depository institution (in- (3) There is a definite repayment cluding a national bank) or a deposi- schedule. tory institution whose deposits and ac- (e) Made on a basis that assures repay- counts are insured by the Federal De- ment. A loan, including a line of credit, posit Insurance Corporation or the Na- shall be considered made on a basis tional Credit Union Administration is that assures repayment if it is obtained

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using either of the sources of repay- fied the other institution of this as- ment described in paragraphs (e)(1) or signment; (2) of this section, or a combination of (iv) The loan agreement requires the paragraphs (e)(1) and (2) of this section: deposit of the public financing pay- (1)(i) The lending institution making ments, contributions and interest in- the loan has perfected a security inter- come pledged as collateral into the sep- est in collateral owned by the can- arate depository account for the pur- didate or political committee receiving pose of retiring the debt according to the loan, the fair market value of the the repayment requirements of the collateral is equal to or greater than loan agreement; and the loan amount and any senior liens (v) In the case of public financing as determined on the date of the loan, payments, the borrower authorizes the and the candidate or political com- Secretary of the Treasury to directly mittee provides documentation to show deposit the payments into the deposi- that the lending institution has a per- tory account for the purpose of retiring fected security interest in the collat- the debt. eral. Sources of collateral include, but (3) If the requirements set forth in are not limited to, ownership in real this paragraph are not met, the Com- estate, personal property, goods, nego- mission will consider the totality of tiable instruments, certificates of de- the circumstances on a case-by-case posit, chattel papers, stocks, accounts basis in determining whether a loan receivable and cash on deposit. was made on a basis that assures re- (ii) Amounts guaranteed by sec- payment. ondary sources of repayment, such as (f) This section shall not apply to guarantors and cosigners, shall not ex- loans described in 11 CFR 100.83. ceed the contribution limits of 11 CFR [67 FR 50585, Aug. 5, 2002, as amended at 67 part 110 or contravene the prohibitions FR 78680, Dec. 26, 2002; 79 FR 16663, Mar. 26, of 11 CFR 110.4, 110.20, part 114 and part 2014] 115; or (2) The lending institution making § 100.83 Brokerage loans and lines of the loan has obtained a written agree- credit to candidates. ment whereby the candidate or polit- (a) General provisions. Any loan of ical committee receiving the loan has money derived from an advance on a pledged future receipts, such as public candidate’s brokerage account, credit financing payments under 11 CFR part card, home equity line of credit, or 9001 through part 9012, or part 9031 other line of credit available to the through part 9039, contributions, or in- candidate, including an overdraft made terest income, provided that: on a personal checking or savings ac- (i) The amount of the loan or loans count of a candidate, provided that: obtained on the basis of such funds (1) Such loan is made in accordance does not exceed the amount of pledged with applicable law and under commer- funds; cially reasonable terms; and (ii) Loan amounts are based on a rea- (2) The person making such loan sonable expectation of the receipt of makes loans derived from an advance pledged funds. To that end, the can- on a candidate’s brokerage account, didate or political committee must fur- credit card, home equity line of credit, nish the lending institution docu- or other line of credit in the normal mentation, i.e., cash flow charts or course of the person’s business. other financial plans, that reasonably (b) Endorsers and guarantors. Each en- establish that such future funds will be dorser, guarantor, or co-signer shall be available; deemed to have contributed that por- (iii) A separate depository account is tion of the total amount of the loan de- established at the lending institution rived from an advance on a candidate’s or the lender obtains an assignment brokerage account, credit card, home from the candidate or political com- equity line of credit, or other line of mittee to access funds in a committee credit available to the candidate, for account at another depository institu- which he or she agreed to be liable in a tion that meets the requirements of 11 written agreement, including a loan CFR 103.2, and the committee has noti- used for the candidate’s routine living

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expenses. Any reduction in the unpaid 113.1(g)(6)) or the lending institution is balance of the loan, advance, or line of a contribution, subject to the limita- credit shall reduce proportionately the tions and prohibitions of 11 CFR parts amount endorsed or guaranteed by 110 and 114, and shall be reported under each endorser or guarantor in such 11 CFR part 104. written agreement. In the event that (4) Notwithstanding paragraph (c)(1) such agreement does not stipulate the of this section, the portion of any loan portion of the loan, advance, or line of or advance from a candidate’s broker- credit for which each endorser, guar- age account, credit card account, home antor, or co-signer is liable, the loan equity line of credit, or other line of shall be considered a contribution by credit that is used for the purpose of each endorser or guarantor in the same influencing the candidate’s election for proportion to the unpaid balance that Federal office shall be reported under each endorser, guarantor, or co-signer 11 CFR part 104. bears to the total number of endorsers (d) Repayment. The candidate’s au- or guarantors. However, if the spouse thorized committee may repay a loan of the candidate is the endorser, guar- from the candidate that is derived from antor, or co-signer, the spouse shall an advance on a candidate’s brokerage not be deemed to make a contribution account, credit card, home equity line if: of credit, or other line of credit avail- (1) For a secured loan, the value of able to the candidate, directly to the the candidate’s share of the property candidate or the original lender. The used as collateral equals or exceeds the amount of the repayment shall not ex- amount of the loan that is used for the ceed the amount of the principal used candidate’s campaign; or for the purpose of influencing the can- (2) For an unsecured loan, the didate’s election for Federal office and amount of the loan used for in connec- interest that has accrued on that prin- tion with the candidate’s campaign cipal. does not exceed one-half of the avail- (e) Reporting. Loans derived from an able credit extended by the unsecured advance on a candidate’s brokerage ac- loan. count, credit card, home equity line of (c) Routine living expenses. (1) A loan credit, or other line of credit available derived from an advance on a can- to the candidate shall be reported by didate’s brokerage account, credit the candidate’s principal campaign card, home equity line of credit, or committee in accordance with 11 CFR other line of credit available to the part 104. candidate, that is used by the candidate solely for routine living ex- § 100.84 Office building for State, local, penses, as described in 11 CFR 100.153, or district party committees or or- does not need to be reported under 11 ganizations. CFR part 104 provided that the loan, A donation made to a non-Federal ac- advance, or line of credit is repaid ex- count of a State, local, or district clusively from the personal funds of party committee or organization in ac- the candidate or payments that would cordance with 11 CFR 300.35 for the pur- have been made irrespective of the can- chase or construction of an office didacy pursuant to 11 CFR 113.1(g)(6). building is not a contribution. A dona- (2) Any repayment, in part or in tion includes a gift, subscription, loan, whole, of the loan, advance, or line of advance, or deposit of money or any- credit described in paragraph (c)(1) of thing of value. this section by the candidate’s authorized committee constitutes the per- § 100.85 Legal or accounting services sonal use of campaign funds and is pro- to political party committees. hibited by 11 CFR 113.2. Legal or accounting services ren- (3) Any repayment or forgiveness, in dered to or on behalf of any political part or in whole, of the loan, advance, committee of a political party are not or line of credit described in paragraph contributions if the person paying for (c)(1) of this section by a third party such services is the regular employer of (other than a third party whose pay- the individual rendering the services ments are permissible under 11 CFR and such services are not attributable

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to activities that directly further the tions subject to the limitations and election of any designated candidate prohibitions of the Act. But see 11 CFR for Federal office. For purposes of this 100.24, 104.17(a), and part 300, subpart B section, a partnership shall be deemed for exempt activities that also con- to be the regular employer of a part- stitute Federal election activity. ner. Amounts paid by the regular em- (c) Contributions designated for par- ployer for such services shall be re- ticular Federal candidates. Such pay- ported by the committee receiving ment is not made from contributions such services in accordance with 11 designated by the donor to be spent on CFR 104.3(h). behalf of a particular candidate or can- § 100.86 Legal or accounting services didates for Federal office. For purposes to other political committees. of this paragraph, a contribution shall not be considered a designated con- Legal or accounting services ren- tribution if the party committee dis- dered to or on behalf of an authorized bursing the funds makes the final deci- committee of a candidate or any other political committee are not contribu- sion regarding which candidate(s) shall tions if the person paying for such receive the benefit of such disburse- services is the regular employer of the ment. individual rendering the services and if (d) Distribution of materials by volun- such services are solely to ensure com- teers. Such materials are distributed by pliance with the Act or 26 U.S.C. 9001 et volunteers and not by commercial or seq. and 9031 et seq. For purposes of this for-profit operations. For the purposes section, a partnership shall be deemed of this paragraph, payments by the to be the regular employer of a part- party organization for travel and sub- ner. Amounts paid by the regular em- sistence or customary token payments ployer for these services shall be re- to volunteers do not remove such indi- ported by the committee receiving viduals from the volunteer category. such services in accordance with 11 (e) Reporting. If made by a political CFR 104.3(h). committee such payments shall be reported by the political committee as § 100.87 Volunteer activity for party disbursements in accordance with 11 committees. CFR 104.3 but need not be allocated to The payment by a state or local com- specific candidates in committee re- mittee of a political party of the costs ports. of campaign materials (such as pins, (f) State candidates and their campaign bumper stickers, handbills, brochures, committees. Payments by a State can- posters, party tabloids or newsletters, didate or his or her campaign com- and yard signs) used by such committee to a State or local political mittee in connection with volunteer party committee for the State can- activities on behalf of any nominee(s) didate’s share of expenses for such of such party is not a contribution, provided that the following conditions campaign materials are not contribu- are met: tions, provided the amount paid by the (a) Exemption not applicable to general State candidate or his or her com- public communication or political adver- mittee does not exceed his or her pro- tising. Such payment is not for cost in- portionate share of the expenses. curred in connection with any broad- (g) Exemption not applicable to cam- casting, newspaper, magazine, bill paign materials purchased by national board, direct mail, or similar type of party committees. Campaign materials general public communication or polit- purchased by the national committee ical advertising. For purposes of this of a political party and delivered to a paragraph, the term direct mail means State or local party committee, or ma- any mailing(s) by a commercial vendor terials purchased with funds donated or any mailing(s) made from commer- by the national committee to such cial lists. State or local committee for the pur- (b) Allocation. The portion of the cost chase of such materials, shall not qual- of such materials allocable to Federal ify under this exemption. Rather, the candidates must be paid from contribu- cost of such materials shall be subject

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to the limitations of 52 U.S.C. 30116(d) litical advertising. For purposes of this and 11 CFR 109.32. paragraph, the term direct mail means [67 FR 50585, Aug. 5, 2002, as amended at 67 any mailing(s) by a commercial vendor FR 78680, Dec. 26, 2002; 79 FR 77845, Dec. 29, or any mailing(s) made from commer- 2014] cial lists. (b) Allocation. The portion of the § 100.88 Volunteer activity for can- costs of such activities allocable to didates. Federal candidates is paid from con- (a) The payment by a candidate for tributions subject to the limitations any public office (including State or and prohibitions of the Act. But see 11 local office), or by such candidate’s au- CFR 100.24, 104.17(a), and part 300, sub- thorized committee, of the costs of part B for exempt activities that also that candidate’s campaign materials constitute Federal election activity. that include information on or any ref- (c) Contributions designated for par- erence to a candidate for Federal office ticular Federal candidates. Such pay- and that are used in connection with ment is not made from contributions volunteer activities (such as pins, designated to be spent on behalf of a bumper stickers, handbills, brochures, particular candidate or candidates for posters, and yard signs) is not a contribution to such candidate for Federal Federal office. For purposes of this office, provided that the payment is paragraph, a contribution shall not be not for the use of broadcasting, news- considered a designated contribution if papers, magazines, billboards, direct the party committee disbursing the mail or similar types of general public funds makes the final decision regard- communication or political adver- ing which candidate(s) shall receive the tising. benefit of such disbursement. (b) The payment of the portion of the (d) References to House or Senate can- cost of such materials allocable to Fed- didates. For purposes of this section, if eral candidates shall be made from such activities include references to contributions subject to the limita- any candidate(s) for the House or Sen- tions and prohibitions of the Act. For ate, the costs of such activities that purposes of this section, the term direct are allocable to that candidate(s) shall mail means any mailing(s) by commer- be a contribution to such candidate(s) cial vendors or mailing(s) made from unless the mention of such candidate(s) lists that were not developed by the is merely incidental to the overall ac- candidate. But see 11 CFR 100.24, tivity. 104.17(a), and part 300, subparts D and E (e) Phone banks. For purposes of this for exempt activities that also con- section, payment of the costs incurred stitute Federal election activity. in the use of phone banks in connection with voter registration and get-out- § 100.89 Voter registration and get-out- the-vote activities for Presidential the-vote activities is not a contribu- candidates. tion when such phone banks are oper- The payment by a State or local ated by volunteer workers. The use of committee of a political party of the paid professionals to design the phone costs of voter registration and get-out- bank system, develop calling instruc- the-vote activities conducted by such tions and train supervisors is permis- committee on behalf of the Presi- sible. The payment of the costs of such dential and Vice Presidential nomi- professional services is not an expendi- nee(s) of that party, is not a contribu- ture but shall be reported as a dis- tion to such candidate(s) provided that bursement in accordance with 11 CFR the following conditions are met: 104.3 if made by a political committee. (a) Exemption not applicable to general (f) Reporting of payments for voter reg- public communication or political adver- istration and get-out-the-vote activities. If tising. Such payment is not for the made by a political committee, such costs incurred in connection with any payments for voter registration and broadcasting, newspaper, magazine, get-out-the-vote activities shall be re- billboard, direct mail, or similar type ported by that committee as disburse- of general public communication or po- ments in accordance with 11 CFR 104.3,

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but such payments need not be allo- pany, are governed by 11 CFR 100.52(a) cated to specific candidates in com- and (d), not this section. mittee reports except as provided in 11 (3) For the purposes of this section: CFR paragraph (d) of this section. (i) Campaign traveler means (g) Exemption not applicable to dona- (A) Any candidate traveling in con- tions by a national committee of a polit- nection with an election for Federal of- ical party to a State or local party com- fice or any individual traveling in con- mittee for voter registration and get-out- nection with an election for Federal of- the-vote activities. Payments made from fice on behalf of a candidate or polit- funds donated by a national committee ical committee; or of a political party to a State or local (B) Any member of the news media party committee for voter registration traveling with a candidate. and get-out-the-vote activities shall (ii) Service provider means the owner not qualify under this exemption. of an aircraft or other conveyance, or a Rather, such funds shall be subject to person who leases an aircraft or other the limitations of 52 U.S.C. 30116(d) and conveyance from the owner or other- 11 CFR 109.32. wise obtains a legal right to the use of [67 FR 50585, Aug. 5, 2002, as amended at 67 an aircraft or other conveyance, and FR 78680, Dec. 26, 2002; 69 FR 68238, Nov. 24, who uses the aircraft or other convey- 2004; 75 FR 31, Jan. 4, 2010; 79 FR 77845, Dec. ance to provide transportation to a 29, 2014] campaign traveler. For a jointly owned or leased aircraft or other conveyance, § 100.90 Ballot access fees. the service provider is the person who Payments made to any party com- makes the aircraft or other conveyance mittee by a candidate or the author- available to the campaign traveler. ized committee of a candidate as a con- (iii) Unreimbursed value means the dition of ballot access are not contribu- difference between the value of the tions. transportation service provided, as set forth in this section, and the amount of § 100.91 Recounts. payment for that transportation service by the political committee or cam- A gift, subscription, loan, advance, or paign traveler to the service provider deposit of money or anything of value within the time limits set forth in this made with respect to a recount of the section. results of a Federal election, or an election contest concerning a Federal (iv) Commercial travel means travel election, is not a contribution except aboard: that the prohibitions of 11 CFR 110.20 (A) An aircraft operated by an air and part 114 apply. carrier or commercial operator certificated by the Federal Aviation Adminis- [67 FR 50585, Aug. 5, 2002, as amended at 67 tration, provided that the flight is re- FR 78680, Dec. 26, 2002] quired to be conducted under Federal Aviation Administration air carrier § 100.92 Candidate debates. safety rules, or, in the case of travel Funds provided to defray costs in- which is abroad, by an air carrier or curred in staging candidate debates in commercial operator certificated by an accordance with the provisions of 11 appropriate foreign civil aviation au- CFR 110.13 and 114.4(f) are not contribu- thority, provided that the flight is re- tions. quired to be conducted under air carrier safety rules; or § 100.93 Travel by aircraft or other (B) Other means of transportation means of transportation. operated for commercial passenger (a) Scope and definitions. (1) This sec- service. tion applies to all campaign travelers (v) Non-commercial travel means travel who use non-commercial travel. aboard any conveyance that is not (2) Campaign travelers who use com- commercial travel, as defined in para- mercial travel, such as a commercial graph (a)(3)(iv) of this section. airline flight, charter flight, taxi, or an (vi) Comparable aircraft means an air- automobile provided by a rental com- craft of similar make and model as the

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aircraft that actually makes the trip, tion resulting. No contribution results with similar amenities as that aircraft. from reimbursement by the media or a (b) General rule. (1) No contribution is government security provider to a po- made by a service provider to a can- litical committee in accordance with didate or political committee if: this paragraph. (i) Every candidate’s authorized com- (c) Travel on aircraft. When a cam- mittee or other political committee on paign traveler uses aircraft for non- behalf of which the travel is conducted commercial travel, other than a gov- pays the service provider, within the ernment aircraft described in para- required time, for the full value of the graph (e) of this section or a candidate transportation, as determined in ac- or family owned aircraft described in cordance with paragraphs (c), (d), (e) or paragraph (g) of this section, reim- (g) of this section, provided to all cam- bursement must be provided no later paign travelers who are traveling on than seven (7) calendar days after the behalf of that candidate or political date the flight began at one of the fol- committee; or lowing rates to avoid the receipt of an (ii) Every campaign traveler for in-kind contribution: whom payment is not made under para- (1) Travel by or on behalf of Senate, graph (b)(1)(i) of this section pays the presidential, or vice-presidential can- service provider for the full value of didates. A Senate, presidential, or vice- the transportation provided to that presidential candidate traveling on his campaign traveler as determined in ac- own behalf, or any person traveling on cordance with paragraphs (c), (d), (e) or behalf of such candidate or the can- (g) of this section. See 11 CFR 100.79 and didate’s authorized committee must 100.139 for treatment of certain unreim- pay the pro rata share per campaign bursed transportation expenses in- traveler of the normal and usual char- curred by individuals traveling on be- ter fare or rental charge for travel on a half of candidates, authorized commit- comparable aircraft of comparable size. tees, and political committees of polit- The pro rata share shall be calculated ical parties. by dividing the normal and usual char- (2) Except as provided in 11 CFR ter fare or rental charge by the number 100.79, the unreimbursed value of trans- of campaign travelers on the flight portation provided to any campaign that are traveling on behalf of such traveler, as determined in accordance candidates or their authorized commit- with paragraphs (c), (d) or (e) of this tees, including members of the news section, is an in-kind contribution media, and security personnel trav- from the service provider to the can- eling with a candidate. No portion of didate or political committee on whose the normal and usual charter fare or behalf, or with whom, the campaign rental charge may be attributed to any traveler traveled. Contributions are campaign travelers that are not trav- subject to the reporting requirements, eling on behalf of such candidates or limitations and prohibitions of the Act. their authorized committees, or any (3) When a candidate is accompanied other passengers, except as permitted by a member of the news media, or by under paragraph (b)(3) of this section. security personnel provided by any (2) Travel by or on behalf of House can- Federal or State government, the news didates and their leadership PACs. Ex- media or government security provider cept as otherwise provided in para- may reimburse the political committee graphs (e) and (g) of this section, a paying for the pro-rata share of the campaign traveler who is a candidate travel by the member of the media or for election for the office of Represent- security personnel, or may pay the ative in, or Delegate or Resident Com- service provider directly for that pro- missioner to, the Congress, or a person rata share, up to the applicable amount traveling on behalf of any such can- set forth in paragraphs (c)(1), (c)(3), (d), didate or any authorized committee or (e), or (g) of this section. A payment leadership PAC of such candidate, is made directly to the service provider prohibited from non-commercial travel may be subtracted from the amount for on behalf of any such candidate or any which the political committee is other- authorized committee or leadership wise responsible without any contribu- PAC of such candidate.

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(3) Other campaign travelers. When a didate, and security personnel, if appli- candidate’s authorized committee pays cable. for a flight pursuant to paragraph (c)(1) (e) Government conveyances—(1) Travel of this section, no payment is required by or on behalf of candidates, their au- from other campaign travelers on that thorized committees, or House candidate flight. Otherwise, a campaign traveler Leadership PACs. If a campaign traveler not covered by paragraphs (c)(1) or traveling on behalf of a candidate, an (c)(2) of this section, including persons authorized committee, or the leader- traveling on behalf of a political party ship PAC of a House candidate uses an committee, separate segregated fund, aircraft that is provided by the Federal nonconnected political committee, or a government, or by a State or local gov- leadership PAC other than a leadership ernment, the campaign traveler, or the PAC of a candidate for election for the political committee on whose behalf office of Representative in, or Delegate the travel is conducted, must pay the or Resident Commissioner to, the Con- government entity, within the time gress, must pay the service provider no specified by that government entity, ei- less than the following for each leg of ther: the trip: (i) The pro rata share per campaign (i) In the case of travel between cities traveler of the normal and usual char- served by regularly scheduled first- ter fare or rental charge for the flight class commercial airline service, the on a comparable aircraft of sufficient lowest unrestricted and non-discounted size to accommodate all campaign first-class airfare; travelers. The pro rata share shall be (ii) In the case of travel between a calculated by dividing the normal and city served by regularly scheduled usual charter fare or rental charge by coach commercial airline service, but the number of campaign travelers on not regularly scheduled first-class the flight that are traveling on behalf commercial airline service, and a city of candidates, authorized committees, served by regularly scheduled coach or House candidate leadership PACs, commercial airline service (with or including members of the news media, without first-class commercial airline and security personnel, if applicable. service), the lowest unrestricted and No portion of the normal and usual non-discounted coach airfare; or charter fare or rental charge may be (iii) In the case of travel to or from a attributed to any other campaign trav- city not served by regularly scheduled elers or any other passengers, except as commercial airline service, the normal permitted under paragraph (b)(3) of and usual charter fare or rental charge this section. For purposes of this para- for a comparable commercial aircraft graph, the comparable aircraft need of sufficient size to accommodate all not accommodate any government-re- campaign travelers, and security per- quired personnel and equipment; or sonnel, if applicable. (ii) The private traveler reimburse- (d) Other means of transportation. If a ment rate, as specified by the govern- campaign traveler uses any means of mental entity providing the aircraft, transportation other than an aircraft, per campaign traveler. including an automobile, or train, or (2) Other campaign travelers. When a boat, the campaign traveler, or the po- candidate’s authorized committee, or a litical committee on whose behalf the House candidate’s leadership PAC pays travel is conducted, must pay the serv- for a flight pursuant to paragraph (e)(1) ice provider within thirty (30) calendar of this section, no payment is required days after the date of receipt of the in- from any other campaign travelers on voice for such travel, but not later that flight. Otherwise, a campaign than sixty (60) calendar days after the traveler not covered by paragraph (e)(1) date the travel began, at the normal of this section, including persons trav- and usual fare or rental charge for a eling on behalf of a political party comparable commercial conveyance of committee, separate segregated fund, sufficient size to accommodate all nonconnected political committee, or a campaign travelers, including members leadership PAC other than a leadership of the news media traveling with a can- PAC of a candidate for the office of

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Representative in, or Delegate or Resi- arrangement, where the travel exceeds dent Commissioner to, the Congress, the candidate’s or immediate family must pay the government entity, with- member’s proportional share of the in the time specified by that govern- ownership interest in the aircraft, the ment entity, either: rate specified in paragraph (c) of this (i) For travel to or from a military section (House candidates are prohib- airbase or other location not accessible ited from engaging in such travel); or to the general public, the lowest unre- (iii) In the case of travel on an air- stricted and non-discounted first-class craft that is not owned or leased under airfare to or from the city with regu- a shared-ownership or other time-share larly scheduled first-class commercial arrangement, the pro rata share per airline service that is geographically campaign traveler of the costs associ- closest to the military airbase or other ated with the trip. Associated costs in- location actually used; or clude, but are not limited to, the cost (ii) For all other travel, in accord- of fuel and crew, and a proportionate ance with paragraph (c)(3) of this section. share of maintenance costs. (3) If a campaign traveler uses a con- (2) A candidate, or an immediate veyance, other than an aircraft, that is family member of the candidate, will provided by the Federal government, or be considered to own or lease an air- by a State or local government, the craft under paragraph (g)(1) of this sec- campaign traveler, or the political tion if the candidate or the immediate committee on whose behalf the travel family member of the candidate has an is conducted, must pay the government ownership interest in an entity that entity in accordance with paragraph owns the aircraft, provided that the en- (d) of this section. tity is not a corporation with publicly (f) Date and public availability of pay- traded shares. ment rate. For purposes of paragraphs (3) A proportional share of the owner- (c), (d), (e), and (g) of this section, the ship interest in an aircraft means the payment rate must be the rate avail- amount of use to which the candidate able to the general public for the dates or immediate family member is enti- traveled or within seven (7) calendar tled under an ownership or lease agree- days thereof. The payment rate must ment. Prior to each flight, the can- be determined by the time the payment didate’s committee must obtain a cer- is due under paragraph (c), (d), (e) or tification from the service provider (g) of this section. that the candidate’s planned use of the (g) Aircraft owned or leased by a can- aircraft will not exceed the candidate’s didate or a candidate’s immediate family or immediate family member’s propor- member. (1) For non-commercial travel tional share of use under the ownership by a candidate, or a person traveling or lease agreement. See paragraph (j) of on behalf of a candidate, on an aircraft this section for related recordkeeping owned or leased by that candidate or requirements. an immediate family member of that (4) For the purposes of this section, candidate, the candidate’s authorized committee must pay: an ‘‘immediate family member’’ of a (i) In the case of travel on an aircraft candidate is the father, mother, son, that is owned or leased under a shared- daughter, brother, sister, husband, ownership or other time-share arrange- wife, father-in-law, or mother-in-law of ment, where the travel does not exceed the candidate. the candidate’s or immediate family (h) Preemption. In all respects, State member’s proportional share of the and local laws are preempted with re- ownership interest in the aircraft, the spect to travel in connection with a hourly, mileage, or other applicable Federal election to the extent they rate charged the candidate, immediate purport to supplant the rates or timing family member, or other service pro- requirements of 11 CFR 100.93. vider for the costs of the travel; or (i) Reporting. (1) In accordance with (ii) In the case of travel on an air- 11 CFR 104.13, a political committee on craft that is owned or leased under a whose behalf the unreimbursed travel shared-ownership or other time-share is conducted must report the receipt of

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an in-kind contribution and the mak- (i) The service provider and the size, ing of an expenditure under paragraph model, make and tail number (or other (b)(2) of this section. unique identifier for military aircraft) (2) When reporting a disbursement of the aircraft used; for travel services in accordance with (ii) An itinerary showing the depar- this section, a political committee on ture and arrival cities and the date(s) whose behalf the travel is conducted of departure and arrival, a list of all must report the actual dates of travel passengers on such trip, along with a for which the disbursement is made in designation of which passengers are the ‘‘purpose of disbursement’’ field. and which are not campaign travelers; (j) Recordkeeping. (1) For travel on and non-commercial aircraft conducted (iii) The lowest unrestricted non-dis- under paragraphs (c)(1), (c)(3)(iii), counted airfare available in accordance (e)(1), or (g) of this section, the polit- with paragraphs (c)(3), (e)(2)(i), and (f) ical committee on whose behalf the of this section, including the airline of- travel is conducted shall maintain doc- fering that fare, flight number, travel umentation of: service, if any, providing that fare, and (i) The service provider and the size, the dates on which the rates are based. model, make and tail number (or other (3) For travel by other conveyances, unique identifier for military aircraft) the political committee on whose be- of the aircraft used; half the travel is conducted shall main- (ii) An itinerary showing the depar- tain documentation of: ture and arrival cities and the date(s) (i) The service provider and the size, of departure and arrival, a list of all model and make of the conveyance passengers on such trip, along with a used; designation of which passengers are (ii) An itinerary showing the depar- and which are not campaign travelers ture and destination locations and the or security personnel; and date(s) of departure and arrival, a list (iii)(A) The rate for the comparable of all passengers on such trip, along charter aircraft available in accord- with a designation of which passengers ance with paragraphs (c), (e) and (f) of are and which are not campaign trav- this section, including the airline, elers or security personnel; and charter or air taxi operator, and travel (iii) The commercial fare or rental service, if any, offering that fare to the charge available in accordance with public, and the dates on which the paragraphs (d) and (f) of this section rates are based; or for a comparable commercial convey- (B) The private traveler reimburse- ance of sufficient size to accommodate ment rate available in accordance with all campaign travelers including mem- paragraph (e)(1)(ii) of this section, and bers of the news media traveling with a the dates on which the rate is based. candidate, and security personnel, if applicable. (iv) Where the travel is aboard an aircraft owned in part by the candidate or [74 FR 63964, Dec. 7, 2009] an immediate family member of the candidate, the ownership or lease § 100.94 Uncompensated Internet ac- agreement specifying the amount of tivity by individuals that is not a use of the aircraft corresponding to the contribution. candidate’s or an immediate family (a) When an individual or a group of member’s ownership interest in the air- individuals, acting independently or in craft, as required by paragraph (g)(1)(i) coordination with any candidate, au- and (ii) and (g)(3) of this section, and thorized committee, or political party the certification required by paragraph committee, engages in Internet activi- (g)(3) of this section. ties for the purpose of influencing a (2) For travel on non-commercial air- Federal election, neither of the fol- craft conducted under paragraph lowing is a contribution by that indi- (c)(3)(i), (c)(3)(ii), or (e)(2)(i) of this sec- vidual or group of individuals: tion, the political committee on whose (1) The individual’s uncompensated behalf the travel is conducted shall personal services related to such Inter- maintain documentation of: net activities;

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(2) The individual’s use of equipment not be attributed to any other indi- or services for uncompensated Internet vidual, unless otherwise specified by activities, regardless of who owns the that other individual. To the extent equipment and services. that a payment made by an individual (b) Internet activities. For the pur- qualifies as a contribution, the provi- poses of this section, the term ‘‘Inter- sions of 11 CFR 110.1(k) shall apply. net activities’’ includes, but is not limited to: Sending or forwarding elec- § 100.111 Gift, subscription, loan, ad- tronic messages; providing a hyperlink vance or deposit of money. or other direct access to another per- (a) A purchase, payment, distribu- son’s Web site; blogging; creating, tion, loan (except for a loan made in maintaining or hosting a Web site; pay- accordance with 11 CFR 100.113 and ing a nominal fee for the use of another 100.114), advance, deposit, or gift of person’s Web site; and any other form money or anything of value, made by of communication distributed over the any person for the purpose of influ- Internet. encing any election for Federal office (c) Equipment and services. For the is an expenditure. purposes of this section, the term (b) For purposes of this section, the ‘‘equipment and services’’ includes, but term payment includes payment of any is not limited to: Computers, software, interest on an obligation and any guar- Internet domain names, Internet Serv- antee or endorsement of a loan by a ice Providers (ISP), and any other candidate or a political committee. technology that is used to provide ac- (c) For purposes of this section, the cess to or use of the Internet. term payment does not include the re- (d) Paragraph (a) of this section also payment by a political committee of applies to any corporation that is the principal of an outstanding obliga- wholly owned by one or more individ- tion that is owed by such committee, uals, that engages primarily in Inter- except that the repayment shall be re- net activities, and that does not derive ported as disbursements in accordance a substantial portion of its revenues with 11 CFR 104.3(b). from sources other than income from (d) For purposes of this section, the its Internet activities. term money includes currency of the (e) This section does not exempt from United States or of any foreign nation, the definition of contribution: checks, money orders, or any other ne- (1) Any payment for a public commu- gotiable instrument payable on de- nication (as defined in 11 CFR 100.26) mand. other than a nominal fee; (e)(1) For purposes of this section, (2) Any payment for the purchase or the term anything of value includes all rental of an e-mail address list made at in-kind contributions. Unless specifi- the direction of a political committee; cally exempted under 11 CFR part 100, or subpart E, the provision of any goods (3) Any payment for an e-mail ad- or services without charge or at a dress list that is transferred to a polit- charge that is less than the usual and ical committee. normal charge for the goods or services is an expenditure. Examples of such [71 FR 18613, Apr. 12, 2006] goods or services include, but are not limited to: Securities, facilities, equip- Subpart D—Definition of ment, supplies, personnel, advertising Expenditure (52 U.S.C. 30101(9)) services, membership lists, and mailing lists. If goods or services are provided SOURCE: 67 FR 50585, Aug. 5, 2002, unless at less than the usual and normal otherwise noted. charge, the amount of the expenditure is the difference between the usual and § 100.110 Scope. normal charge for the goods or services (a) The term expenditure includes at the time of the expenditure and the payments, gifts or other things of amount charged the candidate or polit- value described in this subpart. ical committee. (b) For the purpose of this subpart, a (2) For the purposes of paragraph payment made by an individual shall (e)(1) of this section, usual and normal

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charge for goods means the price of § 100.131 Testing the waters. those goods in the market from which (a) General exemption. Payments made they ordinarily would have been pur- solely for the purpose of determining chased at the time of the expenditure; whether an individual should become a and usual and normal charge for serv- candidate are not expenditures. Exam- ices, other than those provided by an ples of activities permissible under this unpaid volunteer, means the hourly or exemption if they are conducted to de- piecework charge for the services at a termine whether an individual should commercially reasonable rate pre- become a candidate include, but are vailing at the time the services were not limited to, conducting a poll, tele- rendered. phone calls, and travel. Only funds permissible under the Act may be used for § 100.112 Contracts, promises, and such activities. The individual shall agreements to make expenditures. keep records of all such payments. See A written contract, including a 11 CFR 101.3. If the individual subse- media contract, promise, or agreement quently becomes a candidate, the payments made are subject to the report- to make an expenditure is an expendi- ing requirements of the Act. Such ex- ture as of the date such contract, penditures must be reported with the promise or obligation is made. first report filed by the principal campaign committee of the candidate, re- § 100.113 Independent expenditures. gardless of the date the payments were An independent expenditure that made. meets the requirements of 11 CFR 104.4 (b) Exemption not applicable to individ- or part 109 is an expenditure, and such uals who have decided to become can- independent expenditure is to be re- didates. This exemption does not apply ported by the person making the ex- to payments made for activities indi- penditure in accordance with 11 CFR cating that an individual has decided 104.4 and part 109. to become a candidate for a particular office or for activities relevant to con- § 100.114 Office building or facility for ducting a campaign. Examples of ac- national party committees. tivities that indicate that an indi- A payment, distribution, loan, ad- vidual has decided to become a can- vance, or deposit of money or anything didate include, but are not limited to: of value made by, or on behalf of, a na- (1) The individual uses general public tional party committee for the pur- political advertising to publicize his or her intention to campaign for Federal chase or construction of an office office. building or facility is an expenditure. (2) The individual raises funds in excess of what could reasonably be ex- Subpart E—Exceptions to pected to be used for exploratory ac- Expenditures tivities or undertakes activities designed to amass campaign funds that SOURCE: 67 FR 50585, Aug. 5, 2002, unless would be spent after he or she becomes otherwise noted. a candidate. (3) The individual makes or author- § 100.130 Scope. izes written or oral statements that refer to him or her as a candidate for a (a) The term expenditure does not in- particular office. clude payments, gifts, or other things (4) The individual conducts activities of value described in this subpart. in close proximity to the election or (b) For the purpose of this subpart, a over a protracted period of time. payment made by an individual shall (5) The individual has taken action to not be attributed to any other indi- qualify for the ballot under State law. vidual, unless otherwise specified by that other individual. To the extent § 100.132 News story, commentary, or that a payment made by an individual editorial by the media. qualifies as a contribution, the provi- Any cost incurred in covering or car- sions of 11 CFR 110.1(k) shall apply. rying a news story, commentary, or

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editorial by any broadcasting station Form 7 in accordance with 11 CFR (including a cable television operator, 104.6. programmer or producer), Web site, (b) Definition of labor organization. newspaper, magazine, or other peri- For purposes of this section, labor orga- odical publication, including any Inter- nization means an organization of any net or electronic publication, is not an kind (any local, national, or inter- expenditure unless the facility is national union, or any local or State owned or controlled by any political central body of a federation of unions party, political committee, or can- is each considered a separate labor or- didate, in which case the cost for a ganization for purposes of this section) news story: or any agency or employee representa- (a) That represents a bona fide news tive committee or plan, in which em- account communicated in a publica- ployees participate and that exists for tion of general circulation or on a li- the purpose, in whole or in part, of censed broadcasting facility; and dealing with employers concerning (b) That is part of a general pattern grievances, labor disputes, wages, rates of campaign-related news account that of pay, hours of employment, or condi- give reasonably equal coverage to all tions of work. opposing candidates in the circulation (c) Definition of stockholder. For pur- or listening area, is not an expenditure. poses of this section, stockholder means [67 FR 50585, Aug. 5, 2002, as amended at 71 a person who has a vested beneficial in- FR 18613, Apr. 12, 2006] terest in stock, has the power to direct how that stock shall be voted, if it is § 100.133 Voter registration and get- voting stock, and has the right to re- out-the-vote activities. ceive dividends. Any cost incurred for activity de- (d) Definition of executive or adminis- signed to encourage individuals to reg- trative personnel. For purposes of this ister to vote or to vote is not an ex- section, executive or administrative penditure if no effort is or has been personnel means individuals employed made to determine the party or can- by a corporation who are paid on a sal- didate preference of individuals before ary rather than hourly basis and who encouraging them to register to vote or have policymaking, managerial, profes- to vote, except that corporations and sional, or supervisory responsibilities. labor organizations shall engage in (1) This definition includes— such activity in accordance with 11 (i) Individuals who run the corpora- CFR 114.4 (c) and (d). See also 11 CFR tion’s business, such as officers, other 114.3(c)(4). executives, and plant, division, and section managers; and § 100.134 Internal communications by (ii) Individuals following the recog- corporations, labor organizations, nized professions, such as lawyers and and membership organizations. engineers. (a) General provision. Any cost in- (2) This definition does not include— curred for any communication by a (i) Professionals who are represented membership organization, including a by a labor organization; labor organization, to its members, or (ii) Salaried foremen and other sala- any cost incurred for any communica- ried lower level supervisors having dition by a corporation to its stock- rect supervision over hourly employ- holders or executive or administrative ees; personnel, is not an expenditure, ex- (iii) Former or retired personnel who cept that the costs directly attrib- are not stockholders; or utable to such a communication that (iv) Individuals who may be paid by expressly advocates the election or de- the corporation, such as consultants, feat of a clearly identified candidate but who are not employees, within the (other than a communication primarily meaning of 26 CFR 31.3401(c)–(1), of the devoted to subjects other than the ex- corporation for the purpose of the col- press advocacy of the election or defeat lection of, and liability for, employee of a clearly identified candidate) shall, tax under 26 CFR 31.3402(a)–(1). if those costs exceed $2,000 per election, (3) Individuals on commission may be be reported to the Commission on FEC considered executive or administrative

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personnel if they have policymaking, zation, such as a significant invest- managerial, professional, or super- ment or ownership stake; or visory responsibility and if the individ- (2) Pay membership dues at least an- uals are employees, within the mean- nually, of a specific amount predeter- ing of 26 CFR 31.3401(c)–(1), of the cor- mined by the organization; or poration for the purpose of the collec- (3) Have a significant organizational tion of, and liability for, employee tax attachment to the membership organi- under 26 CFR 31.3402(a)–(1). zation that includes: affirmation of (4) The Fair Labor Standards Act, 29 membership on at least an annual basis U.S.C. 201, et seq. and the regulations and direct participatory rights in the issued pursuant to such Act, 29 CFR governance of the organization. For ex- part 541, may serve as a guideline in de- ample, such rights could include the termining whether individuals have right to vote directly or indirectly for policymaking, managerial, profes- at least one individual on the member- sional, or supervisory responsibilities. ship organization’s highest governing (e) Definition of membership organiza- board; the right to vote on policy question. For purposes of this section mem- tions where the highest governing body bership organization means an unincor- of the membership organization is obli- porated association, trade association, gated to abide by the results; the right cooperative, corporation without cap- to approve the organization’s annual ital stock, or a local, national, or budget; or the right to participate di- international labor organization that: rectly in similar aspects of the organi- (1) Is composed of members, some or zation’s governance. all of whom are vested with the power (g) Additional considerations in deter- and authority to operate or administer mining membership. Notwithstanding the organization, pursuant to the orga- the requirements of paragraph (f) of nization’s articles, bylaws, constitu- this section, the Commission may de- tion or other formal organizational termine, on a case-by-case basis, that documents; persons who do not precisely meet the requirements of the general rule, but (2) Expressly states the qualifications have a relatively enduring and inde- and requirements for membership in its pendently significant financial or orga- articles, bylaws, constitution or other nizational attachment to the organiza- formal organizational documents; tion, may be considered members for (3) Makes its articles, bylaws, con- purposes of this section. For example, stitution or other formal organiza- student members who pay a lower tional documents available to its mem- amount of dues while in school, long bers; term dues paying members who qualify (4) Expressly solicits persons to be- for lifetime membership status with come members; little or no dues obligation, and retired (5) Expressly acknowledges the ac- members may be considered members ceptance of membership, such as by of the organization. sending a membership card or includ- (h) Members of local unions. Notwith- ing the member’s name on a member- standing the requirements of para- ship newsletter list; and graph (f) of this section, members of a (6) Is not organized primarily for the local union are considered to be mem- purpose of influencing the nomination bers of any national or international for election, or election, of any indi- union of which the local union is a part vidual for Federal office. and of any federation with which the (f) Definition of members. For purposes local, national, or international union of this section, the term members in- is affiliated. cludes all persons who are currently (i) National federation structures. In satisfying the requirements for mem- the case of a membership organization bership in a membership organization, that has a national federation struc- affirmatively accept the membership ture or has several levels, including, organization’s invitation to become a for example, national, state, regional member, and either: and/or local affiliates, a person who (1) Have some significant financial qualifies as a member of any entity attachment to the membership organi- within the federation or of any affiliate

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by meeting the requirements of para- political committee of a political party graphs (f)(1), (2), or (3) of this section for party-related activity. For the pur- shall also qualify as a member of all af- poses of this section, an individual’s filiates for purposes of paragraphs (d) residential premises shall include a through (i) of this section. The factors recreation room in a residential com- set forth at 11 CFR 100.5(g)(2), (3) and plex where the individual volunteering (4) shall be used to determine whether services resides, provided that the entities are affiliated for purposes of room is available for use without re- this paragraph. gard to political affiliation. A nominal (j) Non-applicability of state law in de- fee paid by such individual for the use termining status of membership organizations. The status of a membership orga- of such room is not an expenditure. nization, and of members, for purposes § 100.136 Use of a church or a commu- of this section, shall be determined nity room. pursuant to paragraphs (d) through (i) of this section and not by provisions of No expenditure results where an indi- state law governing unincorporated as- vidual, in the course of volunteering sociations, trade associations, coopera- personal services to any candidate or tives, corporations without capital political committee of a political stock, or labor organizations. party, obtains the use of a church or (k) Definition of election. For purposes community room and provides such of this section, election means two sepa- room to any candidate for candidate- rate processes in a calendar year, to related activity or to any political each of which the $2,000 threshold de- committee of a political party for scribed above applies separately. The party-related activity, provided that first process is comprised of all pri- the room is used on a regular basis by mary elections for Federal office, members of the community for non- whenever and wherever held; the sec- commercial purposes and the room is ond process is comprised of all general available for use by members of the elections for Federal office, whenever community without regard to political and wherever held. The term election affiliation. A nominal fee paid by such shall also include each special election held to fill a vacancy in a Federal of- individual for the use of such room is fice (11 CFR 100.2(f)) or each runoff not an expenditure. election (11 CFR 100.2(d)). (l) Definition of corporation. For pur- § 100.137 Invitations, food, and beverages. poses of this section, corporation means any separately incorporated entity, The cost of invitations, food, and whether or not affiliated. beverages is not an expenditure where (m) Reporting. When the aggregate such items are voluntarily provided by costs under this section exceed $2,000 an individual in rendering voluntary per election, all costs of the commu- personal services on the individual’s nication(s) shall be reported on the fil- residential premises or in a church or ing dates specified in 11 CFR 104.6, and community room as specified at 11 CFR shall include the total amount ex- 100.135 and 100.136 to a candidate for pended for each candidate supported. candidate-related activity or to a polit- [67 FR 50585, Aug. 5, 2002, as amended at 79 ical committee of a political party for FR 16663, Mar. 26, 2014] party-related activity, to the extent that: The aggregate value of such invi- § 100.135 Use of a volunteer’s real or tations, food and beverages provided by personal property. the individual on behalf of the can- No expenditure results where an indi- didate does not exceed $1,000 with re- vidual, in the course of volunteering spect to any single election; and on be- personal services on his or her residen- half of all political committees of each tial premises to any candidate or polit- political party does not exceed $2,000 in ical committee of a political party, any calendar year. provides the use of his or her real or personal property to such candidate for [67 FR 50585, Aug. 5, 2002, as amended at 79 candidate-related activity or to such FR 77845, Dec. 29, 2014]

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§ 100.138 Sale of food and beverages by tions and prohibitions of the Act. If vendor. made by a political party committee, The sale of any food or beverage by a such payments shall be reported by vendor (whether incorporated or not) that committee as disbursements, but for use in a candidate’s campaign, or need not be allocated in committee re- for use by a political committee of a ports to specific candidates. This ex- political party, at a charge less than emption shall not apply to costs in- the normal or comparable commercial curred by such a committee with re- charge, is not an expenditure, provided spect to the preparation and display of that the charge is at least equal to the listings made on broadcasting stations, cost of such food or beverage to the or in newspapers, magazines, and simi- vendor, to the extent that: The aggre- lar types of general public political ad- gate value of such discount given by vertising such as billboards. But see 11 the vendor on behalf of any single can- CFR 100.24, 104.17(a), and part 300, sub- didate does not exceed $1,000 with re- part B for exempt activities that also spect to any single election; and on be- constitute Federal election activity. half of all political committees of each § 100.141 Payment by corporations and political party does not exceed $2,000 in labor organizations. a calendar year. Any payment made or obligation in- § 100.139 Unreimbursed payment for curred by a corporation or labor orga- transportation and subsistence ex- nization is not an expenditure if under penses. the provisions of 11 CFR part 114 such (a) Transportation expenses. Any unre- payment or obligation would not con- imbursed payment for transportation stitute an expenditure by the corpora- expenses incurred by any individual on tion or labor organization. behalf of any candidate or political committee of a political party is not an § 100.142 Bank loans. expenditure to the extent that: (a) General provisions. Repayment of a (1) The aggregate value of the pay- loan of money to a candidate or a polit- ments made by such individual on be- ical committee by a State bank, a fed- half of a candidate does not exceed erally chartered depository institution $1,000 with respect to a single election; (including a national bank) or a deposi- and tory institution whose deposits and ac- (2) On behalf of all political commit- counts are insured by the Federal De- tees of each political party does not ex- posit Insurance Corporation or the Na- ceed $2,000 in a calendar year. tional Credit Union Administration is (b) Subsistence expenses. Any unreim- not an expenditure by the lending in- bursed payment from a volunteer’s per- stitution if such loan is made in ac- sonal funds for usual and normal sub- cordance with applicable banking laws sistence expenses incident to volunteer and regulations and is made in the or- activity is not an expenditure. dinary course of business. A loan will be deemed to be made in the ordinary § 100.140 Slate cards and sample bal- course of business if it: lots. (1) Bears the usual and customary in- The payment by a State or local terest rate of the lending institution committee of a political party of the for the category of loan involved; costs of preparation, display, or mail- (2) Is made on a basis that assures re- ing or other distribution incurred by payment; such committee with respect to a (3) Is evidenced by a written instru- printed slate card, sample ballot, palm ment; and card, or other printed listing(s) of three (4) Is subject to a due date or amorti- or more candidates for any public of- zation schedule. fice for which an election is held in the (b) Reporting. Such loans shall be re- State in which the committee is orga- ported by the political committee in nized is not an expenditure. The pay- accordance with 11 CFR 104.3(a) and (d). ment of the portion of such costs allo- (c) Endorsers and guarantors. Each en- cable to Federal candidates must be dorser or guarantor shall be deemed to made from funds subject to the limita- have contributed that portion of the

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total amount of the loan for which he ceed the contribution limits of 11 CFR or she agreed to be liable in a written part 110 or contravene the prohibitions agreement, except that, in the event of of 11 CFR 110.4, 110.20, part 114 and part a signature by the candidate’s spouse, 115; or the provisions of 11 CFR 100.52(b)(4) (2) The lending institution making shall apply. Any reduction in the un- the loan has obtained a written agree- paid balance of the loan shall reduce ment whereby the candidate or polit- proportionately the amount endorsed ical committee receiving the loan has or guaranteed by each endorser or pledged future receipts, such as public guarantor in such written agreement. financing payments under 11 CFR part In the event that the loan agreement 9001 through part 9012 or part 9031 does not stipulate the portion of the through 9039, contributions, or interest loan for which each endorser or guarantor is liable, the loan shall be consid- income, provided that: ered an expenditure by each endorser (i) The amount of the loan(s) ob- or guarantor in the same proportion to tained the basis of such funds does not the unpaid balance that each endorser exceed the amount of pledged funds; or guarantor bears to the total number (ii) Loan amounts are based on a rea- of endorsers or guarantors. sonable expectation of the receipt of (d) Overdrafts. For the purpose of this pledged funds. To that end, the can- section, repayment of an overdraft didate or political committee must fur- made on a checking or savings account nish the lending institution docu- of a political committee shall be con- mentation, i.e., cash flow charts or sidered an expenditure unless: other financial plans, that reasonably (1) The overdraft is made on an ac- establish that such future funds will be count that is subject to automatic available; overdraft protection; and (iii) A separate depository account is (2) The overdraft is subject to a defi- established at the lending institution nite interest rate and a definite repay- or the lender obtains an assignment ment schedule. from the candidate or political com- (e) Made on a basis that assures repay- mittee to access funds in a committee ment. A loan, including a line of credit, account at another depository institu- shall be considered made on a basis tion that meets the requirements of 11 that assures repayment if it is obtained using either of the sources of repay- CFR 103.2, and the committee has noti- ment described in paragraphs (e)(1) or fied the other institution of this as- (2) of this section, or a combination of signment; paragraphs (e)(1) or (2) of this section: (iv) The loan agreement requires the (1)(i) The lending institution making deposit of the public financing pay- the loan has perfected a security inter- ments, contributions, interest or other est in collateral owned by the can- income pledged as collateral into the didate or political committee receiving separate depository account for the the loan; the fair market value of the purpose of retiring the debt according collateral is equal to or greater than to the repayment requirements of the the loan amount and any senior liens loan; and as determined on the date of the loan; (v) In the case of public financing and the candidate or political com- payments, the borrower authorizes the mittee provides documentation to show Secretary of the Treasury to directly that the lending institution has a per- deposit the payments into the deposi- fected security interest in the collat- tory account for the purpose of retiring eral. Sources of collateral include, but the debt. are not limited to, ownership in real (3) If the requirements set forth in estate, personal property, goods, nego- paragraph (e) of this section are not tiable instruments, certificates of deposit, chattel papers, stocks, accounts met, the Commission will consider the receivable and cash on deposit. totality of circumstances on a case-by- (ii) Amounts guaranteed by sec- case basis in determining whether a ondary sources of repayment, such as loan was made on a basis that assures guarantors and cosigners, shall not ex- repayment.

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(f) This section shall not apply to seq. and 9032 et seq. For purposes of this loans described in 11 CFR 100.83 and section, a partnership shall be deemed 100.143. to be the regular employer of a part- [67 FR 50585, Aug. 5, 2002, as amended at 67 ner. Amounts paid by the regular em- FR 78680, Dec. 26, 2002] ployer for these services shall be reported by the committee receiving § 100.143 Brokerage loans and lines of such services in accordance with 11 credit to candidates. CFR 104.3(h). Expenditures for these Repayment of a loan of money de- services by a candidate certified to re- rived from an advance on a candidate’s ceive Primary Matching Funds under brokerage account, credit card, home 11 CFR part 9034 do not count against equity line of credit, or other line of such candidate’s expenditure limita- credit available to the candidate, as de- tions under 11 CFR part 9035 or 11 CFR scribed in 11 CFR 100.83, is not an ex- 110.8. Unless paid for with federal funds penditure. received pursuant to 11 CFR part 9005, disbursements for these services by a § 100.144 Office building for State, candidate who is certified to receive local, or district party committees payments from the Presidential Elec- or organizations. tion Campaign Fund under 11 CFR part A payment, distribution, loan, ad- 9005 do not count against that can- vance, or deposit of money or anything didate’s expenditure limitations under of value, made by, or on behalf of, a 11 CFR 110.8. State, local, or district party committee or organization for the purchase § 100.147 Volunteer activity for party or construction of an office building in committees. accordance with 11 CFR 300.35 is not an The payment by a state or local com- expenditure. mittee of a political party of the costs of campaign materials (such as pins, § 100.145 Legal or accounting services to political party committees. bumper stickers, handbills, brochures, posters, party tabloids or newsletters, Legal or accounting services ren- and yard signs) used by such com- dered to or on behalf of any political mittee in connection with volunteer committee of a political party are not activities on behalf of any nominee(s) expenditures if the person paying for of such party is not an expenditure, such services is the regular employer of provided that the following conditions the individual rendering the services are met: and such services are not attributable to activities that directly further the (a) Exemption does not apply to general election of any designated candidate public communications or political adver- for Federal office. For purposes of this tising. Such payment is not for costs in- section, a partnership shall be deemed curred in connection with any broad- to be the regular employer of a part- casting, newspaper, magazine, bill- ner. Amounts paid by the regular em- board, direct mail, or similar type of ployer for such services shall be re- general public communication or polit- ported by the committee receiving ical advertising. For the purposes of such services in accordance with 11 this paragraph, the term direct mail CFR 104.3(h). means any mailing(s) by a commercial vendor or any mailing(s) made from § 100.146 Legal or accounting services commercial lists. to other political committees. (b) Allocation. The portion of the cost Legal or accounting services ren- of such materials allocable to Federal dered to or on behalf of an authorized candidates is paid from contributions committee of a candidate or any other subject to the limitations and prohibi- political committee are not expendi- tions of the Act. But see 11 CFR part 300 tures if the person paying for such for exempt activities that also con- services is the regular employer of the stitute Federal election activity. individual rendering such services and (c) Contributions designated for Federal if the services are solely to ensure com- candidates. Such payment is not made pliance with the Act or 26 U.S.C. 9001 et from contributions designated by the

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donor to be spent on behalf of a par- candidate’s campaign materials that ticular candidate or candidates for include information on or any ref- Federal office. For purposes of this erence to a candidate for Federal office paragraph, a contribution shall not be and that are used in connection with considered a designated contribution if volunteer activities (such as pins, the party committee disbursing the bumper stickers, handbills, brochures, funds makes the final decision regard- posters, and yard signs) is not an ex- ing which candidate(s) shall receive the penditure on behalf of such candidate benefit of such disbursement. for Federal office, provided that the (d) Distribution of materials by volun- payment is not for the use of broad- teers. Such materials are distributed by casting, newspapers, magazines, bill- volunteers and not by commercial or boards, direct mail or similar types of for-profit operations. For the purposes general public communication or polit- of this paragraph, payments by the party organization for travel and sub- ical advertising. The payment of the sistence or customary token payments portion of the cost of such materials to volunteers do not remove such indi- allocable to Federal candidates shall be viduals from the volunteer category. made from contributions subject to the (e) Reporting. If made by a political limitations and prohibitions of the Act. party committee, such payments shall For purposes of this section, the term be reported by that committee as dis- direct mail means mailings by com- bursements, in accordance with 11 CFR mercial vendors or mailings made from 104.3, but need not be allocated to spe- lists that were not developed by the cific candidates in committee reports. candidate. But see 11 CFR 100.24, (f) State candidates and their campaign 104.17(a), and part 300, subparts D and E committees. Payments by a State can- for exempt activities that also con- didate or his or her campaign com- stitute Federal election activity. mittee to a State or local political party committee for the State can- § 100.149 Voter registration and get- didate’s share of expenses for such out-the-vote activities for Presi- campaign materials are not expendi- dential candidates. tures, provided the amount paid by the The payment by a State or local State candidate or his or her com- committee of a political party of the mittee does not exceed his or her pro- costs of voter registration and get-out- portionate share of the expenses. the-vote activities conducted by such (g) Exemption not applicable to cam- committee on behalf of the Presi- paign materials purchased by national dential and Vice Presidential nomi- party committees. Campaign materials nee(s) of that party is not an expendi- purchased by the national committee ture for the purpose of influencing the of a political party and delivered to a election of such candidates provided State or local party committee, or ma- that the following conditions are met: terials purchased with funds donated by the national committee to such (a) Exemption not applicable to general State or local committee for the pur- public communication or political adver- chase of such materials, shall not qual- tising. Such payment is not for the ify under this exemption. Rather, the costs incurred in connection with any cost of such materials shall be subject broadcasting, newspaper, magazine, to the limitations of 52 U.S.C. 30116(d) billboard, direct mail, or similar type and 11 CFR 109.32. of general public communication or political advertising. For purposes of this [67 FR 50585, Aug. 5, 2002, as amended at 67 paragraph, the term direct mail means FR 78680, Dec. 26, 2002; 79 FR 77845, Dec. 29, 2014] any mailing(s) by a commercial vendor or any mailing(s) made from commer- § 100.148 Volunteer activity for can- cial lists. didate. (b) Allocation. The portion of the The payment by a candidate for any costs of such activities allocable to public office (including State or local Federal candidates is paid from con- office), or by such candidate’s author- tributions subject to the limitations ized committee, of the costs of that and prohibitions of the Act. But see 11

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CFR 100.24, 104.17(a), and part 300, sub- and get-out-the-vote activities shall part B for exempt activities that also not qualify under this exemption. constitute Federal election activity. Rather, such funds shall be subject to (c) Contributions designated for Federal the limitations of 52 U.S.C. 30116(d) and candidates. Such payment is not made 11 CFR 109.32. from contributions designated to be spent on behalf of a particular can- [67 FR 50585, Aug. 5, 2002, as amended at 67 FR 78680, Dec. 26, 2002; 69 FR 68238, Nov. 24, didate or candidates for Federal office. 2004; 79 FR 77845, Dec. 29, 2014] For the purposes of this paragraph, a contribution shall not be considered a § 100.150 Ballot access fees. designated contribution if the party committee disbursing the funds makes Amounts transferred by a party com- the final decision regarding which can- mittee to another party committee or didate(s) shall receive the benefit of payments made to the appropriate such disbursement. State official of fees collected from (d) References to House or Senate can- candidates or their authorized commit- didates. For purposes of this section, if tees as a condition of ballot access are such activities include references to not expenditures. any candidate(s) for the House or Sen- ate, the costs of such activities that § 100.151 Recounts. are allocable to that candidate(s) shall A purchase, payment, distribution, be an expenditure on behalf of such loan, advance, or deposit of money or candidate(s) unless the mention of such anything of value made with respect to candidate(s) is merely incidental to the a recount of the results of a Federal overall activity. election, or an election contest con- (e) Phone banks. For purposes of this cerning a Federal election, is not an section, payment of the costs incurred expenditure except that the prohibi- in the use of phone banks in connection tions of 11 CFR 110.20 and part 114 with voter registration and get-out- apply. the-vote activities is not an expenditure when such phone banks are oper- [67 FR 50585, Aug. 5, 2002, as amended at 67 ated by volunteer workers. The use of FR 78680, Dec. 26, 2002] paid professionals to design the phone § 100.152 Fundraising costs for Presi- bank system, develop calling instruc- dential candidates. tions and train supervisors is permissible. The payment of the costs of such (a) Costs incurred in connection with professional services is not an expendi- the solicitation of contributions. Any ture but shall be reported as a dis- costs incurred by a candidate or his or bursement in accordance with 11 CFR her authorized committee(s) in connec- 104.3 if made by a political committee. tion with the solicitation of contribu- (f) Reporting of payments for voter reg- tions are not expenditures if incurred istration and get-out-the-vote activities. If by a candidate who has been certified made by a political committee, such to receive Presidential Primary Match- payments for voter registration and ing Fund Payments, or by a candidate get-out-the-vote activities shall be re- who has been certified to receive gen- ported by that committee as disburse- eral election public financing under 26 ments, in accordance with 11 CFR 104.3 U.S.C. 9004 and who is soliciting con- but such payments need not be allo- tributions in accordance with 26 U.S.C. cated to specific candidates in com- 9003(b)(2) or 9003(c)(2) to the extent that mittee reports except as provided in the aggregate of such costs does not ex- paragraph (d) of this section. ceed 20 percent of the expenditure limi- (g) Exemption not applicable to dona- tation applicable to the candidate. tions by a national committee of a polit- These costs shall, however, be reported ical party to a State or local party com- as disbursements pursuant to 11 CFR mittee for voter registration and get-out- part 104. the-vote activities. Payments made from (b) Definition of in connection with the funds donated by a national committee solicitation of contributions. For a can- of a political party to a State or local didate who has been certified to receive party committee for voter registration general election public financing under

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26 U.S.C. 9004 and who is soliciting con- § 100.155 Uncompensated Internet ac- tributions in accordance with 26 U.S.C. tivity by individuals that is not an 9003(b)(2) or 9003(c)(2), in connection expenditure. with the solicitation of contributions (a) When an individual or a group of means any cost reasonably related to individuals, acting independently or in fundraising activity, including the coordination with any candidate, au- costs of printing and postage, the pro- thorized committee, or political party duction of and space or air time for, ad- committee, engages in Internet activi- vertisements used for fundraising, and ties for the purpose of influencing a the costs of meals, beverages, and Federal election, neither of the fol- other costs associated with a fund- lowing is an expenditure by that indi- raising reception or dinner. vidual or group of individuals: (c) Limitation on costs that may be ex- (1) The individual’s uncompensated empted. For a candidate who has been personal services related to such Inter- certified to receive Presidential Pri- net activities; mary Matching Fund Payments, the (2) The individual’s use of equipment costs that may be exempted as fund- or services for uncompensated Internet raising expenses under this section activities, regardless of who owns the shall not exceed 20% of the overall ex- equipment and services. penditure limitation under 11 CFR (b) Internet activities. For the pur- 9035.1, and shall equal the total of: poses of this section, the term ‘‘Inter- (1) All amounts excluded from the net activities’’ includes, but is not lim- state expenditure limitations for ex- ited to: Sending or forwarding elec- empt fundraising activities under 11 tronic messages; providing a hyperlink CFR 110.8(c)(2), plus or other direct access to another per- (2) An amount of costs that would son’s website; blogging; creating main- otherwise be chargeable to the overall taining or hosting a website; paying a expenditure limitation but that are not nominal fee for the use of another per- chargeable to any state expenditure son’s website; and any other form of limitation, such as salary and travel communication distributed over the expenses. See 11 CFR 106.2. Internet. (c) Equipment and services. For the § 100.153 Routine living expenses. purposes of this section, the term Payments by a candidate from his or ‘‘equipment and services’’ includes, but her personal funds, as defined at 11 is not limited to: Computers, software, CFR 100.33, for the candidate’s routine Internet domain names, Internet Serv- living expenses that would have been ice Providers (ISP), and any other incurred without candidacy, including technology that is used to provide ac- the cost of food and residence, are not cess to or use of the Internet. expenditures. Payments for such ex- (d) Paragraph (a) of this section also penses by a member of the candidate’s applies to any corporation that is family as defined in 11 CFR 113.1(g)(7), wholly owned by one or more individ- are not expenditures if the payments uals, that engages primarily in Inter- are made from an account jointly held net activities, and that does not derive with the candidate, or if the expenses a substantial portion of its revenues were paid by the family member before from sources other than income from the candidate became a candidate. its Internet activities. [67 FR 50585, Aug. 5, 2002, as amended at 73 (e) This section does not exempt from FR 79601, Dec. 30, 2008] the definition of expenditure: (1) Any payment for a public commu- § 100.154 Candidate debates. nication (as defined in 11 CFR 100.26) Funds used to defray costs incurred other than a nominal fee; in staging candidate debates in accord- (2) Any payment for the purchase or ance with the provisions of 11 CFR rental of an e-mail address list made at 110.13 and 114.4(f) are not expenditures. the direction of a political committee; or

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(3) Any payment for an e-mail ad- shall file such designations at the place dress list that is transferred to a polit- of filing specified at 11 CFR part 105. ical committee. [45 FR 15103, Mar. 7, 1980, as amended at 45 [71 FR 18613, Apr. 12, 2006] FR 21209, Apr. 1, 1980; 65 FR 38422, June 21, 2000; 68 FR 3995, Jan. 27, 2003; 73 FR 79601, PART 101—CANDIDATE STATUS Dec. 30, 2008] AND DESIGNATIONS (52 U.S.C. § 101.2 Candidate as agent of author- 30102(e)) ized committee (52 U.S.C. 30102(e)(2)). Sec. 101.1 Candidate designations (52 U.S.C. (a) Any candidate who receives a con- 30102(e)(1)). tribution as defined at 11 CFR part 100, 101.2 Candidate as agent of authorized com- subparts B and C obtains any loan, or mittee (52 U.S.C. 30102(e)(2)). makes any disbursement, in connection 101.3 Funds received or expended prior to becoming a candidate (52 U.S.C. with his or her campaign shall be con- 30102(e)(2)). sidered as having received such contribution, obtained such loan or made AUTHORITY: 52 U.S.C. 30102(e), 30104(a)(11), and 30111(a)(8). such disbursement as an agent of his or her authorized committee(s). § 101.1 Candidate designations (52 (b) When an individual becomes a U.S.C. 30102(e)(1)). candidate, any funds received, loans (a) Principal Campaign Committee. obtained, or disbursements made prior Within 15 days after becoming a can- to becoming a candidate in connection didate under 11 CFR 100.3, each can- with his or her campaign shall be didate, other than a nominee for the of- deemed to have been received, obtained fice of Vice President, shall designate or made as an agent of his or her au- in writing, a principal campaign com- thorized committee(s). mittee in accordance with 11 CFR 102.12. A candidate shall designate his [45 FR 15103, Mar. 7, 1980, as amended at 67 or her principal campaign committee FR 78680, Dec. 26, 2002] by filing a Statement of Candidacy on FEC Form 2, or, if the candidate is not § 101.3 Funds received or expended required to file electronically under 11 prior to becoming a candidate (52 U.S.C. 30102(e)(2)). CFR 104.18, by filing a letter containing the same information (that is, the indi- When an individual becomes a can- vidual’s name and address, party affili- didate, all funds received or payments ation, and office sought, the District made in connection with activities and State in which Federal office is conducted under 11 CFR 100.72(a) and 11 sought, and the name and address of CFR 100.131(a) or his or her campaign his or her principal campaign com- prior to becoming a candidate shall be mittee at the place of filing specified considered contributions or expendi- at 11 CFR part 105). Each principal tures under the Act and shall be re- campaign committee shall register, ported in accordance with 11 CFR 104.3 designate a depository, and report in in the first report filed by such can- accordance with 11 CFR parts 102, 103, didate’s principal campaign com- and 104. mittee. The individual shall keep (b) Authorized committees. A candidate records of the name of each contrib- may designate additional political utor, the date of receipt and amount of committees in accordance with 11 CFR all contributions received (see 11 CFR 102.13 to serve as committees which 102.9(a)), and all expenditures made will be authorized to accept contribu- (see 11 CFR 102.9(b)) in connection with tions or make expenditures on behalf of activities conducted under 11 CFR the candidate. For each such author- 100.72 and 11 CFR 100.131 or the individ- ized committee, other than a principal ual’s campaign prior to becoming a campaign committee, the candidate candidate. shall file a written designation with his or her principal campaign committee. [50 FR 9995, Mar. 13, 1985, as amended at 67 The principal campaign committee FR 78680, Dec. 26, 2002; 75 FR 31, Jan. 4, 2010]

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PART 102—REGISTRATION, ORGA- one Statement of Organization in ac- NIZATION, AND RECORDKEEPING cordance with 11 CFR 102.2 no later BY POLITICAL COMMITTEES (52 than 10 days after designation pursuant U.S.C. 30103) to 11 CFR 101.1. Such Statement(s) shall be filed with the principal cam- Sec. paign committee of the authorizing 102.1 Registration of political committees candidate. (52 U.S.C. 30103(a)). (c) Separate segregated funds. Each 102.2 Statement of organization: Forms and separate segregated fund established committee identification number (52 under 52 U.S.C. 30118(b)(2)(C) shall file a U.S.C. 30103(b), (c)). Statement of Organization with the 102.3 Termination of registration (52 U.S.C. 30103(d)(1)). Federal Election Commission no later 102.4 Administrative termination (52 U.S.C. than 10 days after establishment. This 30103(d)(2)). requirement shall not apply to a fund 102.5 Organizations financing political ac- established solely for the purpose of fi- tivity in connection with Federal and nancing political activity in connec- non-Federal elections, other than tion with State or local elections. Ex- through transfers and joint fundraisers: amples of establishment events after Accounts and accounting. 102.6 Transfers of funds; collecting agents. which a fund would be required to reg- 102.7 Organization of political committees ister include, but are not limited to: A (52 U.S.C. 30102(a)). vote by the board of directors or com- 102.8 Receipt of contributions (52 U.S.C. parable governing body of an organiza- 30102(b)). tion to create a separate segregated 102.9 Accounting for contributions and ex- fund to be used wholly or in part for penditures (52 U.S.C. 30102(c)). federal elections; selection of initial of- 102.10 Disbursement by check (52 U.S.C. 30102(h)(1)). ficers to administer such a fund; or 102.11 Petty cash fund (52 U.S.C. 30102(h)(2)). payment of the initial operating ex- 102.12 Designation of principal campaign penses of such a fund. committee (52 U.S.C. 30102(e)(1) and (3)). (d) Other political committees. All 102.13 Authorization of political commit- other committees shall file a State- tees (52 U.S.C. 30102(e)(1) and (3)). ment of Organization no later than 10 102.14 Names of political committees (52 U.S.C. 30102(e)(4) and (5)). days after becoming a political com- 102.15 Commingled funds (52 U.S.C. mittee within the meaning of 11 CFR 30102(b)(3)). 100.5. Such statement(s) shall be filed 102.16 Notice: Solicitation of contributions at the place of filing specified at 11 (52 U.S.C. 30120). CFR part 105. 102.17 Joint fundraising by committees other than separate segregated funds. [45 FR 15104, Mar. 7, 1980, as amended at 79 FR 77845, Dec. 29, 2014] AUTHORITY: 52 U.S.C. 30102, 30103, 30104(a)(11), 30111(a)(8), and 30120. § 102.2 Statement of organization: SOURCE: 45 FR 15104, Mar. 7, 1980, unless Forms and committee identification otherwise noted. number (52 U.S.C. 30103(b), (c)). § 102.1 Registration of political com- (a) Forms. (1) The Statement of Orga- mittees (52 U.S.C. 30103(a)). nization shall be filed in accordance (a) Principal campaign committees. with 11 CFR part 105 on Federal Elec- Each principal campaign committee tion Commission Form 1, which may be shall file a Statement of Organization obtained from the Federal Election in accordance with 11 CFR 102.2 no Commission, 999 E Street, NW., Wash- later than 10 days after designation ington, DC 20463. The Statement shall pursuant to 11 CFR 101.1. In addition, be signed by the treasurer and shall in- each principal campaign committee clude the following information: shall file all designations, statements (i) The name, address, and type of and reports which are filed with such committee; committee at the place of filing speci- (ii) The name, address, relationship, fied at 11 CFR part 105. and type of any connected organization (b) Authorized committees. Each au- or affiliated committee in accordance thorized committee(s) shall file only with 11 CFR 102.2(b);

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(iii) The name, address, and committees that have been authorized by mittee position of the custodian of its candidate. Authorized committees books and accounts of the committee; need only disclose the name of their (iv) The name and address of the principal campaign committee. treasurer of the committee; (ii)(A) Political committees estab- (v) If the committee is authorized by lished by a single parent corporation, a a candidate, the name, office sought single national or international union, (including State and Congressional dis- a single organization or federation of trict, when applicable) and party affili- national or international unions, a sin- ation of the candidate; and the address gle national membership organization to which communications should be or trade association, or any other simi- sent; lar group of persons (other than polit- (vi) A listing of all banks, safe deposit boxes, or other depositories used ical party organizations) are required by the committee; to disclose the names and addresses of (vii) The Internet address of the com- all political committees established by mittee’s official web site, if such a web any subsidiary, or by any State, local, site exists. If the committee is required or other subordinate unit of a national to file electronically under 11 CFR or international union or federation 104.18, its electronic mail address, if thereof, or by any subordinate units of such an address exists; and a national membership organization, (viii) If the committee is a principal trade association, or other group of campaign committee of a candidate for persons (other than political party or- the Senate or the House of Representa- ganizations). tives, the principal campaign commit- (B) Political committees established tee’s electronic mail address. by subsidiaries, or by State, local, or (2) Any change or correction in the other subordinate units are only re- information previously filed in the quired to disclose the name and address Statement of Organization shall be re- of each political committee established ported no later than 10 days following by their parent or superior body, e.g., the date of the change or correction by parent corporation, national or inter- filing an amended Statement of Orga- national union or organization or fed- nization or, if the political committee eration of such unions, or national or- is not required to file electronically ganization or trade association. under 11 CFR 104.18, by filing a letter noting the change(s). The amendment (2) Connected organization includes need list only the name of the political any organization defined at 11 CFR committee and the change or correc- 100.6. tion. (c) Committee identification number. (3) A committee shall certify to the Upon receipt of a Statement of Organi- Commission that it has satisfied the zation under 11 CFR part 102 by the criteria for becoming a multicandidate Commission, an identification number committee set forth at 11 CFR shall be assigned to the committee, re- 100.5(e)(3) by filing FEC Form 1M no ceipt shall be acknowledged, and the later than ten (10) calendar days after political committee shall be notified of qualifying for multicandidate com- the number assigned. This identifica- mittee status. tion number shall be entered by the po- (b) For purposes of 11 CFR litical committee on all subsequent re- 102.2(a)(1)(ii), political committees ports or statements filed under the shall disclose the names of any con- Act, as well as on all communications nected organization(s) or affiliated concerning reports and statements. committee(s) in accordance with 11 CFR 102.2(b) (1) and (2). [45 FR 15104, Mar. 7, 1980, as amended at 50 (1) Affiliated committee includes any FR 50778, Dec. 12, 1985; 54 FR 34109, Aug. 17, committee defined in 11 CFR 100.5(g), 1989; 54 FR 48580, Nov. 24, 1989; 58 FR 42173, 110.3(a) or (b), or 110.14(j) or (k). Aug. 6, 1993; 65 FR 38422, June 21, 2000; 68 FR (i) A principal campaign committee 3995, Jan. 27, 2003; 68 FR 64516, Nov. 14, 2003; 68 FR 67018, Dec. 1, 2003; 73 FR 79601, Dec. 30, is required to disclose the names and 2008] addresses of all other authorized com-

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§ 102.3 Termination of registration (52 (1) The committee’s aggregate re- U.S.C. 30103(d)(1)). ported financial activity in one year is (a)(1) A political committee (other less than $5000; than a principal campaign committee) (2) The committee’s reports disclose may terminate only upon filing a ter- no receipt of contributions for the pre- mination report on the appropriate vious year; FEC Form or upon filing a written (3) The committee’s last report dis- statement containing the same infor- closed minimal expenditures; mation at the place of filing specified (4) The committee’s primary purpose at 11 CFR part 105. Except as provided for filing its reports has been to dis- in 11 CFR 102.4(c), only a committee close outstanding debts and obliga- which will no longer receive any con- tions; tributions or make any disbursements (5) The committee has failed to file that would otherwise qualify it as a po- reports for the previous year; litical committee may terminate, pro- (6) The committee’s last report dis- vided that such committee has no out- closed that the committee’s outstanding debts and obligations. In addi- standing debts and obligations do not tion to the Notice, the committee shall appear to present a possible violation also provide a final report of receipts of the prohibitions and limitations of and disbursements, which report shall 11 CFR parts 110 and 114; include a statement as to the purpose (7) The committee’s last report dis- for which such residual funds will be closed that the Committee does not used, including a statement as to have substantial outstanding accounts whether such residual funds will be receivable; used to defray expenses incurred in (8) The committee’s outstanding connection with an individual’s duties debts and obligations exceed the total as a holder of federal office. of the committee’s reported cash on (2) An authorized committee of a hand balance. qualified Member, as defined at 11 CFR (b) The Commission shall send a noti- 113.1(f), shall comply with the require- fication to the committee treasurer of ments of 11 CFR 113.2 before any excess its intent to administratively termi- funds are converted to such Member’s nate that committee and may request personal use. All other authorized committees shall include in their termi- the treasurer to submit information nation reports a statement signed by with regard to the factors set forth at the treasurer, stating that no noncash 11 CFR 102.4(a). The treasurer shall re- committee assets will be converted to spond, in writing, within 30 days of re- personal use. ceipt of the Commission’s notice or re- (b) Except as provided at 11 CFR quest and if the committee objects to 102.4, a principal campaign committee such termination, the committee’s re- may not terminate until it has met the sponse shall so state. requirements of 11 CFR 102.3(a) and (c) The Commission shall administra- until all debts of any other authorized tively terminate a committee if such committee(s) of the candidate have committee fails to object to the Com- been extinguished. mission’s action under 11 CFR 102.4(b) and the Commission determines that [45 FR 15104, Mar. 7, 1980, as amended at 45 either: FR 21209, Apr. 1, 1980; 56 FR 34126, July 25, 1991] (1) The committee has complied with the debt settlement procedures set § 102.4 Administrative termination (52 forth at 11 CFR part 116. U.S.C. 30103(d)(2)). (2) The Commission has approved the (a) The Commission, on its own ini- forgiveness of any loan(s) owed the tiative or upon the request of the polit- committee which would have otherwise ical committee itself, may administra- been considered a contribution under tively terminate a political commit- the Act in violation of 11 CFR part 110; tee’s reporting obligation on the basis of the following factors:

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(3) It does not appear from evidence mittees are subject to 11 CFR 106.7 and available that a contribution in viola- 11 CFR part 300; or tion of 11 CFR parts 110 and 114 will re- (ii) Establish a political committee sult. that shall receive only contributions subject to the prohibitions and limita- [45 FR 15104, Mar. 7, 1980, as amended at 60 FR 64273, Dec. 14, 1995] tions of the Act, regardless of whether such contributions are for use in con- § 102.5 Organizations financing polit- nection with Federal or non-Federal ical activity in connection with Fed- elections. Such organization shall reg- eral and non-Federal elections, ister as a political committee and com- other than through transfers and ply with the requirements of the Act. joint fundraisers: Accounts and ac- (2) Only contributions meeting any of counting. the conditions set forth in paragraphs (a) Organizations that are political com- (a)(2)(i), (ii), or (iii) of this section may mittees under the Act, other than national be deposited in a Federal account es- party committees. (1) Each organization, tablished under paragraph (a)(1)(i) of including a State, district, or local this section, see 11 CFR 103.3, or may party committee, that finances polit- be received by a political committee ical activity in connection with both established under paragraph (a)(1)(ii) of Federal and non-Federal elections and this section: that qualifies as a political committee (i) Contributions designated for the under 11 CFR 100.5 shall either: Federal account; (i) Establish a separate Federal ac- (ii) Contributions that result from a count in a depository in accordance solicitation which expressly states that with 11 CFR part 103. Such account the contribution will be used in con- shall be treated as a separate Federal nection with a Federal election; or political committee that must comply (iii) Contributions from contributors with the requirements of the Act in- who are informed that all contribu- cluding the registration and reporting tions are subject to the prohibitions requirements of 11 CFR parts 102 and and limitations of the Act. 104. Only funds subject to the prohibi- (3) State, district, and local party tions and limitations of the Act shall committees that intend to expend be deposited in such separate Federal Levin funds raised pursuant to 11 CFR account. See 11 CFR 103.3. All disburse- 300.31 for activities identified in 11 CFR ments, contributions, expenditures, 300.32(b)(1) must either: and transfers by the committee in con- (i) Establish one or more separate nection with any Federal election shall Levin accounts pursuant to 11 CFR be made from its Federal account, ex- 300.30(c)(2); or cept as otherwise permitted for State, (ii) Demonstrate through a reason- district and local party committees by able accounting method approved by 11 CFR part 300 and paragraph (a)(5) of the Commission (including any method this section. No transfers may be made embedded in software provided or ap- to such Federal account from any proved by the Commission) that when- other account(s) maintained by such ever such organization makes a pay- organization for the purpose of financ- ment that organization has received ing activity in connection with non- sufficient funds subject to the limita- Federal elections, except as provided tions and prohibitions of the Act or the by 11 CFR 300.33, 300.34, 106.6(c), 106.6(f), requirements of 11 CFR 300.30(c)(1) or and 106.7(f). Administrative expenses (3) to make such payment. Such orga- for political committees other than nization shall keep records of amounts party committees shall be allocated received or expended under this para- pursuant to 11 CFR 106.6(c) between graph and, upon request, shall make such Federal account and any other ac- such records available for examination count maintained by such committee by the Commission. for the purpose for financing activity (4) Solicitations by Federal can- in connection with non-Federal elec- didates and Federal officeholders for tions. Administrative expenses for State, district, and local party com- State, district, and local party committees are subject to the restrictions

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in 11 CFR 300.31(e) and 11 CFR part 300, make such records available for exam- subpart D. ination by the Commission. (5) State, district, and local party (c) National party committees. Between committees and organizations may es- November 6, 2002, and December 31, tablish one or more separate allocation 2002, paragraphs (a) and (b) of this sec- accounts to be used for activities allo- tion apply to national party commit- cable pursuant to 11 CFR 106.7 and 11 tees. After December 31, 2002, national CFR 300.33. party committees are prohibited from (b) Organizations that are not political raising and spending non-Federal committees under the Act. (1) Any orga- funds. Therefore, this section does not nization that makes contributions, ex- apply to national party committees penditures, and exempted payments after December 31, 2002. under 11 CFR 100.80, 100.87 and 100.89 and 11 CFR 100.140, 100.147 and 100.149, [67 FR 49111, July 29, 2002, as amended at 67 but that does not qualify as a political FR 78680, Dec. 26, 2002; 69 FR 68067, Nov. 23, 2004] committee under 11 CFR 100.5, must keep records of receipts and disburse- § 102.6 Transfers of funds; collecting ments and, upon request, must make agents. such records available for examination by the Commission. The organization (a) Transfers of funds; registration and must demonstrate through a reason- reporting required—(1) Who may make able accounting method that, whenever transfers under this section. (i) Transfers such an organization makes a contribu- of funds may be made without limit on tion or expenditure, or payment, the amount between affiliated committees organization has received sufficient whether or not they are political com- funds subject to the limitations and mittees under 11 CFR 100.5. prohibitions of the Act to make such (ii) Subject to the restrictions set contribution, expenditure, or payment. forth at 11 CFR 300.10(a), 300.31 and (2) Any State, district, or local party 300.34(a) and (b), transfers of funds may organization that makes payments for be made without limit on amount be- certain Federal election activities tween or among a national party com- under 11 CFR 300.32(b) must either: mittee, a State party committee and/or (i) Establish one or more Levin ac- any subordinate party committee counts pursuant to 11 CFR 300.30(b) whether or not they are political com- into which only funds solicited pursu- mittees under 11 CFR 100.5 and whether ant to 11 CFR 300.31 may be deposited or not such committees are affiliated. and from which payments must be (iii) Transfers of joint fundraising made pursuant to 11 CFR 300.32 and proceeds may be made without limit on 300.33. See 11 CFR 300.30(c)(2)(i); or amount between organizations or com- (ii) Demonstrate through a reason- mittees participating in the joint fund- able accounting method approved by raising activity provided that no par- the Commission (including any method ticipating committee or organization embedded in software provided or ap- governed by 11 CFR 102.17 received proved by the Commission) that when- more than its allocated share of the ever such organization makes a pay- funds raised. ment that organization has received (iv) Transfers under paragraphs (a)(1) sufficient funds subject to the limita- (i) through (iii) shall be made only tions and prohibitions of the Act or the from funds which are permissible under requirements of 11 CFR 300.31 to make the Act. See 11 CFR parts 110, 114 and such payment. Such organization shall 115. keep records of amounts received or ex- (2) When registration and reporting re- pended under this paragraph and, upon quired. Except as provided in 11 CFR request, shall make such records avail- 102.6(b), organizations or committees able for examination by the Commis- making transfers under 11 CFR sion. See 11 CFR 300.30(c)(2)(ii). 102.6(a)(1) shall count such transfers (3) All such party organizations shall against the reporting thresholds of the keep records of deposits to and dis- Act for determining whether an organi- bursements from such Federal and zation or committee is a political com- Levin accounts, and upon request, shall mittee under 11 CFR 100.5.

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(b) Fundraising by collecting agents; No shall preclude a separate segregated reporting required—(1) Definition of col- fund from soliciting and collecting con- lecting agent. A collecting agent is an tributions on its own behalf. organization or committee that col- (c) Procedures for collecting agents—(1) lects and transmits contributions to Separate segregated fund responsible for one or more separate segregated funds acts of collecting agent. The separate to which the collecting agent is re- segregated fund shall be responsible for lated. A collecting agent may be ei- ensuring that the recordkeeping, re- ther: porting and transmittal requirements (i) A committee, whether or not it is of this section are met. a political committee as defined in 11 (2) Solicitation for contributions. A col- CFR 100.5, affiliated with the separate lecting agent may include a solicita- segregated fund under 11 CFR 110.3; or tion for voluntary contributions to a (ii) The connected organization of the separate segregated fund in a bill for separate segregated fund as defined in membership dues or other payments 11 CFR 100.6; or such as conference registration fees or (iii) A parent, subsidiary, branch, di- a solicitation for contributions to the vision, department, or local unit of the collecting agent. The collecting agent connected organization of the separate may only solicit contributions from segregated fund; or those persons permitted to be solicited (iv) A local, national or international under 11 CFR part 114. The solicitation union collecting contributions on be- for contributions must meet all of the half of the separate segregated fund of requirements for proper solicitations any federation with which the local, under 11 CFR 114.5. national or international union is af- (i) The collecting agent may pay any filiated. See 11 CFR 114.1(e). or all of the costs incurred in soliciting (2) Collecting agent not required to re- and transmitting contributions to the port. A collecting agent that is an un- separate segregated fund. registered organization and that follows the procedures of 11 CFR 102.6(c) (ii) If the separate segregated fund is not required to register and report as pays any solicitation or other adminis- a political committee under 11 CFR trative expense from its own account, parts 102 and 104, provided that the or- which expense could be paid for as an ganization does not engage in other ac- administrative expense by the col- tivities such as making contributions lecting agent, the collecting agent may or expenditures for the purpose of in- reimburse the separate segregated fund fluencing federal elections. no later than 30 calendar days after the (3) Who is not a collecting agent—(i) expense was paid by the separate seg- Commercial fundraising firm. A separate regated fund. segregated fund or a collecting agent (3) Checks combining contributions with may hire a commercial fundraising other payments. A contributor may firm to assist in fundraising; however, write a check that represents both a the commercial fundraising firm shall contribution and payment of dues or not be considered as a collecting agent other fees. The check must be drawn on for the purpose of this section. Rather, the contributor’s personal checking ac- the commercial fundraising firm shall count or on a non-repayable corporate be considered to be the agent of the drawing account of the individual con- separate segregated fund or collecting tributor. Under a payroll deduction agent. plan, an employer may write a check (ii) Individuals. An individual who on behalf of its employees to a union or collects contributions for a separate its agent, which check represents a segregated fund shall not be considered combined payment of voluntary con- a collecting agent for the purpose of tributions to the union’s separate seg- this section. Individuals who collect regated fund and union dues or other contributions are subject to the re- employee deductions. quirements of 11 CFR 102.8 and the pro- (4) Transmittal of contributions. The visions of 11 CFR part 110. full amount of each contribution col- (4) Separate segregated fund may collect lected by a collecting agent on behalf contributions. Nothing in this section of a separate segregated fund shall be

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transmitted to that fund within 10 or 30 available to the Commission on re- days as required by 11 CFR 102.8. quest. The separate segregated fund (i) Checks made payable to the sepa- shall keep a record of all transmittals rate segregated fund shall be trans- of contributions received from col- mitted by the collecting agent directly lecting agents under this section, and to the separate segregated fund in ac- shall retain these records for a period cordance with 11 CFR 102.8. of three years. (ii) To transfer all other contribu- (7) Reporting of funds received through tions, a collecting agent shall either: collecting agents. A separate segregated (A) Establish a transmittal account fund receiving contributions collected to be used solely for the deposit and by a collecting agent shall report the transmittal of funds collected on be- full amount of each contribution re- half of the separate segregated fund. ceived as a contribution from the origi- Funds deposited into this account are nal contributor to the extent required subject to the prohibitions and limita- by 11 CFR 104.3(a). tions of the Act. If any expenditure is [48 FR 26300, June 7, 1983, as amended at 68 made from the account, other than a FR 451, Jan. 3, 2003; 69 FR 63920, Nov. 3, 2004] transfer of funds to an affiliated committee, the account shall be considered § 102.7 Organization of political com- a depository of the recipient committees (52 U.S.C. 30102(a)). mittee and all activity of that account (a) Every political committee shall shall be reported; or have a treasurer and may designate, on (B) Deposit the contributions col- the committee’s Statement of Organi- lected into the collecting agent’s treas- zation, an assistant treasurer who shall ury account. The collecting agent shall assume the duties and responsibilities keep separate records of all receipts of the treasurer in the event of a tem- and deposits that represent contribu- porary or permanent vacancy in the of- tions to the separate segregated fund fice or in the event the treasurer is un- and, in the case of cash contributions, available. the collecting agent shall make sepa- (b) Except as provided in subsection rate deposits of such funds; or (a), no contribution or expenditure (C) Deposit the contributions col- shall be accepted or made by or on be- lected into an account otherwise estab- half of a political committee at a time lished solely for State or local election when there is a vacancy in the office of activity. The collecting agent shall the treasurer. keep separate records of all receipts (c) No expenditure shall be made for and deposits that represent contribu- or on behalf of a political committee tions to the separate segregated fund; without the authorization of its treas- or urer or of an agent authorized orally or (D) In the case of cash contributions, in writing by the treasurer. transmit the contributions to the sepa- (d) Any candidate who receives a con- rate segregated fund in the form of tribution, as defined at 11 CFR part 100, money orders or cashier’s checks. subparts B and D, obtains any loan or (5) Contributor information. The col- makes any disbursement in connection lecting agent shall comply with the re- with his or her campaign, shall be con- quirements of 11 CFR 102.8 regarding sidered as having received the con- transmittal of contributions and contribution, obtained the loan or made tributor information to the separate the disbursement as an agent of such segregated fund, except that if con- authorized committee(s). tributions of $50 or less are received at [45 FR 15104, Mar. 7, 1980, as amended at 67 a mass collection, a record shall be FR 78680, Dec. 26, 2002] kept of the date, the total amount collected, and the name of the function at § 102.8 Receipt of contributions (52 which the collection was made. U.S.C. 30102(b)). (6) Retention of records. The collecting (a) Every person who receives a con- agent shall retain all records of contribution for an authorized political tribution deposits and transmittals committee shall, no later than 10 days under this section for a period of three after receipt, forward such contribu- years and shall make these records tion to the treasurer. If the amount of

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the contribution is in excess of $50, date of receipt and amount of such con- such person shall also forward to the tribution. treasurer the name and address of the (2) For contributions from any person contributor and the date of receipt of whose contributions aggregate more the contribution. If the amount of the than $200 during a calendar year, such contribution is in excess of $200, such account shall include the identification person shall forward the contribution, of the person, and the date of receipt the identification of the contributor in and amount of such contribution. accordance with 11 CFR 100.12, and the (3) For contributions from a political date of receipt of the contribution. committee, such account shall include Date of receipt shall be the date such the identification of the political com- person obtains possession of the con- mittee and the date of receipt and tribution. amount of such contribution. (b)(1) Every person who receives a (4) In addition to the account to be contribution of $50 or less for a polit- kept under paragraph (a)(1) of this sec- ical committee which is not an author- tion, for contributions in excess of $50, ized committee shall forward such con- the treasurer of a political committee tribution to the treasurer of the polit- or an agent authorized by the treasurer ical committee no later than 30 days shall maintain: after receipt. (i) A full-size photocopy of each (2) Every person who receives a con- check or written instrument; or tribution in excess of $50 for a political (ii) A digital image of each check or committee which is not an authorized written instrument. The political com- committee shall, no later than 10 days mittee or other person shall provide after receipt of the contribution, for- the computer equipment and software ward to the treasurer of the political needed to retrieve and read the digital committee: The contribution; the name images, if necessary, at no cost to the and address of the contributor; and the Commission. date of receipt of the contribution. If (b)(1) An account shall be kept of all the amount of the contribution is in disbursements made by or on behalf of excess of $200, such person shall for- the political committee. Such account ward the contribution, the identifica- shall consist of a record of: tion of the contributor in accordance (i) The name and address of every with 11 CFR 100.12, and the date of re- person to whom any disbursement is ceipt of the contribution. Date of re- made; ceipt shall be the date such person ob- (ii) The date, amount, and purpose of tains possession of the contribution. the disbursement; and (c) The provisions of 11 CFR 102.8 (iii) If the disbursement is made for a concerning receipt of contributions for candidate, the name and office (includ- political committees shall also apply ing State and congressional district, if to earmarked contributions trans- any) sought by that candidate. mitted by an intermediary or conduit. (iv) For purposes of 11 CFR 102.9(b)(1), purpose has the same meaning given § 102.9 Accounting for contributions the term at 11 CFR 104.3(b)(3)(i)(A). and expenditures (52 U.S.C. (2) In addition to the account to be 30102(c)). kept under 11 CFR 102.9(b)(1), a receipt The treasurer of a political com- or invoice from the payee or a can- mittee or an agent authorized by the celled check to the payee shall be ob- treasurer to receive contributions and tained and kept for each disbursement make expenditures shall fulfill all rec- in excess of $200 by or on behalf of, the ordkeeping duties as set forth at 11 committee, except that credit card CFR 102.9(a) through (f): transactions, shall be documented in (a) An account shall be kept by any accordance with 11 CFR 102.9(b)(2)(ii) reasonable accounting procedure of all and disbursements by share draft or contributions received by or on behalf check drawn on a credit union account of the political committee. shall be documented in accordance (1) For contributions in excess of $50, with 11 CFR 102.9(b)(2)(iii). such account shall include the name (i)(A) For purposes of 11 CFR and address of the contributor and the 102.9(b)(2), payee means the person who

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provides the goods or services to the distinguish between contributions re- committee or agent thereof in return ceived for the primary election and for payment, except for an advance of contributions received for the general $500 or less for travel and subsistence election. Acceptable accounting meth- to an individual who will be the recipi- ods include, but are not limited to: ent of the goods or services. (i) The designation of separate ac- (B) For any advance of $500 or less to counts for each election, caucus or con- an individual for travel and subsist- vention; or ence, the expense voucher or other ex- (ii) The establishment of separate pense account documentation and a books and records for each election. cancelled check to the recipient of the (2) Regardless of the method used advance shall be obtained and kept. under paragraph (e)(1) of this section, (ii) For any credit card transaction, an authorized committee’s records documentation shall include a monthly must demonstrate that, prior to the billing statement or customer receipt primary election, recorded cash on for each transaction and the cancelled hand was at all times equal to or in ex- check used to pay the credit card access of the sum of general election con- count. tributions received less the sum of gen- (iii) For purposes of 11 CFR eral election disbursements made. 102.9(b)(2), a carbon copy of a share (3) If a candidate is not a candidate draft or check drawn on a credit union in the general election, any contribu- account may be used as a duplicate tions made for the general election record of such draft or check provided shall be refunded to the contributors, that the monthly account statement redesignated in accordance with 11 showing that the share draft or check CFR 110.1(b)(5) or 110.2(b)(5), or re- was paid by the credit union is also reattributed in accordance with 11 CFR tained. 110.1(k)(3), as appropriate. (c) The treasurer shall preserve all (f) The treasurer shall maintain the records and accounts required to be documentation required by 11 CFR kept under 11 CFR 102.9 for 3 years 110.1(l), concerning designations, redes- after the report to which such records ignations, reattributions and the dates and accounts relate is filed. of contributions. If the treasurer does (d) In performing recordkeeping du- not maintain this documentation, 11 ties, the treasurer or his or her author- CFR 110.1(l)(5) shall apply. ized agent shall use his or her best ef- [45 FR 15104, Mar. 7, 1980, as amended at 52 forts to obtain, maintain and submit FR 773, Jan. 9, 1987; 67 FR 69946, Nov. 19, the required information and shall 2002;79 FR 16663, Mar. 26, 2014] keep a complete record of such efforts. If there is a showing that best efforts § 102.10 Disbursement by check (52 have been made, any records of a com- U.S.C. 30102 (h)(1)). mittee shall be deemed to be in compli- All disbursements by a political com- ance with this Act. With regard to the mittee, except for disbursements from requirements of 11 CFR 102.9(b)(2) con- the petty cash fund under 11 CFR cerning receipts, invoices and cancelled 102.11, shall be made by check or simi- checks, the treasurer will not be lar draft drawn on account(s) estab- deemed to have exercised best efforts lished at the committee’s campaign de- to obtain, maintain and submit the pository or depositories under 11 CFR records unless he or she has made at part 103. least one written effort per transaction to obtain a duplicate copy of the in- § 102.11 Petty cash fund (52 U.S.C. voice, receipt, or cancelled check. 30102(h)(2)). (e)(1) If the candidate, or his or her A political committee may maintain authorized committee(s), receives con- a petty cash fund out of which it may tributions that are designated for use make expenditures not in excess of $100 in connection with the general election to any person per purchase or trans- pursuant to 11 CFR 110.1(b) prior to the action. If a petty cash fund is main- date of the primary election, such can- tained, it shall be the duty of the treas- didate or such committee(s) shall use urer of the political committee to keep an acceptable accounting method to and maintain a written journal of all

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disbursements. This written journal § 102.13 Authorization of political com- shall include the name and address of mittees (52 U.S.C. 30102(e)(1) and every person to whom any disburse- (3)). ment is made, as well as the date, (a)(1) Any political committee au- amount, and purpose of such disburse- thorized by a candidate to receive con- ment. In addition, if any disbursement tributions or make expenditures shall is made for a candidate, the journal be authorized in writing by the can- shall include the name of that candidate. Such authorization must be didate and the office (including State filed with the principal campaign com- and Congressional district) sought by mittee in accordance with 11 CFR such candidate. 102.1(b). § 102.12 Designation of principal cam- (2) If an individual fails to disavow paign committee (52 U.S.C. activity pursuant to 11 CFR 100.3(a)(3) 30102(e)(1) and (3)). and is therefore a candidate upon no- (a) Each candidate for Federal office tice by the Commission, he or she shall (other than a nominee of a political authorize the committee in writing. party to the Office of Vice President) (b) A candidate is not required to au- shall designate in writing a political thorize a national, State or subordi- committee to serve as his or her prin- nate State party committee which so- cipal campaign committee in accord- licits funds to be expended on the can- ance with 11 CFR 101.1(a) no later than didate’s behalf pursuant to 11 CFR part 15 days after becoming a candidate. 109, subpart D. Each principal campaign committee (c)(1) No political committee which shall register, designate a depository supports or has supported more than and report in accordance with 11 CFR one candidate may be designated as an parts 102, 103 and 104. authorized committee, except that two (b) No political committee may be or more candidates may designate a po- designated as the principal campaign litical committee established solely for committee of more than one candidate. the purpose of joint fundraising by (c)(1) No political committee which such candidates as an authorized com- supports or has supported more than mittee. one candidate may be designated as a (2) For purposes of 11 CFR 102.13(c), principal campaign committee, except the term support does not include con- that, after nomination, a candidate for tributions by an authorized committee the office of President of the United in amounts aggregating $2,000 or less States nominated by a political party per election to an authorized com- may designate the national committee mittee of any other candidate, except of such political party as his or her that the national committee of a polit- principal campaign committee. A national committee which is so des- ical party which has been designated as ignated shall maintain separate books the principal campaign committee of of account with respect to its function that party’s Presidential candidate as a principal campaign committee. may contribute to another candidate in (2) For purposes of 11 CFR 102.12(c), accordance with 11 CFR part 109, sub- the term support does not include con- part D and 11 CFR part 110. tributions by an authorized committee [45 FR 15104, Mar. 7, 1980, as amended at 67 in amounts aggregating $2,000 or less FR 78680, Dec. 26, 2002; 71 FR 54899, Sept. 20, per election to an authorized com- 2006] mittee of any other candidate, except that the national committee of a polit- § 102.14 Names of political committees ical party which has been designated as (52 U.S.C. 30102(e)(4) and (5)). the principal campaign committee of (a) The name of each authorized com- that party’s Presidential candidate mittee shall include the name of the may contribute to another candidate in candidate who authorized such com- accordance with 11 CFR part 110. mittee. Except as provided in para- [45 FR 15104, Mar. 7, 1980, as amended at 71 graph (b) of this section, no unauthor- FR 54899, Sept. 20, 2006] ized committee shall include the name

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of any candidate in its name. For pur- be commingled with, any personal poses of this paragraph, ‘‘name’’ in- funds of officers, members or associ- cludes any name under which a com- ates of that committee, or with the mittee conducts activities, such as so- personal funds of any other individual. licitations or other communications, See also 11 CFR 103.3 and part 114 and including a special project name or 52 U.S.C. 30118. other designation. (b)(1) A delegate committee, as de- [45 FR 15104, Mar. 7, 1980, as amended at 79 fined at 11 CFR 100.5(e)(5), shall include FR 77846, Dec. 29, 2014] the word delegate(s) in its name and may also include in its name the name § 102.16 Notice: Solicitation of contributions (52 U.S.C. 30120). of the presidential candidate which the delegate committee supports. Each political committee shall com- (2) A political committee established ply with the notice requirements for solely to draft an individual or to en- solicitation of contributions set forth courage him or her to become a can- at 11 CFR 110.11. didate may include the name of such individual in the name of the com- § 102.17 Joint fundraising by commit- mittee provided the committee’s name tees other than separate segregated clearly indicates that it is a draft com- funds. mittee. (a) General. Nothing in this section (3) An unauthorized political com- shall supersede 11 CFR part 300, which mittee may include the name of a can- prohibits any person from soliciting, didate in the title of a special project receiving, directing, transferring, or name or other communication if the spending any non-Federal funds, or title clearly and unambiguously shows from transferring Federal funds for opposition to the named candidate. Federal election activities. (c) The name of a separate segregated (1)(i) Political committees may en- fund established pursuant to 11 CFR gage in joint fundraising with other po- 102.1(c) shall include the full name of litical committees or with unregistered its connected organization. Such fund committees or organizations. The par- may also use a clearly recognized ab- ticipants in a joint fundraising effort breviation or acronym by which the under this section shall either estab- connected organization is commonly lish a separate committee or select a known. Both the full name and such participating committee, to act as abbreviation or acronym shall be in- fundraising representative for all par- cluded on the fund’s Statement of Or- ticipants. The fundraising representa- ganization, on all reports filed by the fund, and in all notices required by 11 tive shall be a reporting political com- CFR 109.11 and 110.11. The fund may mittee and an authorized committee of make contributions using its acronym each candidate for federal office par- or abbreviated name. A fund estab- ticipating in the joint fundraising ac- lished by a corporation which has a tivity. If the participants establish a number of subsidiaries need not include separate committee to act as the fund- the name of each subsidiary in its raising representative, the separate name. Similarly, a separate segregated committee shall not be a participant in fund established by a subsidiary need any other joint fundraising effort, but not include in its name the name of its the separate committee may conduct parent or another subsidiary of its par- more than one joint fundraising effort ent. for the participants. (ii) The participants may hire a com- [45 FR 15104, Mar. 7, 1980, as amended at 45 FR 21209, Apr. 1, 1980; 57 FR 31426, July 15, mercial fundraising firm or other agent 1992; 59 FR 17269, Apr. 12, 1994; 59 FR 35785, to assist in conducting the joint fund- July 13, 1994; 67 FR 78680, Dec. 26, 2002] raising activity. In that case, however, the fundraising representative shall § 102.15 Commingled funds (52 U.S.C. still be responsible for ensuring that 30102(b)(3)). the recordkeeping and reporting re- All funds of a political committee quirements set forth in this section are shall be segregated from, and may not met.

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(2) The procedures in 11 CFR 102.17(c) to the allocation formula agreed upon will govern all joint fundraising activ- under 11 CFR 102.17 (c)(1). ity conducted under this section. The (ii) A participant may advance more participants in joint fundraising activ- than its proportionate share of the ity may include political party com- fundraising costs, however, the amount mittees (whether or not they are polit- advanced which is in excess of the par- ical committees under 11 CFR 100.5), ticipant’s proportionate share shall not candidate committees, multicandidate exceed the amount that participant committees, and unregistered organi- could legally contribute to the remain- zations which do not qualify as col- ing participants. See 11 CFR 102.12(c)(2) lecting agents under 11 CFR 102.6(b). and part 110. (3) A fundraising representative con- (iii) If all the participants are affili- ducting joint fundraising under this ated under 11 CFR 110.3 or if the par- section is distinguished from an unreg- ticipants are all party committees of istered organization acting as a col- the same political party, there is no lecting agent under 11 CFR 102.6(b). If a limit on the amount a participant may separate segregated fund or an unregis- advance for fundraising costs on behalf tered organization qualifies and acts as of the other participants. a collecting agent under 11 CFR (c) Joint fundraising procedures. The 102.6(b), the provisions of 11 CFR 102.17 requirements of 11 CFR 102.17(c)(1) will not apply to that fundraising ac- through (8) shall govern joint fund- tivity. raising activity conducted under this section. (b) Fundraising representatives—(1) (1) Written agreement. The partici- Separate fundraising committee as fund- pants in a joint fundraising activity raising representative. Participating shall enter into a written agreement, committees may establish a separate whether or not all participants are po- political committee to act as fund- litical committees under 11 CFR 100.5. raising representative for all partici- The written agreement shall identify pants. This separate committee shall the fundraising representative and be a reporting political committee and shall state a formula for the allocation shall collect contributions, pay fund- of fundraising proceeds. The formula raising costs from gross proceeds and shall be stated as the amount or per- from funds advanced by participants, centage of each contribution received and disburse net proceeds to each par- to be allocated to each participant. The ticipant. fundraising representative shall retain (2) Participating committee as fund- the written agreement for a period of raising representative. All participating three years and shall make it available committees may select one participant to the Commission on request. to act as fundraising representative for (2) Fundraising notice. In addition to all participants. The fundraising rep- any notice required under 11 CFR resentative must be a political com- 110.11, a joint fundraising notice shall mittee as defined in 11 CFR 100.5. The be included with every solicitation for fundraising representative and any contributions. other participating committees may (i) This notice shall include the fol- collect contributions; however, all con- lowing information: tributions received by other partici- (A) The names of all committees par- pants shall be forwarded to the fund- ticipating in the joint fundraising ac- raising representative as required by 11 tivity whether or not such committees CFR 102.8. The fundraising representa- are political committees under 11 CFR tive shall pay fundraising costs from 100.5; and gross proceeds and from funds ad- (B) The allocation formula to be used vanced by participants and shall dis- for distributing joint fundraising pro- burse net proceeds to each participant. ceeds; and (3) Funds advanced for fundraising (C) A statement informing contribu- costs. (i) Except as provided in 11 CFR tors that, notwithstanding the stated 102.17(b) (3)(ii) and (iii), the amount of allocation formula, they may designate funds advanced by each participant for their contributions for a particular fundraising costs shall be in proportion participant or participants; and

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(D) A statement informing contributions in the reporting period in which tors that the allocation formula may they are received. Participating polit- change if a contributor makes a con- ical committees shall report joint tribution which would exceed the fundraising proceeds in accordance amount that contributor may give to with 11 CFR 102.17(c)(8) when such any participant. funds are received from the fundraising (ii) In the following situations, the representative. notice shall include the following addi- (4) Recordkeeping requirements. (i) The tional information: fundraising representative and partici- (A) If one or more participants en- pating committees shall screen all con- gage in the joint fundraising activity tributions received to insure that the solely to satisfy outstanding debts, a prohibitions and limitations of 11 CFR statement informing contributors that parts 110 and 114 are observed. Partici- the allocation formula may change if a pating political committees shall make participant receives sufficient funds to their contributor records available to pay its outstanding debts; and the fundraising representative to en- (B) If one or more participants can able the fundraising representative to lawfully accept contributions that are carry out its duty to screen contribu- prohibited under the Act, a statement tions. informing contributors that contribu- (ii) The fundraising representative tions from prohibited sources will be shall collect and retain contributor in- distributed only to those participants formation with regard to gross pro- that can accept them. ceeds as required under 11 CFR 102.8 (3) Separate depository account. (i) The and shall also forward such informa- participants or the fundraising rep- tion to participating political commit- resentative shall establish a separate tees. The fundraising representative depository account to be used solely shall also keep a record of the total for the receipt and disbursement of the amount of contributions received from joint fundraising proceeds. All con- prohibited sources, if any, and of all tributions deposited into the separate transfers of prohibited contributions to depository account must be permissible participants that can accept them. under the Act. Each political com- (iii) The fundraising representative mittee shall amend its Statement of shall retain the records required under Organization to reflect the account as 11 CFR 102.9 regarding fundraising dis- an additional depository. If one or bursements for a period of three years. more participants can lawfully accept Commercial fundraising firms or contributions that are prohibited under agents shall forward such information the Act, the participants may either to the fundraising representative. establish a second depository account (5) Contribution limitations. Except to for contributions received from prohib- the extent that the contributor has ited sources or they may forward such previously contributed to any of the contributions directly to the non- participants, a contributor may make federal participants. a contribution to the joint fundraising (ii) The fundraising representative effort which contribution represents shall deposit all joint fundraising pro- the total amount that the contributor ceeds in the separate depository ac- could contribute to all of the partici- count within ten days of receipt as re- pants under the applicable limits of 11 quired by 11 CFR 103.3. The fundraising CFR 110.1 and 110.2. representative may delay distribution (6) Allocation of gross proceeds. (i) The of the fundraising proceeds to the par- fundraising representative shall allo- ticipants until all contributions are re- cate proceeds according to the formula ceived and all expenses are paid. stated in the fundraising agreement. If (iii) For contribution reporting and distribution according to the alloca- limitation purposes, the date of receipt tion formula extinguishes the debts of of a contribution by a participating po- one or more participants and results in litical committee is the date that the a surplus for those participants or if contribution is received by the fund- distribution under the formula results raising representative. The fundraising in a violation of the contribution lim- representative shall report contribu- its of 11 CFR 110.1(a), the fundraising

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representative may reallocate the ex- (ii) If participating committees are cess funds. Reallocation shall be based affiliated as defined in 11 CFR 110.3 upon the remaining participants’ pro- prior to the joint fundraising activity portionate shares under the allocation or if participants are party committees formula. If reallocation results in a of the same political party, expenses violation of a contributor’s limit under need not be allocated among those par- 11 CFR 110.1, the fundraising represent- ticipants. Payment of such expenses by ative shall return to the contributor an unregistered committee or organiza- the amount of the contribution that tion on behalf of an affiliated political exceeds the limit. committee may cause the unregistered (ii) Designated contributions which organization to become a political exceed the contributor’s limit to the committee. designated participant under 11 CFR (iii) Payment of expenses may be part 110 may not be reallocated by the made from gross proceeds by the fund- fundraising representative absent the raising representative. prior written permission of the contrib- (8) Reporting of receipts and disburse- utor. ments—(i) Reporting receipts. (A) The (iii) If any participants can lawfully fundraising representative shall report accept contributions from sources pro- all funds received in the reporting pe- hibited under the Act, any such con- riod in which they are received. The tributions that are received are not re- fundraising representative shall report quired to be distributed according to the total amount of contributions re- the allocation formula. ceived from prohibited sources during (7) Allocation of expenses and distribu- the reporting period, if any, as a memo tion of net proceeds. (i) If participating entry. Each Schedule A filed by the committees are not affiliated as de- fundraising representative under this fined in 11 CFR 110.3 prior to the joint section shall clearly indicate that the fundraising activity and are not com- contributions reported on that sched- mittees of the same political party; ule represent joint fundraising pro- (A) After gross contributions are al- ceeds. located among the participants under (B) After distribution of net proceeds, 11 CFR 102.17(c)(6), the fundraising rep- each participating political committee resentative shall calculate each par- shall report its share of net proceeds ticipant’s share of expenses based on received as a transfer-in from the fund- the percentage of the total receipts raising representative. Each partici- each participant had been allocated. If pating political committee shall also contributions from sources prohibited file a memo Schedule A itemizing its under the Act have been received and share of gross receipts as contributions distributed under 11 CFR from original contributors to the ex- 102.17(c)(6)(iii), those contributions tent required under 11 CFR 104.3(a). need not be included in the total re- (ii) Reporting disbursements. The fund- ceipts for the purpose of allocating ex- raising representative shall report all penses under this section. To calculate disbursements in the reporting period each participant’s net proceeds, the in which they are made. fundraising representative shall sub- [48 FR 26301, June 7, 1983, as amended at 56 tract the participant’s share of ex- FR 35909, July 29, 1991; 67 FR 49112, July 29, penses from the amount that partici- 2002] pant has been allocated from gross proceeds. PART 103—CAMPAIGN (B) A participant may only pay ex- DEPOSITORIES (52 U.S.C. 30102(h)) penses on behalf of another participant subject to the contribution limits of 11 Sec. CFR part 110. 103.1 Notification of the commission. (C) The expenses from a series of 103.2 Depositories (52 U.S.C. 30102(h)(1)). fundraising events or activities shall be 103.3 Deposit of receipts and disbursements allocated among the participants on a (52 U.S.C. 30102(h)(1)). per-event basis regardless of whether 103.4 Vice Presidential candidate campaign the participants change or remain the depositories. same throughout the series. AUTHORITY: 52 U.S.C. 30102(h), 30111(a)(8).

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SOURCE: 45 FR 15108, Mar. 7, 1980, unless utor, exceed the contribution limita- otherwise noted. tions of 11 CFR 110.1 or 110.2. (1) Contributions that present gen- § 103.1 Notification of the commission. uine questions as to whether they were Each committee shall notify the made by corporations, labor organiza- Commission of the campaign depositions, foreign nationals, or Federal tory(ies) it has designated, pursuant to contractors may be, within ten days of 11 CFR 101.1 and 103.2. the treasurer’s receipt, either deposited into a campaign depository under 11 § 103.2 Depositories (52 U.S.C. CFR 103.3(a) or returned to the contrib- 30102(h)(1)). utor. If any such contribution is depos- Each political committee shall des- ited, the treasurer shall make his or ignate one or more State banks, feder- her best efforts to determine the legal- ally chartered depository institutions ity of the contribution. The treasurer (including a national bank), or deposi- shall make at least one written or oral tory institutions the depositor ac- request for evidence of the legality of counts of which are insured by the Fed- the contribution. Such evidence in- eral Deposit Insurance Corporation, cludes, but is not limited to, a written Federal Savings and Loan Insurance statement from the contributor ex- Corporation, or the National Credit plaining why the contribution is legal, Union Administration, as its campaign or a written statement by the treas- depository or depositories. One or more urer memorializing an oral commu- depositories may be established in one nication explaining why the contribu- or more States. Each political com- tion is legal. If the contribution cannot mittee shall maintain at least one be determined to be legal, the treasurer checking account or transaction ac- shall, within thirty days of the treas- count at one of its depositories. Addi- urer’s receipt of the contribution, re- tional accounts may be established at fund the contribution to the contrib- each depository. utor. (2) If the treasurer in exercising his § 103.3 Deposit of receipts and dis- or her responsibilities under 11 CFR bursements (52 U.S.C. 30102(h)(1)). 103.3(b) determined that at the time a (a) All receipts by a political com- contribution was received and depos- mittee shall be deposited in account(s) ited, it did not appear to be made by a established pursuant to 11 CFR 103.2, corporation, labor organization, for- except that any contribution may be, eign national or Federal contractor, or within 10 days of the treasurer’s re- made in the name of another, but later ceipt, returned to the contributor with- discovers that it is illegal based on new out being deposited. The treasurer of evidence not available to the political the committee shall be responsible for committee at the time of receipt and making such deposits. All deposits deposit, the treasurer shall refund the shall be made within 10 days of the contribution to the contributor within treasurer’s receipt. A committee shall thirty days of the date on which the il- make all disbursements by check or legality is discovered. If the political similar drafts drawn on an account at committee does not have sufficient its designated campaign depository, ex- funds to refund the contribution at the cept for expenditures of $100 or less time the illegality is discovered, the made from a petty cash fund main- political committee shall make the retained pursuant to 11 CFR 102.11. Funds fund from the next funds it receives. may be transferred from the depository (3) Contributions which on their face for investment purposes, but shall be exceed the contribution limitations set returned to the depository before such forth in 11 CFR 110.1 or 110.2, and con- funds are used to make expenditures. tributions which do not appear to be (b) The treasurer shall be responsible excessive on their face, but which ex- for examining all contributions re- ceed the contribution limits set forth ceived for evidence of illegality and for in 11 CFR 110.1 or 110.2 when aggre- ascertaining whether contributions regated with other contributions from ceived, when aggregated with other the same contributor, and contribu- contributions from the same contrib- tions which cannot be accepted under

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the net debts outstanding provisions of PART 104—REPORTS BY POLITICAL 11 CFR 110.1(b)(3) and 110.2(b)(3) may be COMMITTEES AND OTHER PER- either deposited into a campaign de- SONS (52 U.S.C. 30104) pository under 11 CFR 103.3(a) or returned to the contributor. If any such Sec. contribution is deposited, the treasurer 104.1 Scope (52 U.S.C. 30104(a)). may request redesignation or re- 104.2 Forms. attribution of the contribution by the 104.3 Contents of reports (52 U.S.C. 30104(b), contributor in accordance with 11 CFR 30114). 104.4 Independent expenditures by political 110.1(b), 110.1(k) or 110.2(b), as appro- committees (52 U.S.C. 30104(b), (d), and priate. If a redesignation or reattribu- (g)). tion is not obtained, the treasurer 104.5 Filing dates (52 U.S.C. 30104(a)(2)). shall, within sixty days of the treas- 104.6 Form and content of internal commu- urer’s receipt of the contribution, re- nications reports (52 U.S.C. 30101(9)(B)(iii)). fund the contribution to the contrib- 104.7 Best efforts (52 U.S.C. 30102(i)). utor. 104.8 Uniform reporting of receipts. (4) Any contribution which appears 104.9 Uniform reporting of disbursements. to be illegal under 11 CFR 103.3(b) (1) or 104.10 Reporting by separate segregated (3), and which is deposited into a cam- funds and nonconnected committees of expenses allocated among candidates and paign depository shall not be used for activities. any disbursements by the political 104.11 Continuous reporting of debts and ob- committee until the contribution has ligations. been determined to be legal. The polit- 104.12 Beginning cash on hand for political ical committee must either establish a committees. 104.13 Disclosure of receipt and consump- separate account in a campaign deposition of in-kind contributions. tory for such contributions or main- 104.14 Formal requirements regarding retain sufficient funds to make all such ports and statements. refunds. 104.15 Sale or use restriction (52 U.S.C. (5) If a contribution which appears to 30111(a)(4)). 104.16 Audits (52 U.S.C. 30111(b)). be illegal under 11 CFR 103.3(b) (1) or (3) 104.17 Reporting of allocable expenses by is deposited in a campaign depository, party committees. the treasurer shall make and retain a 104.18 Electronic filing of reports (52 U.S.C. written record noting the basis for the 30102(d) and 30104(a)(11)). appearance of illegality. A statement 104.19 [Reserved] noting that the legality of the con- 104.20 Reporting electioneering communications (2 U.S.C. 434(f)). tribution is in question shall be in- 104.21 Reporting by inaugural committees. cluded in the report noting the receipt 104.22 Disclosure of bundling by Lobbyist/ of the contribution. If a contribution is Registrants and Lobbyist/Registrant refunded to the contributor because it PACs (52 U.S.C. 30104(i)). cannot be determined to be legal, the AUTHORITY: 52 U.S.C. 30101(1), 30101(8), treasurer shall note the refund on the 30101(9), 30102(i), 30104, 30111(a)(8) and (b), report covering the reporting period in 30114, 30116, 36 U.S.C. 510. which the refund is made. SOURCE: 45 FR 15108, Mar. 7, 1980, unless otherwise noted. [52 FR 774, Jan. 9, 1987] § 104.1 Scope (52 U.S.C. 30104(a)). § 103.4 Vice Presidential candidate campaign depositories. (a) Who must report. Each treasurer of a political committee required to reg- Any campaign depository designated ister under 11 CFR part 102 shall report by the principal campaign committee in accordance with 11 CFR part 104. of a political party’s candidate for (b) Who may report. An individual President shall be the campaign depos- seeking federal office who has not at- itory for that political party’s can- tained candidate status under 11 CFR didate for the office of Vice President. 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.

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An individual shall not become a can- close the information set forth at para- didate solely by voluntarily filing a re- graphs (a)(1) through (a)(4) of this sec- port, nor shall such individual, the in- tion. The first report filed by a polit- dividual’s committee, nor any other ical committee shall also include all committee be required to file all re- amounts received prior to becoming a ports under 11 CFR 104.5, unless the in- political committee under § 100.5 of this dividual becomes a candidate under 11 chapter, even if such amounts were not CFR 100.3 or unless the committee be- received during the current reporting comes a political committee under 11 period. CFR 100.5. (1) Cash on hand. The amount of cash on hand at the beginning of the report- § 104.2 Forms. ing period, including: currency; bal- (a) Each report filed by a political ance on deposit in banks, savings and committee under 11 CFR part 104 shall loan institutions, and other depository be filed on the appropriate FEC form as institutions; traveler’s checks owned set forth below at 11 CFR 104.2(e). by the committee; certificates of de- (b) Forms may be obtained from the posit, treasury bills and any other Federal Election Commission, 999 E committee investments valued at cost. Street, NW., Washington, DC 20463. (2) Categories of receipts for all political (c) A committee may reproduce FEC committees other than authorized commit- forms for its own use provided they are tees. All committees other than author- not reduced in size. ized committees shall report the total (d) With prior approval of the Com- amount of receipts received during the mission a committee may use, for re- reporting period and, except for porting purposes, computer produced itemized and unitemized breakdowns, schedules of itemized receipts and dis- during the calendar year for each of bursements provided they are reduced the following categories: to the size of FEC forms. The com- (i) Contributions from persons other mittee shall submit a sample of the than any committees; proposed format with its request for (A) Itemized contributions from per- approval. sons, other than any committees, in- (e) The following forms shall be used cluding contributions from individuals; by the indicated type of reporting com- (B) Unitemized contributions from mittee: persons, other than any committees, (1) Presidential committees. The au- including contributions from individ- thorized committees of a candidate for uals; President or Vice President shall file (C) Total contributions from persons on FEC Form 3–P. other than any committees, including (2) Congressional candidate committees. contributions from individuals; The authorized committees of a can- (ii) Contributions from political didate for the Senate or the House of party committees, including contribu- Representatives shall file on FEC Form tions from party committees which are 3. not political committees under the (3) Political Committees Other than Au- Act; thorized Committees. Political commit- (iii) Contributions from political tees other than authorized committees committees, including contributions shall file reports on FEC Form 3–X. from committees which are not polit- [45 FR 15108, Mar. 7, 1980, as amended at 45 ical committees under the Act but ex- FR 21209, Apr. 1, 1980; 50 FR 50778, Dec. 12, cluding contributions from any party 1985] committees; (iv) Total contributions; § 104.3 Contents of reports (52 U.S.C. (v) Transfers from affiliated commit- 30104(b), 30114). tees or organizations and, where the re- (a) Reporting of receipts. Each report porting committee is a political party filed under § 104.1 shall disclose the committee, transfers from other party total amount of receipts for the report- committees of the same party, regarding period and for the calendar year (or less of whether such committees are af- for the election cycle, in the case of an filiated; authorized committee) and shall dis- (vi) All loans;

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(vii) Offsets to operating expendi- (iv) Contributions from committees, tures; including contributions from commit- (A) Itemized offsets to operating ex- tees which are not political commit- penditures (such as rebates and re- tees under the Act, but excluding con- funds); tributions from any party committees; (B) Unitemized offsets to operating (v) Total contributions; expenditures (such as rebates and re- (vi) Transfers from other authorized funds); committee(s) of the same candidate, (C) Total offsets to operating expend- regardless of amount; itures; (vii) Loans; (viii) Other receipts: (A) All loans to the committee, ex- (A) Itemized other receipts (such as cept loans made, guaranteed, or en- dividends and interest); dorsed by a candidate to his or her au- (B) Unitemized other receipts (such thorized committee; as dividends and interest); (B) Loans made, guaranteed, or en- (C) The total sum of all other re- dorsed by a candidate to his or her au- ceipts. thorized committee including loans de- (ix) The total sum of all receipts. rived from a bank loan to the can- (3) Categories of receipts for authorized didate or from an advance on a can- committees. An authorized committee of didate’s brokerage account, credit a candidate for Federal office shall re- card, home equity line of credit, or port the total amount of receipts re- other lines of credit described in 11 ceived during the reporting period and, except for itemized and unitemized CFR 100.83 and 100.143; and breakdowns, during the election cycle (C) Total loans; in each of the following categories: (viii) For authorized committee(s) of (i) Contributions from persons other Presidential candidates, federal funds than any committees; received under chapters 95 and 96 of the (A) Itemized contributions from per- Internal Revenue Code of 1954 (Title 26, sons, other than any committees, in- United States Code); cluding contributions from individuals, (ix) Offsets to operating expendi- but excluding contributions from a tures; candidate to his or her authorized com- (A) Itemized offsets to operating ex- mittees; penditures (such as refunds and re- (B) Unitemized contributions from bates); persons, other than any committees, (B) Unitemized offsets to operating including contributions from individ- expenditures (such as refunds and re- uals, but excluding contributions from bates); a candidate to his or her authorized (C) Total offsets to operating expend- committees; itures; (C) Total contributions from persons (x) Other receipts; other than any committees, including (A) Itemized other receipts (such as contributions from individuals, but ex- dividends and interest); cluding contributions from a candidate (B) Unitemized other receipts (such to his or her authorized committees; as dividends and interest); (ii) Contributions from the candidate, excluding loans which are reported (C) Total other receipts; under 11 CFR 104.3(a)(3)(vii)); (xi) Total receipts. (iii) Contributions from political (4) Itemization of receipts for all polit- party committees, including party ical committees including authorized and committees which are not political unauthorized committees. The identifica- committees under the Act, except that tion (as defined at § 100.12 of this chap- expenditures made under 11 CFR part ter) of each contributor and the aggre- 109, subpart D (52 U.S.C. 30116(d)),by a gate year-to-date (or aggregate elec- party committee shall not be reported tion-cycle-to-date, in the case of an au- as contributions by the authorized thorized committee) total for such con- committee on whose behalf they are tributor in each of the following cat- made; egories shall be reported.

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(i) Each person, other than any polit- date and amount of any such receipt; ical committee, who makes a contribu- and tion to the reporting political com- (vi) Each person who provides any mittee during the reporting period, dividend, interest, or other receipt to whose contribution or contributions the reporting political committee in an aggregate in excess of $200 per calendar aggregate value or amount in excess of year (or per election cycle in the case $200 within the calendar year (or with- of an authorized committee), together in the election cycle, in the case of an with the date of receipt and amount of authorized committee), together with any such contributions, except that the the date and amount of any such re- reporting political committee may ceipt. elect to report such information for (b) Reporting of disbursements. Each contributors of lesser amount(s) on a report filed under § 104.1 shall disclose separate schedule; the total amount of all disbursements (ii) All committees (including polit- for the reporting period and for the cal- ical committees and committees which endar year (or for the election cycle, in do not qualify as political committees the case of an authorized committees) under the Act) which make contribu- and shall disclose the information set tions to the reporting committee dur- forth at paragraphs (b)(1) through (b)(4) ing the reporting period, together with of this section. The first report filed by the date of receipt and amount of any a political committee shall also in- such contribution; clude all amounts disbursed prior to (iii) Transfers; becoming a political committee under (A) For authorized committees of a § 100.5 of this chapter, even if such candidate for Federal office, each au- amounts were not disbursed during the thorized committee which makes a current reporting period. transfer to the reporting committee, (1) Categories of disbursements for polit- together with the date and amount of ical committees other than authorized such transfer; committees. All political committees (B) For committees which are not au- other than authorized committees thorized by a candidate for Federal of- shall report the total amount of disbursements made during the reporting fice, each affiliated committee or orga- period and, except for itemized and nization which makes a transfer to the unitemized breakdowns, during the cal- reporting committee during the report- endar year in each of the following cating period and, where the reporting egories: committee is a political party committee, each transfer of funds to the re- (i) Operating expenditures; porting committee from another party (A) Itemized operating expenditures; committee regardless of whether such (B) Unitemized operating expendi- committees are affiliated, together tures; with the date and amount of such (C) Total operating expenditures; transfer; (ii) Transfers to affiliated commit- (iv) Each person who makes a loan to tees or organizations and, where the re- the reporting committee or to the can- porting committee is a political party didate acting as an agent of the com- committee, transfers to other political mittee, during the reporting period, to- party committees regardless of wheth- gether with the identification of any er they are affiliated; endorser or guarantor of such loan, the (iii) Repayment of all loans; date such loan was made and the (iv) Offsets; amount or value of such loan; (A) Itemized offsets to contributions (v) Each person who provides a re- (including contribution refunds); bate, refund or other offset to oper- (B) Unitemized offsets to contribu- ating expenditures to the reporting po- tions (including contribution refunds); litical committee in an aggregate (C) Total offsets to contributions; amount or value in excess of $200 with- (v) Contributions made to other po- in the calendar year (or within the litical committees; election cycle, in the case of an author- (vi) Loans made by the reporting ized committee), together with the committee;

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(vii) Independent expenditures made of each person in each of the following by the reporting committee; categories, as well as the information (viii) Expenditures made under 11 required by each category; CFR part 109, subpart D (52 U.S.C. (i) Each person to whom an expendi- 30116(d)), See 11 CFR 104.3(a)(3)(iii); ture in an aggregate amount or value (ix) Other disbursements; in excess of $200 within the calendar (A) Itemized other disbursements; year is made by the reporting com- (B) Unitemized other disbursements; mittee to meet the committee’s oper- (C) Total other disbursements; ating expenses, together with the date, (x) Total disbursements. amount, and purpose of such operating (2) Categories of disbursements for au- expenditure; thorized committees. An authorized com- (A) As used in 11 CFR 104.3(b)(3), pur- mittee of a candidate for Federal office pose means a brief statement or de- shall report the total amount of dis- scription of why the disbursement was bursements made during the reporting made. period and, except for itemized and (B) Examples of statements or de- unitemized breakdowns, during the scriptions which meet the require- election cycle in each of the following ments of 11 CFR 104.3(b)(3) include the categories: following: dinner expenses, media, sal- (i) Operating expenditures; ary, polling, travel, party fees, phone (A) Itemized operating expenditures; banks, travel expenses, travel expense (B) Unitemized operating expendi- reimbursement, and catering costs. tures; However, statements or descriptions (C) Total operating expenditures; such as advance, election day expenses, (ii) Transfers to other committees other expenses, expenses, expense reim- authorized by the same candidate; bursement, miscellaneous, outside serv- (iii) Repayment of loans; ices, get-out-the-vote and voter registra- (A) Repayment of loans made, guar- tion would not meet the requirements anteed, or endorsed by the candidate to of 11 CFR 104.3(b)(3) for reporting the his or her authorized committee including loans derived from a bank loan purpose of an expenditure. to the candidate or from an advance on (ii) Each affiliated committee to a candidate’s brokerage account, credit which a transfer is made by the report- card, home equity line of credit, or ing committee during the reporting pe- other lines of credit described in 11 riod and, where the reporting com- CFR 100.83 and 100.143; mittee is a political party committee, (B) Repayment of all other loans; each transfer of funds by the reporting (C) Total loan repayments; committee to another political party (iv) For an authorized committee of a committee, regardless of whether such candidate for the office of President, committees are affiliated, together disbursements not subject to the limi- with the date and amount of such tations of 11 CFR 110.8 (52 U.S.C. transfer; 30116(b)); (iii) Each person who receives a loan (v) Offsets; repayment from the reporting com- (A) Itemized offsets to contributions mittee during the reporting period, to- (including contribution refunds); gether with the date and amount of (B) Unitemized offsets to contribu- such loan repayment; tions (including contribution refunds); (iv) Each person who receives a con- (C) Total offsets to contributions; tribution refund or other offset to con- (vi) Other disbursements; tributions from the reporting com- (A) Itemized other disbursements; mittee where such contribution refund (B) Unitemized other disbursements; was reported under 11 CFR (C) Total other disbursements; 104.3(b)(1)(iv), together with the date (vii) Total disbursements. and amount of such refund or offset; (3) Itemization of disbursements by po- (v) Each political committee which litical committees other than authorized has received a contribution from the committees. Each political committee, reporting committee during the report- other than an authorized committee, ing period, together with the date and shall report the full name and address amount of any such contribution, and,

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in the case of a contribution to an au- period not otherwise disclosed in ac- thorized committee, the candidate’s cordance with 11 CFR 104.3(b)(3) to name and office sought (including whom the aggregate amount or value State and Congressional district, if ap- of disbursements made by the report- plicable); ing committee exceeds $200 within the (vi) Each person who has received a calendar year, together with the date, loan from the reporting committee amount and purpose of any such dis- during the reporting period, together bursement. with the date and amount or value of (4) Itemization of disbursements by au- such loan; thorized committees. Each authorized (vii) (A) Each person who receives committee shall report the full name any disbursement during the reporting and address of each person in each of period in an aggregate amount or value the following categories, as well as the in excess of $200 within the calendar information required by each category. year in connection with an independent (i) Each person to whom an expendi- expenditure by the reporting com- ture in an aggregate amount or value mittee, together with the date, in excess of $200 within the election amount, and purpose of any such inde- cycle is made by the reporting author- pendent expenditure(s); ized committee to meet the authorized (B) For each independent expenditure committee’s operating expenses, to- reported, the committee must also pro- gether with the date, amount and pur- vide a statement which indicates pose of each expenditure. whether such independent expenditure (A) As used in this paragraph, purpose is in support of, or in opposition to a means a brief statement or description particular candidate, as well as the of why the disbursement was made. Ex- name of the candidate and office amples of statements or descriptions sought by such candidate (including which meet the requirements of this State and Congressional district, when paragraph include the following: dinner applicable), and a certification, under expenses, media, salary, polling, travel, penalty of perjury, as to whether such party fees, phone banks, travel ex- independent expenditure is made in co- penses, travel expense reimbursement, operation, consultation or concert and catering costs. However, state- with, or at the request or suggestion of, ments or descriptions such as advance, any candidate or any authorized com- election day expenses, other expenses, ex- mittee or agent of such committee; penses, expense reimbursement, miscella- (C) The information required by 11 neous, outside services, get-out-the-vote CFR 104.3(b)(3)(vii) (A) and (B) shall be and voter registration would not meet reported on Schedule E as part of a re- the requirements of this paragraph for port covering the reporting period in reporting the purpose of an expendi- which the aggregate disbursements for ture. any independent expenditure to any (B) In addition to reporting the pur- person exceed $200 per calendar year. pose described in paragraph (b)(4)(i)(A) Schedule E shall also include the total of this section, whenever an authorized of all such expenditures of $200 or less committee itemizes a disbursement made during the reporting period. that is partially or entirely a personal (viii) Each person who receives any use for which reimbursement is re- expenditure from the reporting com- quired under 11 CFR 113.1(g)(1)(ii)(C) or mittee during the reporting period in (D), it shall provide a brief explanation connection with an expenditure under of the activity for which reimburse- 11 CFR part 109, subpart D (52 U.S.C. ment is required. 30116(d)),together with the date, (ii) Each authorized committee of the amount, and purpose of any such ex- same candidate to which a transfer is penditure as well as the name of, and made by the reporting committee dur- office sought by (including State and ing the reporting period, together with Congressional district, when applica- the date and amount of such transfer; ble), the candidate on whose behalf the (iii) Each person who receives a loan expenditure is made; and repayment, including a repayment of a (ix) Each person who has received loan of money derived from an advance any disbursement within the reporting on a candidate’s brokerage account,

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credit card, home equity line of credit, such debts and obligations are settled or other lines of credit described in 11 for less than their reported amount or CFR 100.83 and 100.143, from the report- value, each report filed under 11 CFR ing committee during the reporting pe- 104.1 shall contain a statement as to riod, together with the date and the circumstances and conditions amount of such loan repayment; under which such debts or obligations (iv) [Reserved] were extinguished and the amount (v) Each person who receives a con- paid. See 11 CFR 116.7. tribution refund or other offset to con- (1) In addition, when a political com- tributions from the reporting committee obtains a loan from, or estab- mittee where such contribution refund lishes a line of credit at, a lending in- was reported under 11 CFR stitution as described in 11 CFR 104.3(b)(2)(v), together with the date 100.82(a) through (d) and 100.142(a) and amount of such refund or offset. through (d), it shall disclose in the re- (vi) Each person who has received port covering the period when the loan any disbursement(s) not otherwise dis- was obtained, the following informa- closed under paragraph (b)(4) of this tion on schedule C-1 or C-P-1: section to whom the aggregate amount (i) The date and amount of the loan or value of such disbursements exceeds or line of credit; $200 within the election cycle, together (ii) The interest rate and repayment with the date, amount, and purpose of schedule of the loan, or of each draw on any such disbursement. the line of credit; (c) Summary of contributions and oper- (iii) The types and value of tradi- ating expenditures. Each report filed tional collateral or other sources of re- pursuant to § 104.1 shall disclose for payment that secure the loan or the both the reporting period and the cal- line of credit, and whether that secu- endar year (or the election cycle, in the rity interest is perfected; case of the authorized committee): (iv) An explanation of the basis upon (1)(i) The total contributions to the which the loan was made or the line of reporting committee; credit established, if not made on the (ii) The total offsets to contributions; basis of either traditional collateral or (iii) The net contributions (subtract the other sources of repayment de- total offsets from total contributions); scribed in 11 CFR 100.82(e)(1) and (2) (2)(i) The reporting committee’s total and 100.142(e)(1) and (2); and operating expenditures; (v) A certification from the lending (ii) The total offsets to operating ex- institution that the borrower’s re- penditures; sponses to paragraphs (d)(1)(i)–(iv) of (iii) The net operating expenditures this section are accurate, to the best of (subtract total offsets from total oper- the lending institution’s knowledge; ating expenditures). that the loan was made or the line of (d) Reporting debts and obligations. credit established on terms and condi- Each report filed under 11 CFR 104.1 tions (including interest rate) no more shall, on Schedule C or D, as appro- favorable at the time than those im- priate, disclose the amount and nature posed for similar extensions of credit of outstanding debts and obligations to other borrowers of comparable cred- owed by or to the reporting committee. it worthiness; and that the lending in- Loans, including a loan of money de- stitution is aware of the requirement rived from an advance on a candidate’s that a loan or a line of credit must be brokerage account, credit card, home made on a basis which assures repay- equity line of credit, or other lines of ment and that the lending institution credit described in 11 CFR 100.83, ob- has complied with Commission regula- tained by an individual prior to becom- tions at 11 CFR 100.82(a) through (d) ing a candidate for use in connection and 100.142(a) through (d). with that individual’s campaign shall (2) The political committee shall sub- be reported as an outstanding loan mit a copy of the loan or line of credit owed to the lender by the candidate’s agreement which describes the terms principal campaign committee, if such and conditions of the loan or line of loans are outstanding at the time the credit when it files Schedule C-1 or C- individual becomes a candidate. Where P-1. This paragraph (d)(2) shall not

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apply to any Schedule C-1 or C-P-1 that (4) No authorized committee of a can- is filed pursuant to paragraph (d)(4) of didate shall attribute more than $1,000 this section. in contributions to the same pseu- (3) The political committee shall file donym for each election and no other in the next due report a Schedule C-1 political committee shall attribute or C-P-1 each time a draw is made on a more than $5,000 in contributions to line of credit, and each time a loan or the same pseudonym in any calendar line of credit is restructured to change year. the terms of repayment. This para- (5) A committee using pseudonyms graph (d)(3) shall not apply to any shall send a list of such pseudonyms Schedule C-1 or C-P-1 that is filed pur- under separate cover directly to the suant to paragraph (d)(4) of this sec- Reports Analysis Division, Federal tion. Election Commission, 999 E Street, (4) When a candidate obtains a bank NW., Washington, DC 20463, on or be- loan or loan of money derived from an fore the date on which any report con- advance on the candidate’s brokerage taining such pseudonyms is filed with account, credit card, home equity line the Secretary of the Senate or the of credit, or other line of credit de- Commission. The Commission shall scribed in 11 CFR 100.83 and 100.143 for maintain the list, but shall exclude it use in connection with the candidate’s from the public record. A committee campaign, the candidate’s principal shall not send any list of pseudonyms campaign committee shall disclose in the report covering the period when to the Secretary of the Senate or to the loan was obtained, the following in- any Secretary of State or equivalent formation on Schedule C-1 or C-P-1: state officer. (i) The date, amount, and interest (6) A political committee shall not rate of the loan, advance, or line of use pseudonyms for the purpose of cir- credit; cumventing the reporting requirements (ii) The name and address of the lend- or the limitations and prohibitions of ing institution; and the Act. (iii) The types and value of collateral (f) Consolidated reports. Each prin- or other sources of repayment that se- cipal campaign committee shall con- cure the loan, advance, or line of cred- solidate in each report those reports it, if any. required to be filed with it. Such con- (e) Use of pseudonyms. (1) To deter- solidated reports shall include: (1) Re- mine whether the names and addresses ports submitted to it by any authorized of its contributors are being used in committees and (2) the principal cam- violation of 11 CFR 104.15 to solicit paign committee’s own report. Such contributions or for commercial pur- consolidation shall be made on FEC poses, a political committee may sub- Form 3–Z and shall be submitted with mit up to ten (10) pseudonyms on each the reports of the principal campaign report filed. committee and with the reports, or ap- (2) For purposes of this section, a plicable portions thereof, of the com- pseudonym is a wholly fictitious name mittees shown on the consolidation. which does not represent the name of (g) Building funds. (1) A political an actual contributor to a committee. party committee must report gifts, (3) If a committee uses pseudonyms it subscriptions, loans, advances, deposits shall subtract the total dollar amount of money, or anything of value that are of the fictitious contributions from the used by the political party committee’s total amount listed as a memo entry Federal accounts to defray the costs of on line 11(a) of the Detailed Summary construction or purchase of the com- page, Unitemized contributions from indi- mittee’s office building. See 11 CFR vidual persons other than political com- 300.35. Such a receipt is a contribution mittees. Thus, the committee will, for subject to the limitations and prohibi- this purpose only, be overstating the tions of the Act and reportable as a amount of itemized contributions received and understating the amount of contribution, regardless of whether the unitemized contributions received. contributor has designated the funds or

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things of value for such purpose and re- last general election for the seat or of- gardless of whether such funds are de- fice for which the candidate is running posited in a separate Federal account through December 31, 2000. dedicated to that purpose. [45 FR 15108, Mar. 7, 1980] (2) Gifts, subscriptions, loans, advances, deposits of money, or anything EDITORIAL NOTE: For FEDERAL REGISTER ci- of value that are donated to a non-Fed- tations affecting § 104.3, see the List of CFR Sections Affected, which appears in the eral account of a State or local party Finding Aids section of the printed volume committee and are used by that party and at www.fdsys.gov. committee for the purchase or construction of its office building are not § 104.4 Independent expenditures by contributions subject to the reporting political committees (52 U.S.C. requirements of the Act. The reporting 30104(b), (d), and (g)). of such funds or things of value is sub- (a) Regularly scheduled reporting. ject to State law. Every political committee that makes (3) Gifts, subscriptions, loans, ad- independent expenditures must report vances, deposits of money, or anything all such independent expenditures on of value that are used by a national Schedule E in accordance with 11 CFR committee of a political party to de- 104.3(b)(3)(vii). Every person that is not fray the costs of construction or pur- a political committee must report chase of the national committee’s of- independent expenditures in accord- fice building are contributions subject ance with paragraphs (e) and (f) of this to the requirements of paragraph (g)(1) section and 11 CFR 109.10. of this section. (b) Reports of independent expenditures (h) Legal and accounting services. A made at any time up to and including the committee which receives legal or ac- 20th day before an election—(1) Inde- counting services pursuant to 11 CFR pendent expenditures aggregating less 100.85 and 100.86 shall report as a memo than $10,000 in a calendar year. Political entry, on Schedule A, the amounts paid committees must report on Schedule E for these services by the regular em- of FEC Form 3X at the time of their ployer of the person(s) providing such regular reports in accordance with 11 services; the date(s) such services were CFR 104.3, 104.5 and 104.9, all inde- performed; and the name of each per- pendent expenditures aggregating less son performing such services. than $10,000 with respect to a given (i) Cumulative reports. The reports re- election any time during the calendar quired to be filed under § 104.5 shall be year up to and including the 20th day cumulative for the calendar year (or before an election. for the election cycle, in the case of an (2) Independent expenditures aggre- authorized committee) to which they gating $10,000 or more in a calendar year. relate, but if there has been no change Political committees must report on in a category reported in a previous re- Schedule E of FEC Form 3X all inde- port during that year (or during that pendent expenditures aggregating election cycle, in the case of an author- $10,000 or more with respect to a given ized committee), only the amount election any time during the calendar thereof need be carried forward. year up to and including the 20th day (j) Earmarked contributions. Ear- before an election. Political commit- marked contributions shall be reported tees must ensure that the Commission in accordance with 11 CFR 110.6. See receives these reports by 11:59 p.m. also 11 CFR 102.8(c). Eastern Standard/Daylight Time on (k) Reporting Election Cycle Activity the second day following the date on Occurring Prior to January 1, 2001. The which a communication that con- aggregate of each category of receipt stitutes an independent expenditure is listed in paragraph (a)(3) of this sec- publicly distributed or otherwise pub- tion, except those in paragraphs licly disseminated. Each time subse- (a)(3)(i)(A) and (B) of this section, and quent independent expenditures relat- for each category of disbursement listing to the same election aggregate an ed in paragraph (b)(2) of this section additional $10,000 or more, the political shall include amounts received or dis- committee must ensure that the Com- bursed on or after the day after the mission receives a new 48-hour report

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of the subsequent independent expendi- either of these methods shall be treat- tures by 11:59 p.m. Eastern Standard/ ed for all purposes (including penalties Daylight Time on the second day fol- for perjury) in the same manner as a lowing the date on which the commu- document verified by signature. nication is publicly distributed or oth- (1) For reports filed on paper (e.g., by erwise publicly disseminated. (See hand-delivery, U.S. Mail or facsimile paragraph (f) of this section for aggre- machine), the treasurer of the political gation.) Each 48-hour report must con- committee that made the independent tain the information required by 11 expenditure must certify, under pen- CFR 104.3(b)(3)(vii) indicating whether alty of perjury, the independence of the the independent expenditure is made in expenditure by handwritten signature support of, or in opposition to, the can- immediately following the certifi- didate involved. In addition to other cation required by 11 CFR permissible means of filing, a political 104.3(b)(3)(vii). committee may file the 48-hour reports (2) For reports filed by electronic under this section by any of the means mail, the treasurer of the political permissible under 11 CFR 100.19(d)(3). committee that made the independent (c) Reports of independent expenditures expenditure shall certify, under pen- made less than 20 days, but more than 24 alty of perjury, the independence of the hours before the day of an election. Polit- expenditure by typing the treasurer’s ical committees must ensure that the name immediately following the cer- Commission receives reports of inde- tification required by 11 CFR pendent expenditures aggregating 104.3(b)(3)(vii). $1,000 or more with respect to a given (e) Where to file. Reports of inde- election, after the 20th day, but more pendent expenditures under this sec- than 24 hours before 12:01 a.m. of the tion and 11 CFR 109.10(b) shall be filed day of the election, by 11:59 p.m. East- as follows: ern Standard/Daylight Time on the day following the date on which a commu- (1) For independent expenditures in nication is publicly distributed or oth- support of, or in opposition to, a can- erwise publicly disseminated. Each didate for President or Vice President: time subsequent independent expendi- with the Commission and the Sec- tures relating to the same election ag- retary of State for the State in which gregate an additional $1,000 or more, the expenditure is made. the political committee must ensure (2) For independent expenditures in that the Commission receives a new 24- support of, or in opposition to, a can- hour report of the subsequent inde- didate for the Senate: pendent expenditures by 11:59 p.m. (i) For regularly scheduled reports, Eastern Standard/Daylight Time on with the Secretary of the Senate and the day following the date on which a the Secretary of State for the State in communication that constitutes an which the candidate is seeking elec- independent expenditure is publicly tion; or distributed or otherwise publicly dis- (ii) For 24-hour and 48-hour reports, seminated. (See paragraph (f) of this with the Commission and the Sec- section for aggregation.) Each 24-hour retary of State for the State in which report shall contain the information the candidate is seeking election. required by 11 CFR 104.3(b)(3)(vii) indi- (3) For independent expenditures in cating whether the independent ex- support of, or in opposition to, a can- penditure is made in support of, or in didate for the House of Representa- opposition to, the candidate involved. tives: with the Commission and the Political committees may file reports Secretary of State for the State in under this section by any of the means which the candidate is seeking elec- permissible under 11 CFR 100.19(d)(3). tion. (d) Verification. Political committees (4) Notwithstanding the requirements must verify reports of independent ex- of paragraphs (e)(1), (2), and (3) of this penditures filed under paragraph (b) or section, political committees and other (c) of this section by one of the meth- persons shall not be required to file re- ods stated in paragraph (d)(1) or (2) of ports of independent expenditures with this section. Any report verified under the Secretary of State if that State has

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obtained a waiver under 11 CFR ing the period beginning on the 5th day 108.1(b). after the close of the calendar quarter (f) Aggregating independent expendi- and ending on the 15th day after the tures for reporting purposes. For pur- close of the calendar quarter. poses of determining whether 24-hour (2) Additional reports in the election and 48-hour reports must be filed in ac- year. (i) Pre-election reports. (A) Pre- cordance with paragraphs (b) and (c) of election reports for the primary and this section and 11 CFR 109.10(c) and general election must be filed no later (d), aggregations of independent ex- than 12 days before any primary or penditures must be calculated as of the general election in which the candidate first date on which a communication seeks election. If sent by registered or that constitutes an independent ex- certified mail, Priority Mail or Express penditure is publicly distributed or Mail with a delivery confirmation, or otherwise publicly disseminated, and with an overnight delivery service and as of the date that any such commu- scheduled to be delivered the next busi- nication with respect to the same elec- ness day after the date of deposit and tion is subsequently publicly distrib- recorded in the overnight delivery serv- uted or otherwise publicly dissemi- ice’s on-line tracking system, the post- nated. Every person must include in mark on the report must be dated no the aggregate total all disbursements later than the 15th day before any elec- during the calendar year for inde- tion. pendent expenditures, and all enforce- (B) The pre-election report must dis- able contracts, either oral or written, close all receipts and disbursements as obligating funds for disbursements dur- of the 20th day before a primary or gen- ing the calendar year for independent eral election. expenditures, where those independent (ii) Post-general election report. (A) expenditures are made with respect to The post-general election report must the same election for Federal office. be filed no later than 30 days after any [68 FR 417, Jan. 3, 2003] general election in which the candidate seeks election. § 104.5 Filing dates (52 U.S.C. (B) The post-general election report 30104(a)(2)). must be complete as of the 20th day (a) Principal campaign committee of after the general election. House of Representatives or Senate can- (b) Principal campaign committee of didate. Each treasurer of a principal Presidential candidate. Each treasurer of campaign committee of a candidate for a principal campaign committee of a the House of Representatives or for the candidate for President shall file re- Senate must file quarterly reports on ports on the dates specified at 11 CFR the dates specified in paragraph (a)(1) 104.5(b) (1) and (2). of this section in both election years (1) Election year reports. (i) If on Janu- and non-election years, and must file ary 1 of the election year, the com- additional reports on the dates speci- mittee has received or anticipates re- fied in paragraph (a)(2) of this section ceiving contributions aggregating in election years. $100,000 or more, or has made or antici- (1) Quarterly reports. (i) Quarterly re- pates making expenditures aggregating ports must be filed no later than the $100,000 or more, it shall file monthly 15th day following the close of the im- reports. mediately preceding calendar quarter (A) Each report shall be filed no later (on April 15, July 15, and October 15), than the 20th day after the last day of except that the report for the final cal- each month. endar quarter of the year must be filed (B) The report shall be complete as of no later than January 31 of the fol- the last day of each month. lowing calendar year. (C) In lieu of the monthly reports due (ii) The report must be complete as of in November and December, a pre-elec- the last day of each calendar quarter. tion report shall be filed as prescribed (iii) The requirement for a quarterly at paragraph (a)(2)(i) of this section, a report shall be waived if, under para- post-general election report shall be graph (a)(2) of this section, a pre-elec- filed as prescribed at paragraph tion report is required to be filed dur- (a)(2)(ii) of this section, and a year-end

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report shall be filed no later than Jan- intention at the time it files a required uary 31 of the following calendar year. report under its current filing fre- (ii) If on January 1 of the election quency. Such political committee will year, the committee does not antici- then be required to file the next re- pate receiving and has not received quired report under its new filing fre- contributions aggregating $100,000 and quency. A political committee may does not anticipate making and has not change its filing frequency no more made expenditures aggregating than once per calendar year. $100,000, the committee shall file a (1) Election year reports—(i) Quarterly preelection report or reports, a post reports. (A) Quarterly reports shall be general election report, and quarterly filed no later than the 15th day fol- reports, as prescribed in paragraphs lowing the close of the immediately (a)(1) and (2) of this section. preceding calendar quarter, (on April (iii) If during the election year, a 15, July 15, and October 15), except that committee filing under 11 CFR the report for the final calendar quar- 104.5(b)(1)(ii) receives contributions ag- ter of the year shall be filed on Janu- gregating $100,000 or makes expendi- ary 31 of the following calendar year. tures aggregating $100,000, the treas- (B) The reports shall be complete as urer shall begin filing monthly reports of the last day of the calendar quarter at the next reporting period. for which the report is filed. (2) Non-election year reports. During a (C) The requirement for a quarterly non-election year, the treasurer shall report shall be waived if under 11 CFR file either monthly reports as pre- 104.5(c)(1)(ii) a pre-election report is re- scribed by paragraph (b)(1)(i) of this quired to be filed during the period be- section or quarterly reports as pre- ginning on the fifth day after the close scribed by paragraph (a)(1) of this sec- of the calendar quarter and ending on tion. A principal campaign committee the fifteenth day after the close of the of a Presidential candidate may elect calendar quarter. to change the frequency of its reporting from monthly to quarterly or vice (ii) Pre-election reports. (A) Pre-elec- versa during a non-election year only tion reports for the primary and gen- after notifying the Commission in writ- eral election shall be filed by a polit- ing of its intention at the time it files ical committee which makes contribu- a required report under its pre-existing tions or expenditures in connection filing frequency. The committee will with any such election if such disburse- then be required to file the next re- ments have not been previously dis- quired report under its new filing fre- closed. Pre-election reports shall be quency. The committee may change its filed no later than 12 days before any filing frequency no more than once per primary or general election. If sent by calendar year. registered or certified mail, Priority (c) Political committees that are not au- Mail or Express Mail with a delivery thorized committees of candidates. Except confirmation, or with an overnight de- as provided in paragraph (c)(4) of this livery service and scheduled to be de- section, each political committee that livered the next business day after the is not the authorized committee of a date of deposit and recorded in the candidate must file either: Election overnight delivery service’s on-line year and non-election year reports in tracking system, the postmark on the accordance with paragraphs (c)(1) and report shall be dated no later than the (2) of this section; or monthly reports 15th day before any election. in accordance with paragraph (c)(3) of (B) The report shall disclose all re- this section. A political committee receipts and disbursements as of the 20th porting under paragraph (c) of this sec- day before a primary or general election may elect to change the frequency tion. of its reporting from monthly to quar- (iii) Post-general election reports. (A) A terly and semi-annually or vice versa. A post-general election report shall be political committee reporting under filed no later than 30 days after any this paragraph (c) may change the fre- general election. quency of its reporting only after noti- (B) The report shall be complete as of fying the Commission in writing of its the 20th day after the general election.

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(2) Non-election year reports—(i) Semi- of this section, sent by first class mail, annual reports. (A) The first report or by any means other than those list- shall cover January 1 through June 30, ed in this paragraph (e), must be re- and shall be filed no later than July 31. ceived by the close of business on the (B) The second report shall cover prescribed filing date to be timely July 1 through December 31, and shall filed. Designations, reports or state- be filed no later than January 31 of the ments electronically filed must be re- following year. ceived and validated at or before 11:59 (3) Monthly reports. (i) Except as pro- p.m., eastern standard/daylight time on vided at 11 CFR 104.5(c)(3)(ii), monthly the prescribed filing date to be timely reports shall be filed no later than 20 filed. days after the last day of the month. (f) 48-hour notification of contributions. (ii) In lieu of the monthly reports due If any contribution of $1,000 or more is in November and December, in any received by any authorized committee year in which a regularly scheduled of a candidate after the 20th day, but general election is held, a pre-election more than 48 hours, before 12:01 a.m. of report shall be filed as prescribed at 11 the day of the election, the principal CFR 104.5(a)(2)(i), a post general elec- campaign committee of that candidate tion report shall be filed as prescribed shall notify the Commission, the Sec- at 11 CFR 104.5(a)(2)(ii), and a year-end retary of the Senate and the Secretary report shall be filed no later than Jan- of State, as appropriate, within 48 uary 31 of the following calendar year. hours of receipt of the contribution. (4) National party committee reporting. The notification shall be in writing and Notwithstanding anything to the con- shall include the name of the candidate trary in this paragraph, a national and office sought by the candidate, the committee of a political party, includ- identification of the contributor, and ing a national Congressional campaign the date of receipt and amount of the committee, must report monthly in ac- contribution. The notification shall be cordance with paragraph (c)(3) of this filed in accordance with 11 CFR 100.19. section in both election and non-elec- The notification shall be in addition to tion years. the reporting of these contributions on (d) Committees supporting Vice Presi- the post-election report. dential candidates. The treasurer of a (g) Reports of independent expendi- committee supporting a candidate for tures—(1) 48-hour reports of independent the office of Vice President (other than expenditures. Every person that must a nominee of a political party) shall file a 48-hour report under 11 CFR file reports on the same basis that the 104.4(b) must ensure the Commission principal campaign committee of a receives the report by 11:59 p.m. East- Presidential candidate must file re- ern Standard/Daylight Time on the sec- ports under 11 CFR 104.5(b). ond day following the date on which a (e) Date of filing. A designation, re- communication that constitutes an port or statement, other than those ad- independent expenditure is publicly dressed in paragraphs (f), (g), and (j) of distributed or otherwise publicly dis- this section, sent by registered or cer- seminated. Each time subsequent inde- tified mail, Priority Mail or Express pendent expenditures by that person Mail with a delivery confirmation, or relating to the same election as that to with an overnight delivery service and which the previous report relates ag- scheduled to be delivered the next busi- gregate $10,000 or more, that person ness day after the date of deposit and must ensure that the Commission re- recorded in the overnight delivery serv- ceives a new 48-hour report of the sub- ice’s on-line tracking system, shall be sequent independent expenditures by considered filed on the date of the post- 11:59 p.m. Eastern Standard/Daylight mark except that a twelve day pre- Time on the second day following the election report sent by such mail or date on which the $10,000 threshold is overnight delivery service must have a reached or exceeded. (See 11 CFR postmark dated no later than the 15th 104.4(f) for aggregation.) day before any election. Designations, (2) 24-hour reports of independent ex- reports or statements, other than those penditures. Every person that must file addressed in paragraphs (f), (g), and (j) a 24-hour report under 11 CFR 104.4(c)

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must ensure that the Commission re- in 10 days of the date a special election ceives the report by 11:59 p.m. Eastern report is due. The Commission shall Standard/Daylight Time on the day fol- notify all appropriate committees of lowing the date on which a commu- reports so waived. nication that constitutes an inde- (i) Committees should retain proof of pendent expenditure is publicly distrib- mailing or other means of transmittal uted or otherwise publicly dissemi- of the reports to the Commission. nated. Each time subsequent inde- (j) 24-hour statements of electioneering pendent expenditures by that person communications. Every person who has relating to the same election as that to made a disbursement or who has exe- which the previous report relates ag- cuted a contract to make a disburse- gregate $1,000 or more, that person ment for the direct costs of producing must ensure that the Commission re- or airing electioneering communica- ceives a 24-hour report of the subse- tions as defined in 11 CFR 100.29 aggre- quent independent expenditures by gating in excess of $10,000 during any 11:59 p.m. Eastern Standard/Daylight calendar year shall file a statement Time on the day following the date on with the Commission by 11:59 p.m. which the $1,000 threshold is reached or Eastern Standard/Daylight Time on exceeded. (See 11 CFR 104.4(f) for aggre- the day following the disclosure date. gation.) The statement shall be filed under pen- (3) Each 24-hour or 48-hour report of alty of perjury and in accordance with independent expenditures filed under 11 CFR 104.20. this section shall contain the informa- [45 FR 15108, Mar. 7, 1980, as amended at 61 tion required by 11 CFR 104.3(b)(3)(vii) FR 3549, Feb. 1, 1996; 65 FR 31794, May 19, indicating whether the independent ex- 2000; 65 FR 38423, June 21, 2000; 67 FR 12839, penditure is made in support of, or in Mar. 20, 2002; 68 FR 418, Jan. 3, 2003; 68 FR opposition to, the candidate involved. 47414, Aug. 8, 2003; 69 FR 68238, Nov. 24, 2004; (4) For purposes of this part and 11 70 FR 13091, Mar. 18, 2005; 79 FR 16663, Mar. 26, 2014] CFR part 109, a communication that is mailed to its intended audience is pub- § 104.6 Form and content of internal licly disseminated when it is relin- communications reports (52 U.S.C. quished to the U.S. Postal Service. 30101(9)(B)(iii)). (h) Special election reports. (1) Within 5 (a) Form. Every membership organi- days of the setting of a special elec- zation or corporation which makes dis- tion, the Commission shall set filing bursements for communications pursu- dates for reports to be filed by prin- ant to 11 CFR 100.134(a) and 114.3 shall cipal campaign committees of can- report to the Commission on FEC didates seeking election, or nomina- Form 7 such costs which are directly tion for election, in special elections attributable to any communication ex- and for political committees, other pressly advocating the election or de- than authorized committees, which feat of a clearly identified candidate make contributions to or expenditures (other than a communication primarily on behalf of a candidate or candidates devoted to subjects other than the elec- in special elections. The Commission tion or defeat of a clearly identified shall publish such reporting dates in candidate), if such costs exceed $2,000 the FEDERAL REGISTER and shall notify for any election. the principal campaign committees of (1) For the purposes of 11 CFR all candidates in such election of the 104.6(a), election means two separate reporting dates. The Commission shall processes in a calendar year, to each of not require such committees to file which the $2,000 threshold described more than one pre-election report for above applies separately. The first each election and one post-election re- process is comprised of all primary port for the election which fills the va- elections for federal office, wherever cancy. and whenever held; the second process (2) Reports required to be filed under is comprised of all general elections for 11 CFR 104.5(a) or (c) may be waived by federal office, wherever and whenever the Commission for committees filing held. special election reports if a report (2) The term election shall also in- under 11 CFR 104.5(a) or (c) is due with- clude each special election held to fill

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a vacancy in a Federal office (11 CFR to obtain, maintain and report the re- 100.2(f)) or each runoff election (11 CFR quired information if: 100.2(d)). (1)(i) All written solicitations for (b) Filing dates. Organizations re- contributions include a clear request quired to report under 11 CFR 104.6(a) for the contributor’s full name, mailing shall file such reports during a cal- address, occupation and name of em- endar year in which a regularly sched- ployer, and include an accurate state- uled general election is held. Such re- ment of Federal law regarding the col- ports shall be filed quarterly in accord- lection and reporting of individual con- ance with 11 CFR 104.5(a)(1) and, with tributor identifications. respect to any general election, in ac- (A) The following are examples of accordance with 11 CFR 104.5(a)(2)(i). The ceptable statements for unauthorized organization shall be required to file committees, but are not the only al- reports beginning with the first report- lowable statements: ‘‘Federal law re- ing period during which the aggregate quires us to use our best efforts to col- cost for such communications exceeds lect and report the name, mailing ad- $2,000 per election as defined in 11 CFR dress, occupation and name of em- 104.6(a)(1), and for each quarter there- ployer of individuals whose contribu- after in which the organization makes tions exceed $200 in a calendar year;’’ additional disbursements in connection and ‘‘To comply with Federal law, we with the same election. must use best efforts to obtain, main- (c) Each report filed under 11 CFR tain, and submit the name, mailing ad- 104.6 shall include, for each commu- dress, occupation and name of em- nication: ployer of individuals whose contribu- (1) The type of communication (such tions exceed $200 per calendar year.’’ as direct mail, telephone or telegram); (B) The following are examples of ac- (2) The date(s) of the communication; ceptable statements for authorized (3) The name of the candidate, the of- committees, but are not the only al- fice sought (and the district and state lowable statements: ‘‘Federal law re- of the office, if applicable), and wheth- quires us to use our best efforts to col- er the communication was for the pri- lect and report the name, mailing ad- mary or general election; dress, occupation and name of em- (4) Whether the communication was ployer of individuals whose contribu- in support of or in opposition to, a par- tions exceed $200 in an election cycle;’’ ticular candidate; and and ‘‘To comply with Federal law, we (5) The cost of the communication. must use best efforts to obtain, main- [45 FR 15108, Mar. 7, 1980, as amended at 67 tain, and submit the name, mailing ad- FR 78680, Dec. 26, 2002; 79 FR 16663, Mar. 26, dress, occupation and name of em- 2014] ployer of individuals whose contributions exceed $200 per election cycle.’’ § 104.7 Best efforts (52 U.S.C. 30102(i)). (ii) The request and statement shall (a) When the treasurer of a political appear in a clear and conspicuous man- committee shows that best efforts have ner on any response material included been used to obtain, maintain and sub- in a solicitation. The request and mit the information required by the statement are not clear and con- Act for the political committee, any spicuous if they are in small type in report of such committee shall be con- comparison to the solicitation and re- sidered in compliance with the Act. sponse materials, or if the printing is (b) With regard to reporting the iden- difficult to read or if the placement is tification as defined at 11 CFR 100.12 of easily overlooked. each person whose contribution(s) to (2) For each contribution received ag- the political committee and its affili- gregating in excess of $200 per calendar ated political committees aggregate in year (or per election cycle, in the case excess of $200 in a calendar year (or in of an authorized committee) which an election cycle in the case of an au- lacks required contributor informa- thorized committee) (pursuant to 11 tion, such as the contributor’s full CFR 104.3(a)(4)), the treasurer and the name, mailing address, occupation or political committee will only be name of employer, the treasurer makes deemed to have exercised best efforts at least one effort after the receipt of

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the contribution to obtain the missing tion cycle in which the contribution information. Such effort shall consist was received and that disclose of either a written request sent to the itemizable contributions from the contributor or an oral request to the same contributor. However, political contributor documented in writing. committees are not required to file The written or oral request must be amendments to reports covering pre- made no later than thirty (30) days vious election cycles. after receipt of the contribution. The written or oral request shall not in- [45 FR 15108, Mar. 7, 1980, as amended at 58 clude material on any other subject or FR 57729, Oct. 27, 1993; 62 FR 23336, Apr. 30, any additional solicitation, except that 1997; 65 FR 42624, July 11, 2000] it may include language solely thank- ing the contributor for the contribu- § 104.8 Uniform reporting of receipts. tion. The request must clearly ask for (a) A reporting political committee the missing information, and must in- shall disclose the identification of each clude the statement set forth in para- individual who contributes an amount graph (b)(1) of this section. Written re- in excess of $200 to the political com- quests must include this statement in mittee’s federal account(s). This iden- a clear and conspicuous manner. If the tification shall include the individual’s request is written, it shall be accom- name, mailing address, occupation, the panied by a pre-addressed return post name of his or her employer, if any, card or envelope for the response mate- and the date of receipt and amount of rial; any such contribution. If an individual (3) The treasurer reports all contrib- contributor’s name is known to have utor information not provided by the changed since an earlier contribution contributor, but in the political com- reported during the calendar year (or mittee’s possession, or in its connected during the election cycle, in the case of organization’s possession, regarding contributor identifications, including an authorized committee), the exact information in contributor records, name or address previously used shall fundraising records and previously filed be noted with the first reported con- reports, in the same two-year election tribution from that contributor subse- cycle in accordance with 11 CFR 104.3; quent to the name change. and (b) In each case where a contribution (4)(i) If any of the contributor infor- received from an individual in a report- mation is received after the contribu- ing period is added to previously tion has been disclosed on a regularly unitemized contributions from the scheduled report, the political com- same individual and the aggregate ex- mittee shall either: ceeds $200 in a calendar year (or in an (A) File with its next regularly election cycle, in the case of an author- scheduled report, an amended memo ized committee) the reporting political Schedule A listing all contributions for committee shall disclose the identifica- which contributor identifications have tion of such individual along with the been received during the reporting pe- date of receipt and amount of any such riod covered by the next regularly contribution. Except for contributions scheduled report together with the by payroll deduction, each additional dates and amounts of the contribu- contribution from the individual shall tion(s) and an indication of the pre- be separately itemized. In the case of a vious report(s) to which the memo political committee other than an au- Schedule A relates; or thorized committee which receives (B) File on or before its next regularly scheduled reporting date, amend- contributions through a payroll deduc- ments to the report(s) originally dis- tion plan, such committee is not re- closing the contribution(s), which in- quired to separately itemize each addi- clude the contributor identifications tional contribution received from the together with the dates and amounts of contributor during the reporting pe- the contribution(s). riod. In lieu of separate itemization, (ii) Amendments must be filed for all such committee may report: the aggre- reports that cover the two-year elec- gate amount of contributions received

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from the contributor through the pay- ical committee, including the election roll deduction plan during the report- for which the contribution was redesig- ing period; the identification of the in- nated and the date on which the redes- dividual; and a statement of the ignation was made. amount deducted per pay period. (3) If an itemized contribution is re- (c) Absent evidence to the contrary, attributed by the contributor(s) in ac- any contribution made by check, cordance with 11 CFR 110.1(k), the money order, or other written instru- treasurer shall report the reattribution ment shall be reported as a contribu- in a memo entry on Schedule A of the tion by the last person signing the in- report covering the reporting period in strument prior to delivery to the can- which the reattribution is received. didate or committee. The memo entry for each reattributed (d)(1) If an itemized contribution is contribution shall be reported in the made by more than one person in a sin- following manner— gle written instrument, the treasurer (i) The first part of the memo entry shall report the amount to be attrib- shall disclose all of the information for uted to each contributor. the contribution as it was originally (2)(i) If a contribution is redesignated reported on Schedule A; by a contributor, in accordance with 11 (ii) The second part of the memo CFR 110.1(b) or 110.2(b), the treasurer of entry shall disclose all of the informa- the authorized political committee re- tion for the contribution as it was receiving the contribution shall report attributed by the contributors, includ- the redesignation in a memo entry on ing the date on which the reattribution Schedule A of the report covering the was received. reporting period in which the redesig- (4) If a contribution is refunded to nation is received. The memo entry for the contributor, the treasurer of the each redesignated contribution shall be political committee making the refund reported in the following manner— shall report the refund on Schedule B (A) The first part of the memo entry of the report covering the reporting pe- shall disclose all of the information for riod in which the refund is made, in ac- the contribution as it was originally cordance with 11 CFR 103.3(b)(5) and reported on Schedule A; 104.3(b). If a contribution is refunded to (B) The second part of the memo a political committee, the treasurer of entry shall disclose all of the informa- the political committee receiving the tion for the contribution as it was re- refund shall report the refund on designated by the contributor, includ- Schedule A of the report covering the ing the election for which the contribu- reporting period in which the refund is tion was redesignated and the date on received, in accordance with 11 CFR which the redesignation was received. 104.3(a). (ii) If a contribution from a political (e) For reports covering activity on committee is redesignated by the con- or before December 31, 2002, national tributing political committee in ac- party committees shall disclose in a cordance with 11 CFR 110.1(b) or memo Schedule A information about 110.2(b), the treasurer of such political each individual, committee, corpora- committee shall report the redesignation, labor organization, or other enti- tion in a memo entry on Schedule B of ty that donates an aggregate amount the report covering the reporting pe- in excess of $200 in a calendar year to riod in which the redesignation is the committee’s non-Federal ac- made. The memo entry for each redes- count(s). This information shall in- ignated contribution shall be reported clude the donating individual’s or enti- in the following manner— ty’s name, mailing address, occupation (A) The first part of the memo entry or type of business, and the date of re- shall disclose all of the information for ceipt and amount of any such donation. the contribution as it was originally If a donor’s name is known to have reported on Schedule B; changed since an earlier donation re- (B) The second part of the memo ported during the calendar year, the entry shall disclose all of the informa- exact name or address previously used tion for the contribution as it was re- shall be noted with the first reported designated by the contributing polit- donation from that donor subsequent

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to the name change. The memo entry within the election cycle, in the case of shall also include, where applicable, an authorized committee) is made from the information required by paragraphs the reporting political committee’s (b) through (d) of this section. federal account(s), together with the (f) For reports covering activity on date, amount and purpose of such ex- or before December 31, 2002, national penditure, in accordance with para- party committees shall also disclose in graph (b) of this section. As used in a memo Schedule A information about this section, purpose means a brief each individual, committee, corpora- statement or description as to the rea- tion, labor organization, or other enti- sons for the expenditure. See 11 CFR ty that donates an aggregate amount 104.3(b)(3)(i)(A). in excess of $200 in a calendar year to (b) In each case when an expenditure the committee’s building fund ac- made to a recipient in a reporting pe- count(s). This information shall in- riod is added to previously unitemized clude the donating individual’s or enti- expenditures to the same recipient and ty’s name, mailing address, occupation the total exceeds $200 for the calendar or type of business, and the date of re- year (or for the election cycle, in the ceipt and amount of any such donation. case of an authorized committee), the If a donor’s name is known to have reporting political committee shall dis- changed since an earlier donation re- close the recipient’s full name and ported during the calendar year, the mailing address on the prescribed re- exact name or address previously used porting forms, together with the date, shall be noted with the first reported amount and purpose of such expendi- donation from that donor subsequent ture. As used in this section, purpose to the name change. The memo entry means a brief statement or description shall also include, where applicable, as to the reason for the disbursement the information required by paragraphs as defined at 11 CFR 104.3(b)(3)(i)(A). (b) through (d) of this section. (c) For reports covering activity on (g) The principal campaign com- or before March 31, 2003, national party mittee of the candidate shall report the committees shall report in a memo receipt of any bank loan obtained by Schedule B the full name and mailing the candidate or loan of money derived address of each person to whom a dis- from an advance on a candidate’s bro- bursement in an aggregate amount or kerage account, credit card, home eq- value in excess of $200 within the cal- uity line of credit, or other lines of endar year is made from the commit- credit described in 11 CFR 100.83 and tee’s non-Federal account(s), together 100.143, as an itemized entry of Sched- with the date, amount, and purpose of ule A as follows: such disbursement, in accordance with (1) The amount of the loan that is paragraph (b) of this section. As used used in connection with the candidate’s in this section, purpose means a brief campaign shall be reported as an statement or description as to the rea- itemized entry on Schedule A. sons for the disbursement. See 11 CFR (2) See 11 CFR 100.83(c) for special re- 104.3(b)(3)(i)(A). porting rules regarding certain loans (d) For reports covering activity on used for a candidate’s routine living ex- or before March 31, 2003, national party penses. committees shall report in a memo Schedule B the full name and mailing [45 FR 15108, Mar. 7, 1980, as amended at 52 FR 774, Jan. 9, 1987; 55 FR 26067, June 26, 1990; address of each person to whom a dis- 65 FR 42624, July 11, 2000; 67 FR 38360, June 4, bursement in an aggregate amount or 2002; 67 FR 49112, July 29, 2002; 75 FR 31, Jan. value in excess of $200 within the cal- 4, 2010] endar year is made from the committee’s building fund account(s), together § 104.9 Uniform reporting of disburse- with the date, amount, and purpose of ments. such disbursement, in accordance with (a) Political committees shall report paragraph (b) of this section. As used the full name and mailing address of in this section, purpose means a brief each person to whom an expenditure in statement or description as to the rea- an aggregate amount or value in excess sons for the disbursement. See 11 CFR of $200 within the calendar year (or 104.3(b)(3)(i)(A).

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(e) For reports covering activity on Federal candidates. In each report dis- or before December 31, 2002, national closing a payment that includes both party committees shall report in a expenditures on behalf of one or more memo Schedule B each transfer from Federal candidates and disbursements their non-Federal account(s) to the on behalf of one or more non-Federal non-Federal accounts of a State or candidates, the committee shall assign local party committee. a unique identifying title or code to (f) The principal campaign com- each program or activity conducted on mittee of the candidate shall report its behalf of such candidates, shall state repayment to the candidate or lending the allocation ratio calculated for the institution of any bank loan obtained program or activity, and shall explain by the candidate or loan of money de- the manner in which the ratio was derived from an advance on a candidate’s rived. The committee shall also sum- brokerage account, credit card, home marize the total amounts attributed to equity line of credit, or other lines of each candidate, to date, for each joint credit described in 11 CFR 100.83 and program or activity. 100.143 as an itemized entry on Sched- (2) Reporting of transfers between ac- ule B. counts for the purpose of paying expenses attributable to specific Federal and non- [45 FR 15108, Mar. 7, 1980, as amended at 55 FR 26067, June 26, 1990; 65 FR 42624, July 11, Federal candidates. A political com- 2000; 67 FR 38361, June 4, 2002; 67 FR 49113, mittee that pays allocable expenses in July 29, 2002; 79 FR 16663, Mar. 26, 2014] accordance with 11 CFR 106.6(e) shall report each transfer of funds from its § 104.10 Reporting by separate seg- non-Federal account to its Federal ac- regated funds and nonconnected count or to its separate allocation ac- committees of expenses allocated count for the purpose of paying such among candidates and activities. expenses. In the report covering the pe- (a) Expenses allocated among can- riod in which each transfer occurred, didates. A political committee that is a the committee shall explain in a memo separate segregated fund or a noncon- entry the allocable expenses to which nected committee making an expendi- the transfer relates and the date on ture on behalf of more than one clearly which the transfer was made. If the identified candidate for Federal office transfer includes funds for the allo- shall allocate the expenditure among cable costs of more than one program the candidates pursuant to 11 CFR part or activity, the committee shall 106. Payments involving both expendi- itemize the transfer, showing the tures on behalf of one or more clearly amounts designated for each program identified Federal candidates and dis- or activity conducted on behalf of one bursements on behalf of one or more or more clearly identified Federal can- clearly identified non-Federal candidates and one or more clearly identi- didates shall also be allocated pursuant fied non-Federal candidates. to 11 CFR part 106. For allocated ex- (3) Reporting of allocated disbursements penditures, the committee shall report attributable to specific Federal and non- the amount of each in-kind contribu- Federal candidates. A political com- tion, independent expenditure, or co- mittee that pays allocable expenses in ordinated expenditure attributed to accordance with 11 CFR 106.6(e) shall each Federal candidate. If a payment also report each disbursement from its also includes amounts attributable to Federal account or its separate alloca- one or more non-Federal candidates, tion account in payment for a program and is made by a political committee or activity conducted on behalf of one with separate Federal and non-Federal or more clearly identified Federal can- accounts, then the payment shall be didates and one or more clearly identi- made according to the procedures set fied non-Federal candidates. In the re- forth in 11 CFR 106.6(e), but shall be report covering the period in which the ported pursuant to paragraphs (a)(1) disbursement occurred, the committee through (a)(4) of this section, as fol- shall state the full name and address of lows: each person to whom the disbursement (1) Reporting of allocation of expenses was made, and the date, amount, and attributable to specific Federal and non- purpose of each such disbursement. If

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the disbursement includes payment for scribed in 11 CFR 106.6(b), the com- the allocable costs of more than one mittee shall assign a unique identi- program or activity, the committee fying title or code to each such pro- shall itemize the disbursement, show- gram or activity, shall state the alloca- ing the amounts designated for pay- tion ratio calculated for the program ment of each program or activity con- or activity according to 11 CFR ducted on behalf of one or more clearly 106.6(d), and shall explain the manner identified Federal candidates and one in which the ratio was derived. The or more clearly identified non-Federal committee shall also summarize the candidates. The committee shall also total amounts spent by the Federal and report the amount of each in-kind con- non-Federal accounts that year, to tribution, independent expenditure, or date, for each such program or activ- coordinated expenditure attributed to ity. each Federal candidate, and the total (3) Reporting of transfers between ac- amount attributed to the non-Federal counts for the purpose of paying allocable candidate(s). In addition, the com- expenses. A political committee that mittee shall report the total amount pays allocable expenses in accordance expended by the committee that year, with 11 CFR 106.6(e) shall report each to date, for each joint program or ac- transfer of funds from its non-Federal tivity. account to its Federal account or to its (4) Recordkeeping. The treasurer shall separate allocation account for the retain all documents supporting the purpose of paying such expenses. In the committee’s allocation on behalf of report covering the period in which specific Federal and non-Federal can- each transfer occurred, the committee didates, in accordance with 11 CFR shall explain in a memo entry the allo- 104.14. cable expenses to which the transfer re- (b) Expenses allocated among activities. lates and the date on which the trans- A political committee that is a sepa- fer was made. If the transfer includes rate segregated fund or a nonconnected funds for the allocable costs of more committee and that has established than one activity, the committee shall separate Federal and non-Federal ac- itemize the transfer, showing the counts under 11 CFR 102.5(a)(1)(i) shall amounts designated for administrative allocate between those accounts its ad- expenses and generic voter drives, and ministrative expenses and its costs for for each fundraising program, as de- fundraising, generic voter drives, and scribed in 11 CFR 106.6(b). certain public communications accord- (4) Reporting of allocated disburse- ing to 11 CFR 106.6, and shall report ments. A political committee that pays those allocations according to para- allocable expenses in accordance with graphs (b)(1) through (5) of this section, 11 CFR 106.6(e) shall also report each as follows: disbursement from its Federal account (1) Reporting of allocation of adminis- or its separate allocation account in trative expenses and costs of generic voter payment for a joint Federal and non- drives and public communications that Federal expense or activity. In the re- refer to any political party. In each report covering the period in which the port disclosing a disbursement for ad- disbursement occurred, the committee ministrative expenses, generic voter shall state the full name and address of drives, or public communications that each person to whom the disbursement refer to any political party, but do not was made, and the date, amount, and refer to any clearly identified can- purpose of each such disbursement. If didates, as described in 11 CFR the disbursement includes payment for 106.6(b)(1)(i), (b)(1)(iii) and (b)(1)(iv), as the allocable costs of more than one applicable, the committee shall state activity, the committee shall itemize the allocation ratio to be applied to the disbursement, showing the each category of activity according to amounts designated for payment of ad- 11 CFR 106.6(c). ministrative expenses and generic (2) Reporting of allocation of the direct voter drives, and for each fundraising costs of fundraising. In each report dis- program, as described in 11 CFR closing a disbursement for the direct 106.6(b). The committee shall also re- costs of a fundraising program, as de- port the total amount expended by the

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committee that year, to date, for each § 104.12 Beginning cash on hand for category of activity. political committees. (5) Recordkeeping. The treasurer shall Political committees which have retain all documents supporting the committee’s allocated disbursements cash on hand at the time of registra- for three years, in accordance with 11 tion shall disclose on their first report CFR 104.14. the source(s) of such funds, including the information required by 11 CFR [67 FR 49113, July 29, 2002, as amended at 69 104.3(a)(1). The cash on hand balance is FR 68067, Nov. 23, 2004] assumed to be composed of those con- § 104.11 Continuous reporting of debts tributions most recently received by and obligations. the committee. The committee shall (a) Debts and obligations owed by or exclude from funds to be used for Fed- to a political committee which remain eral elections any contributions not outstanding shall be continuously re- permissible under the Act. See 11 CFR ported until extinguished. See 11 CFR parts 110, 114, and 115. 104.3(d). These debts and obligations shall be reported on separate schedules § 104.13 Disclosure of receipt and con- together with a statement explaining sumption of in-kind contributions. the circumstances and conditions (a)(1) The amount of an in-kind con- under which each debt and obligation tribution shall be equal to the usual was incurred or extinguished. Where and normal value on the date received. such debts and obligations are settled Each in-kind contribution shall be re- for less than their reported amount or ported as a contribution in accordance value, the reporting committee shall with 11 CFR 104.3(a). include a statement as to the cir- (2) Except for items noted in 11 CFR cumstances and conditions under which the debt or obligation was extin- 104.13(b), each in-kind contribution guished and the amount paid. shall also be reported as an expenditure (b) A debt or obligation, including a at the same usual and normal value loan, written contract, written promise and reported on the appropriate ex- or written agreement to make an expenditure schedule, in accordance with penditure, the amount of which is $500 11 CFR 104.3(b). or less, shall be reported as of the time (b) Contributions of stocks, bonds, payment is made or not later than 60 art objects, and other similar items to days after such obligation is incurred, be liquidated shall be reported as fol- whichever comes first. A debt or obli- lows: gation, including a loan, written con- (1) If the item has not been liquidated tract, written promise or written at the close of a reporting period, the agreement to make an expenditure, the committee shall record as a memo amount of which is over $500 shall be entry (not as cash) the item’s fair mar- reported as of the date on which the ket value on the date received, includ- debt or obligation is incurred, except ing the name and mailing address (and, that any obligation incurred for rent, salary or other regularly reoccurring where in excess of $200, the occupation administrative expense shall not be re- and name of employer) of the contrib- ported as a debt before the payment utor. due date. See 11 CFR 116.6. If the exact (2) When the item is sold, the com- amount of a debt or obligation is not mittee shall record the proceeds. It known, the report shall state that the shall also report the (i) name and mail- amount reported is an estimate. Once ing address (and, where in excess of the exact amount is determined, the $200, the occupation and name of em- political committee shall either amend ployer) of the purchaser, if purchased the report(s) containing the estimate directly from the candidate or com- or indicate the correct amount on the mittee (as the purchaser shall be con- report for the reporting period in which sidered to have made a contribution to such amount is determined. the committee), and (ii) the identifica- [45 FR 15108, Mar. 7, 1980, as amended at 55 tion of the original contributor. FR 26386, June 27, 1990]

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§ 104.14 Formal requirements regard- (ii) Copies of the executed loan agreeing reports and statements. ments and all security and guarantee (a) Each individual having the re- statements; sponsibility to file a designation, re- (iii) Statements of account for all ac- port or statement required under this counts used to secure any loan for the subchapter shall sign the original des- period the loan is outstanding such as ignation, report or statement except brokerage accounts or credit card ac- that: counts, and statements on any line of credit account that was used for the (1) Reports or statements of inde- purpose of influencing the candidate’s pendent expenditures filed by facsimile election for Federal office; machine or electronic mail under 11 CFR 104.4(b) or 11 CFR 109.10 must be (iv) For brokerage loans or other verified in accordance with those sec- loans secured by financial assets, documentation to establish the source of tions; and the funds in the account at the time of (2) Reports, designations, or state- the loan; and ments filed electronically under 11 (v) Documentation for all payments CFR 104.18 must follow the signature made on the loan by any person. requirements of 11 CFR 104.18(g). (c) Acknowledgements by the Com- (b) Each political committee or other mission or the Secretary of the Senate, person required to file any report or of the receipt of Statements of Organi- statement under this subchapter shall zation, reports or other statements maintain all records as follows: filed under 11 CFR parts 101, 102 and 104 (1) Maintain records, including bank are intended solely to inform the per- records, with respect to the matters re- son filing the report of its receipt and quired to be reported, including vouch- neither the acknowledgement nor the ers, worksheets, receipts, bills and ac- acceptance of a report or statement counts, which shall provide in suffi- shall constitute express or implied ap- cient detail the necessary information proval, or in any manner indicate that and data from which the filed reports the contents of any report or state- and statements may be verified, ex- ment fulfill the filing or other require- plained, clarified, and checked for ac- ments of the Act or of these regula- curacy and completeness; tions. (2) Preserve a copy of each report or (d) Each treasurer of a political com- statement required to be filed under 11 mittee, and any other person required CFR parts 102 and 104, and all records to file any report or statement under relevant to such reports or statements; these regulations and under the Act, (3) Keep all reports required to be shall be personally responsible for the preserved under this section available timely and complete filing of the re- for audit, inspection, or examination port or statement and for the accuracy by the Commission or its authorized of any information or statement con- representative(s) for a period of not tained in it. less that 3 years after the report or [45 FR 15108, Mar. 7, 1980, as amended at 61 statement is filed (See 11 CFR 102.9(c) FR 3549, Feb. 1, 1996; 67 FR 12840, Mar. 20, for requirements relating to preserva- 2002; 67 FR 38361, June 4, 2002; 79 FR 16663, tion of records and accounts); and Mar. 26, 2014] (4) Candidates, who obtain bank loans or loans derived from an advance § 104.15 Sale or use restriction (52 from the candidate’s brokerage ac- U.S.C. 30111(a)(4)). count, credit card, home equity line of (a) Any information copied, or other- credit, or other lines of credit available wise obtained, from any report or to the candidate, must preserve the fol- statement, or any copy, reproduction, lowing records for three years after the or publication thereof, filed under the date of the election for which they Act, shall not be sold or used by any were a candidate: person for the purpose of soliciting (i) Records to demonstrate the own- contributions or for any commercial ership of the accounts or assets secur- purpose, except that the name and ad- ing the loans; dress of any political committee may

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be used to solicit contributions from given priority over any audit or inves- such committee. tigation of committees not receiving (b) For purposes of 11 CFR 104.15, so- such payments. liciting contributions includes soliciting any type of contribution or donation, § 104.17 Reporting of allocable ex- such as political or charitable con- penses by party committees. tributions. (a) Expenses allocated among can- (c) The use of information, which is didates. A national party committee copied or otherwise obtained from re- making an expenditure on behalf of ports filed under 11 CFR part 104, in more than one clearly identified can- newspapers, magazines, books or other didate for Federal office must report similar communications is permissible the allocation between or among the as long as the principal purpose of such named candidates. A national party communications is not to commu- committee making expenditures and nicate any contributor information disbursements on behalf of one or more listed on such reports for the purpose clearly identified Federal candidates of soliciting contributions or for other and on behalf of one or more clearly commercial purposes. identified non-Federal candidates must [45 FR 15108, Mar. 7, 1980, as amended at 61 report the allocation among all named FR 3549, Feb. 1, 1996] candidates. These payments shall be allocated among candidates pursuant to § 104.16 Audits (52 U.S.C. 30111(b)). 11 CFR part 106, but only Federal funds (a) The Commission may conduct au- may be used for such payments. A dits of any political committee re- State, district, or local party com- quired to register under 11 CFR part 102 mittee making expenditures and dis- and to report under 11 CFR part 104. bursements for Federal election activ- Prior to conducting any such audit or ity as defined at 11 CFR 100.24 on behalf investigation, the Commission shall of one or more clearly identified Fed- conduct an internal review of reports eral and one or more clearly identified filed by selected committees to deter- non-Federal candidates must make the mine whether reports filed by a par- payments from its Federal account and ticular committee meet thresholds es- must report the allocation among all tablished by the Commission for sub- named candidates. A State, district, or stantial compliance with the Act. Such local party committee making expendi- thresholds may vary according to the tures and disbursements on behalf of type of political committee being re- one or more clearly identified Federal viewed. and one or more clearly identified non- (b) The Commission may, upon af- Federal candidates where the activity firmative vote of four members, con- is not a Federal election activity may duct an audit and field investigation of allocate the payments between its Fed- any committee which meets the eral and non-Federal account and must thresholds established pursuant to 11 report the allocation among all named CFR 104.16(a). All such audits and in- candidates. For allocated expenditures, vestigations shall commence within 30 the committee must report the amount days of such vote except that any audit of each in-kind contribution, inde- or investigation of an authorized com- pendent expenditure, or coordinated mittee of a candidate shall be com- expenditure attributed to each can- menced within 6 months of the election didate. If a payment also includes for which such committee was author- amounts attributable to one or more ized. non-Federal candidates, and is made by (c) The Commission may, upon af- a State, district, or local party com- firmative vote of four members, con- mittee with separate Federal and non- duct an audit and field investigation of Federal accounts, and is not for a Fed- any committee pursuant to 11 CFR eral election activity, then the pay- 111.10. ment shall be made according to the (d) All audits and field investigations procedures set forth in 11 CFR 106.7(f), concerning the verification for and the but shall be reported pursuant to para- receipt and use of payments under graphs (a)(1) through (a)(4) of this sec- chapters 95 and 96 of title 26 shall be tion, as follows:

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(1) Reporting of allocation of expenses curred, the State, district, or local attributable to specific Federal and nonparty committee shall state the full Federal candidates. In each report dis- name and address of each person to closing a payment that includes both whom the disbursement was made, and expenditures on behalf of one or more the date, amount, and purpose of each Federal candidates and disbursements such disbursement. If the disbursement on behalf of one or more non-Federal includes payment for the allocable candidates, the committee must assign costs of more than one program or ac- a unique identifying title or code to tivity, the committee shall itemize the each program or activity conducted on disbursement, showing the amounts behalf of such candidates, state the al- designated for payment of each pro- location ratio calculated for the program or activity conducted on behalf of gram or activity, and explain the man- one or more clearly identified Federal ner in which the ratio applied to each candidates and one or more clearly candidate was derived. The committee identified non-Federal candidates. The must also summarize the total State, district, or local party com- amounts attributed to each candidate, mittee must also report the amount of to date, for each program or activity. (2) Reporting of transfers between ac- each in-kind contribution, independent counts for the purpose of paying expenses expenditure, or coordinated expendi- attributable to specific Federal and non- ture attributed to each Federal can- Federal candidates. A State, district, or didate, and the total amount attrib- local party committee that pays allo- uted to the non-Federal candidate(s). cable expenses in accordance with 11 In addition, the State, district, or local CFR 106.7(f) shall report each transfer party committee must report the total of funds from its non-Federal account amount expended by the committee to its Federal account or to its sepa- that year, to date, for each joint pro- rate allocation account for the purpose gram or activity. of paying such expenses. In the report (4) Recordkeeping. The treasurer of a covering the period in which each State, district, or local party com- transfer occurred, the State, district, mittee must retain all documents sup- or local party committee shall explain porting the committee’s allocations on in a memo entry the allocable expenses behalf of specific Federal and non-Fed- to which the transfer relates and the eral candidates, in accordance with 11 date on which the transfer was made. If CFR 104.14. the transfer includes funds for the allo- (b) Allocation of activities that are not cable costs of more than one program Federal election activities. A State, dis- or activity, the State, district, or local trict, or local committee of a political party committee must itemize the party that has established separate transfer, showing the amounts des- Federal and non-Federal accounts, in- ignated for each program or activity cluding related allocation accounts, conducted on behalf of one or more under 11 CFR 102.5 must report all pay- clearly identified Federal candidates ments that are allocable between these and one or more clearly identified non- accounts pursuant to the allocation Federal candidates. rules in 11 CFR 106.7. Disbursements for (3) Reporting of allocated disbursements attributable to specific Federal and non- activities that are allocable between Federal candidates. A State, district, or Federal and Levin accounts, including local committee that pays allocable ex- related allocation accounts, must be penses in accordance with 11 CFR reported pursuant to 11 CFR 300.36. 106.7(f) shall also report each disburse- (1) Reporting of allocations of expenses ment from its Federal account or its for activities that are not Federal election separate allocation account in pay- activities. (i) In the first report in a cal- ment for a program or activity con- endar year disclosing a disbursement ducted on behalf of one or more clearly allocable pursuant to 11 CFR 106.7, a identified Federal candidates and one State, district, or local committee or more clearly identified non-Federal shall state and explain the allocation candidates. In the report covering the percentages to be applied to each cat- period in which the disbursement oc- egory of allocable activity (e.g., 36%

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Federal/64% non-Federal in Presi- accordance with 11 CFR 106.7 shall re- dential and Senate election years) purport each disbursement from its Fed- suant to 11 CFR 106.7(d). eral account for allocable expenses, or (ii) In each subsequent report in the each payment from an allocation ac- calendar year itemizing an allocated count for such activity. In the report disbursement, the State, district, or covering the period in which the dis- local party committee shall state the bursement occurred, the State, dis- category of activity for which each al- trict, or local committee shall state located disbursement was made, and the full name and address of each indi- shall summarize the total amounts ex- vidual or vendor to which the disburse- pended from Federal and non-Federal ment was made, the date, amount, and accounts, or from allocation accounts, purpose of each such disbursement, and that year to date for each such cat- the amounts allocated to Federal and egory. non-Federal portions of the allocable (iii) In each report disclosing dis- activity. If the disbursement includes bursements for allocable activities as payment for the allocable costs of described in 11 CFR 106.7, the State, more than one activity, the State, dis- district, or local party committee shall trict, or local party committee must assign a unique identifying title or itemize the disbursement, showing the code to each such program or activity, amounts designated for payments of and shall state the applicable Federal/ particular categories of activity as de- non-Federal percentage for any direct scribed in 11 CFR 106.7. The State, dis- costs of fundraising. Unique identifying trict, or local party committee must titles or codes are not required for sal- also report the total amount paid that aries and wages pursuant to 11 CFR calendar year to date for each category 106.7(c)(1), or for other administrative of allocable activity. costs allocated pursuant to 11 CFR (ii) A State, district, or local com- 106.7(c)(2). mittee of a political party that pays al- (2) Reporting of transfers between the locable expenses from a Federal ac- accounts of State, district, and local party count and a Levin account in accord- committees and into allocation accounts ance with 11 CFR 300.33 shall report for allocable expenses. A State, district, disbursements from those accounts ac- or local committee of a political party cording to the requirements of 11 CFR that pays allocable expenses in accord- 300.36. ance with 11 CFR 106.7 shall report (4) Recordkeeping. The treasurer of a each transfer of funds from its non- State, district, or local party com- Federal account to its Federal account, mittee must retain all documents sup- or each transfer from its Federal ac- porting the committee’s allocations of count and its non-Federal account into expenditures and disbursements for the an allocation account, for the purpose costs and activities cited at paragraph of payment of such expenses. In the re- (b) of this section, in accordance with port covering the period in which each 11 CFR 104.14. transfer occurred, the State, district, or local party committee must explain [67 FR 49114, July 29, 2002] in a memo entry the allocable expenses to which the transfer relates and the § 104.18 Electronic filing of reports (52 U.S.C. 30102(d) and 30104(a)(11)). date on which the transfer was made. If the transfer includes funds for the allo- (a) Mandatory. (1) Political commit- cable costs of more than one activity, tees and other persons required to file the State, district, or local party com- reports with the Commission, as pro- mittee must itemize the transfer, vided in 11 CFR Parts 105 and 107, must showing the amounts designated for file reports in an electronic format each category of expense as described that meets the requirements of this in 11 CFR 106.7. section if— (3) Reporting of allocated disbursements (i) The political committee or other for certain allocable activity that is not person has received contributions or Federal election activity. (i) A State, dis- has reason to expect to receive con- trict, or local committee of a political tributions aggregating in excess of party that pays allocable expenses in $50,000 in any calendar year; or

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(ii) The political committee or other this section, may choose to file its re- person has made expenditures or has ports in an electronic format that reason to expect to make expenditures meets the requirements of this section. aggregating in excess of $50,000 in any If a political committee or other per- calendar year. son chooses to file its reports electroni- (2) Once any political committee or cally, all electronically filed reports other person described in paragraph must pass the Commission’s validation (a)(1) of this section exceeds or has rea- program in accordance with paragraph son to expect to exceed the appropriate (e) of this section. The committee or threshold, the political committee or other person must continue to file in person must file electronically all sub- an electronic format all reports cov- sequent reports covering financial ac- ering financial activity for that cal- tivity for the remainder of the calendar endar year, unless the Commission de- year. All electronically filed reports termines that extraordinary and un- must pass the Commission’s validation foreseeable circumstances have made it program in accordance with paragraph impracticable for the political com- (e) of this section. Reports filed on mittee or other person to continue fil- paper do not satisfy a political coming electronically. mittee’s or other person’s filing obliga- (c) Definition of report. For purposes tions. of this section, report means any state- (3) Have reason to expect to exceed. (i) ment, designation or report required by A political committee or other person the Act to be filed with the Commis- shall have reason to expect to exceed sion. the threshold stated in paragraph (a)(1) (d) Format specifications. Reports filed of this section for two calendar years electronically shall conform to the following the calendar year in which technical specifications described in the political committee or other per- the Federal Election Commission’s son exceeds the threshold unless— Electronic Filing Specifications Re- (A) The committee is an authorized quirements. The data contained in the committee, and has $50,000 or less in computerized magnetic media provided nets debts outstanding on January 1 of to the Commission shall be organized the year following the general election, and anticipates terminating prior to in the order specified by the Electronic January 1 of the next election year; Filing Specifications Requirements. and (e) Acceptance of reports filed in elec- (B) The candidate has not qualified tronic format; validation program. (1) as a candidate for the next election and Each political committee or other per- does not intend to become a candidate son who submits an electronic report for federal office in the next election. shall check the report against the (ii) New political committees or Commission’s validation program be- other persons with no history of cam- fore it is submitted, to ensure that the paign finance activity shall have rea- files submitted meet the Commission’s son to expect to exceed the threshold format specifications and can be read stated in paragraph (a)(1) of this sec- by the Commission’s computer system. tion within the calendar year if— Each report submitted in an electronic (A) It receives contributions or format under this section shall also be makes expenditures that exceed one checked upon receipt against the Com- quarter of the threshold amount in the mission’s validation program. The first calendar quarter of the calendar Commission’s validation program and year; or the Electronic Filing Specification Re- (B) It receives contributions or quirement are available on request and makes expenditures that exceed one- at no charge. half of the threshold amount in the (2) A report that does not pass the first half of the calendar year. validation program will not be accept- (b) Voluntary. A political committee ed by the Commission and will not be or other person who files reports with considered filed. If a political com- the Commission, as provided in 11 CFR mittee or other person submits a re- part 105, and who is not required to file port that does not pass the validation electronically under paragraph (a) of program, the Commission will notify

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the political committee or other per- sion, by the close of business on the son that the report has not been ac- prescribed filing date. cepted. (3) If a person files a report electroni- (f) Amended reports. If a political com- cally by uploading the data to the mittee or other person files an amend- Commission’s electronic filing system ment to a report that was filed elec- and is required to file any schedules or tronically, the political committee or forms listed in paragraph (h)(1) of this other person shall also submit the section, the person shall file a paper amendment in an electronic format. copy or a digitized version of the re- The political committee or other per- quired schedule or form by the close of son shall submit a complete version of business on the prescribed filing date. the report as amended, rather than just (i) Preservation of reports. For any re- those portions of the report that are port filed in electronic format under being amended. In addition, amend- this section, the treasurer or other per- ments must be filed in accordance with the Electronic Filing Specification Re- son required to file any report under quirements. the Act shall retain a machine-read- (g) Signature requirements. The polit- able copy of the report as the copy pre- ical committee’s treasurer, or any served under 11 CFR 104.14(b)(2). In ad- other person having the responsibility dition, the treasurer or other person to file a designation, report or state- required to file any report under the ment under this subchapter, shall Act shall retain the original signed verify the report in one of the fol- version of any documents submitted in lowing ways: by submitting a signed a digitized format under paragraphs (g) certification on paper that is sub- and (h) of this section. mitted with the computerized media; [65 FR 38423, June 21, 2000, as amended at 67 or by submitting a digitized copy of the FR 12840, Mar. 20, 2002] signed certification as a separate file in the electronic submission. Each § 104.19 [Reserved] verification submitted under this section shall certify that the treasurer or § 104.20 Reporting electioneering com- other signatory has examined the re- munications (52 U.S.C. 30104(f)). port or statement and, to the best of (a) Definitions—(1) Disclosure date the signatory’s knowledge and belief, it means: is true, correct and complete. Any (i) The first date on which an elec- verification under this section shall be tioneering communication is publicly treated for all purposes (including pen- distributed provided that the person alties for perjury) in the same manner making the electioneering communica- as a verification by signature on a re- tion has made one or more disburse- port submitted in a paper format. ments, or has executed one or more (h) Schedules and forms with special re- contracts to make disbursements, for quirements. (1) The following are schedules and forms that require the filing the direct costs of producing or airing of additional documents and that have one or more electioneering commu- special signature requirements: nications aggregating in excess of (i) Schedules C-1 and C-P–1, Loans $10,000; or and Lines of Credit From Lending In- (ii) Any other date during the same stitutions (see 11 CFR 104.3(d)); and calendar year on which an election- (ii) Form 8, Debt Settlement Plan eering communication is publicly dis- (see 11 CFR 116.7(e)). tributed provided that the person mak- (2) If a person files a report electroni- ing the electioneering communication cally by submitting a diskette to the has made one or more disbursements, Commission and is required to file any or has executed one or more contracts of the schedules or forms listed in para- to make disbursements, for the direct graph (h)(1) of this section, the person costs of producing or airing one or shall file a paper copy of the required more electioneering communications schedule or form with the electronic aggregating in excess of $10,000 since submission, or a digitized version as a the most recent disclosure date during separate file in the electronic submis- such calendar year.

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(2) Direct costs of producing or airing ecuted a contract to make a disburse- electioneering communications means the ment; following: (3) The identification of the custo- (i) Costs charged by a vendor, such as dian of the books and accounts from studio rental time, staff salaries, costs which the disbursements were made; of video or audio recording media, and (4) The amount of each disbursement, talent; or or amount obligated, of more than $200 (ii) The cost of airtime on broadcast, during the period covered by the state- cable or satellite radio and television ment, the date the disbursement was stations, studio time, material costs, made, or the contract was executed, and the charges for a broker to pur- and the identification of the person to chase the airtime. whom that disbursement was made; (3) Persons sharing or exercising direc- (5) All clearly identified candidates tion or control means officers, directors, referred to in the electioneering com- executive directors or their equivalent, munication and the elections in which partners, and in the case of unincor- they are candidates; porated organizations, owners, of the (6) The disclosure date, as defined in entity or person making the disburse- paragraph (a) of this section; ment for the electioneering communication. (7) If the disbursements were paid exclusively from a segregated bank ac- (4) Identification has the same meaning as in 11 CFR 100.12. count consisting of funds provided solely by persons other than national (5) Publicly distributed has the same banks, corporations organized by au- meaning as in 11 CFR 100.29(b)(3). thority of any law of Congress, or for- (b) Who must report and when. Every eign nationals as defined in 11 CFR person who has made an electioneering communication, as defined in 11 CFR 110.20(a)(3), the name and address of 100.29, aggregating in excess of $10,000 each donor who donated an amount ag- during any calendar year shall file a gregating $1,000 or more to the seg- statement with the Commission by regated bank account, aggregating 11:59 p.m. Eastern Standard/Daylight since the first day of the preceding cal- Time on the day following the disclo- endar year. sure date. The statement shall be filed (8) If the disbursements were not paid under penalty of perjury, shall contain exclusively from a segregated bank ac- the information set forth in paragraph count described in paragraph (c)(7) of (c) of this section, and shall be filed on this section and were not made by a FEC Form 9. Political committees that corporation or labor organization, the make communications that are de- name and address of each donor who scribed in 11 CFR 100.29(a) must report donated an amount aggregating $1,000 such communications as expenditures or more to the person making the dis- or independent expenditures under 11 bursement, aggregating since the first CFR 104.3 and 104.4, and not under this day of the preceding calendar year. section. (9) If the disbursements were made by (c) Contents of statement. Statements a corporation or labor organization and of electioneering communications filed were not paid exclusively from a seg- under paragraph (b) of this section regated bank account described in shall disclose the following informa- paragraph (c)(7) of this section, the tion: name and address of each person who (1) The identification of the person made a donation aggregating $1,000 or who made the disbursement, or who ex- more to the corporation or labor orga- ecuted a contract to make a disbursement, and, if the person is not an indi- nization, aggregating since the first vidual, the person’s principal place of day of the preceding calendar year, business; which was made for the purpose of fur- (2) The identification of any person thering electioneering communica- sharing or exercising direction or con- tions. trol over the activities of the person (d) Recordkeeping. All persons who who made the disbursement or who ex- make electioneering communications

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or who accept donations for the pur- fied in the letter-filing required by pose of making electioneering commu- paragraph (b) of this section must file nications must maintain records in ac- a report and any supplements thereto cordance with 11 CFR 104.14. as required by this paragraph (c). Such (e) State waivers. Statements of elec- person must sign the report and any tioneering communications that must supplements thereto in accordance be filed with the Commission must also with 11 CFR 104.14(a). The signature on be filed with the Secretary of State of the report and any supplements there- the appropriate State if the State has to certifies that the contents are true, not obtained a waiver under 11 CFR correct, and complete, to the best of 108.1(b). knowledge of the chairperson or other [68 FR 419, Jan. 3, 2003; 68 FR 5075, Jan. 31, officer identified in the letter-filing re- 2003, as amended at 72 FR 72913, Dec. 26, 2007; quired by paragraph (b) of this section. 80 FR 62816, Oct. 21, 2014] (2) When to file. A report, and any supplements thereto, must be timely § 104.21 Reporting by inaugural com- filed in accordance with 11 CFR 100.19 mittees. as follows: (a) Definitions—(1) Inaugural com- (i) Report. An inaugural committee mittee. Inaugural committee means the must file a report with the Commission committee appointed by the President- no later than the 90th day following elect to be in charge of the Presi- the date on which the Presidential in- dential inaugural ceremony and func- augural ceremony is held. tions and activities connected with the (ii) Supplements to the report. (A) An inaugural ceremony. inaugural committee must file a sup- (2) Donation. For purposes of this sec- plement to its report if it accepts a re- tion, donation has the same meaning portable donation, or makes a refund as in 11 CFR 300.2(e). during the 90 days following the end of (b) Initial letter-filing by inaugural the covering period of its original re- committees. (1) In order to be considered port or its most recent supplement. the inaugural committee under 36 (B) Any supplement must be filed no U.S.C. Chapter 5, within 15 days of ap- later than the 90th day following the pointment by the President-elect, the filing date of an original report, or if a appointed committee must file a signed supplement has already been filed, the letter with the Commission containing filing date of the most recent supple- the following: ment. (i) The name and address of the inau- (3) Where to file. All letters, reports, gural committee; and any supplements thereto, as re- (ii) The name of the chairperson, or quired under this section, shall be filed the name and title of another officer with the Federal Election Commission, who will serve as the point of contact; 999 E Street, NW., Washington, DC and 20463. (iii) A statement agreeing to comply (4) How to file. An inaugural com- with paragraphs (c) and (d) of this sec- mittee must file its letter, report, and tion and with 11 CFR 110.20(j). any supplements thereto, in original (2) Upon receipt of the letter filed form; however, an inaugural committee under this paragraph (b), the Commis- may choose to file its reports in an sion will assign a FEC committee iden- electronic format that meets the re- tification number to the inaugural quirements of 11 CFR 104.18. committee. The inaugural committee (5) Form. An inaugural committee must include this FEC committee iden- must file the report required by this tification number on all reports and paragraph on FEC Form 13. supplements thereto required under (6) Content of report. Each report, and paragraph (c) of this section, as well as any supplements thereto, filed with the on all communications with the Com- Commission under this section must mission concerning the letter filed contain the following: under this paragraph (b). (i) Covering period beginning and (c) Reporting requirements for inau- ending dates, as follows: gural committees—(1) Who must report. (A) The covering period of a report The chairperson or other officer identi- means the period of time beginning on

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the date of the inaugural committee’s § 104.22 Disclosure of bundling by Lob- appointment by the President-elect byist/Registrants and Lobbyist/Reg- and ending no earlier than 15 days be- istrant PACs (52 U.S.C. 30104(i)). fore the day on which the inaugural (a) Definitions. (1) Reporting Com- committee files its report with the mittee. Reporting committee means: Commission. (i) An authorized committee of a (B) The covering period of a supple- Federal candidate as defined at 11 CFR ment to the report means the period of 100.5(f)(1); time beginning on the day after the (ii) A leadership PAC as defined at 11 ending date of the covering period of CFR 100.5(e)(6); or the original report, or the most recent (iii) A party committee as defined at supplement thereto, and ending no ear- 11 CFR 100.5(e)(4). lier than 15 days before the day on (2) Lobbyist/Registrant. Lobbyist/reg- which the inaugural committee files istrant means a person who, at the time such supplement with the Commission. a contribution is forwarded to, or is re- (ii) Cumulative totals from the date ceived by, a reporting committee, is: of the inaugural committee’s appoint- (i) A current registrant under Sec- ment by the President-elect for all: tion 4(a) of the Lobbying Disclosure (A) Donations reported under para- Act of 1995 (2 U.S.C. 1603(a)); or graph (c)(6)(iii) of this section; (ii) An individual who is named on a (B) Refunds reported under paragraph current registration or current report (c)(6)(iv) of this section; and filed under Section 4(b)(6) or 5(b)(2)(C) of the Lobbying Disclosure Act of 1995 (C) Net reported donations; (2 U.S.C. 1603(b)(6) or 1604(b)(2)(C)). (iii) Itemization of previously unre- (3) Lobbyist/Registrant PAC. Lobbyist/ ported donations of $200 or more, and registrant PAC means any political donations that aggregate $200 or more, committee that a lobbyist/registrant including: ‘‘established or controls,’’ as defined in (A) The full name of each person who paragraph (a)(4) of this section. made such a donation, including first (4) Established or Controls. (i) For pur- name, middle name or initial, if avail- poses of this section only, a lobbyist/ able, and last name, in the case of an registrant established or controls any individual; political committee that the lobbyist/ (B) The address of each such person; registrant is required to disclose to the (C) The amount of each such dona- Secretary of the U. S. Senate or Clerk tion; and of the U.S. House of Representatives as (D) The date of receipt of each such being established or controlled by that donation; and lobbyist/registrant under Section 203 of (iv) Itemization of previously unre- the Honest Leadership and Open Gov- ported refunds of previously, or con- ernment Act of 2007, amending the Lob- temporaneously, reported donations, bying Disclosure Act of 1995 (2 U.S.C. including: 1604(d)(1)(C)). (A) The full name of each person to (ii) If, after consulting guidance from the offices of the Secretary of the Sen- whom such a refund was made, includ- ate or Clerk of the U.S House of Rep- ing first name, middle name or initial, resentatives, or communicating with if available, and last name, in the case such offices, a political committee is of an individual; unable to ascertain whether it is estab- (B) The address of each such person; lished or controlled by a lobbyist/reg- (C) The amount of each such refund; istrant, a lobbyist/registrant will be and deemed to have established or to con- (D) The date of each such refund. trol a political committee if: (d) Recordkeeping. All inaugural com- (A) The political committee is a sep- mittees must maintain records in ac- arate segregated fund with a current cordance with 11 CFR 104.14. registrant under Section 4(a) of the Lobbying Disclosure Act (2 U.S.C. [69 FR 59779, Oct. 6, 2004] 1603(a)) as its connected organization; or

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(B) The political committee meets ei- mittee may change its filing frequency ther of the following criteria: no more than once per calendar year. (1) A lobbyist/registrant had a pri- (v) Runoffs and Special Elections. For mary role in the establishment of the special elections and runoff elections political committee, excluding the pro- set by State law, the covered period vision of legal or compliance services shall be the same as the reporting peri- or advice; or ods set under 11 CFR 104.5(h). (2) A lobbyist/registrant directs the (6) Bundled Contribution. Bundled con- governance or operations of the polit- tribution means any contribution that ical committee, excluding the provi- meets the definition set forth in either sion of legal or compliance services or paragraph (i) or (ii) below: advice. (i) Forwarded contribution means a (5) Covered Period. Covered period contribution delivered or transmitted, means: by physical or electronic means, to the (i) Semi-annually. The semi-annual reporting committee by a lobbyist/reg- periods of January 1 through June 30, istrant or lobbyist/registrant PAC, or and July 1 through December 31; and by any person that the reporting com- the period described in paragraph mittee knows to be forwarding such (a)(5)(ii), (iii) or (iv), below, that ap- contribution on behalf of a lobbyist/ plies to the reporting committee. registrant or lobbyist/registrant PAC. (ii) Quarterly. For reporting commit- (ii) Received and credited contribution tees that file campaign finance reports means a contribution received by the under 11 CFR 104.5 on a quarterly basis, the covered period also includes the reporting committee from the contrib- quarters beginning on January 1, April utor or contributors, and credited by 1, July 1, and October 1 of each cal- the reporting committee or candidate endar year and the applicable pre- and involved to a lobbyist/registrant or lob- post-election reporting periods in elec- byist/registrant PAC through records, tion years; in a nonelection year, redesignations, or other means of recog- porting committees not authorized by nizing that a certain amount of money a candidate need only observe the has been raised by the lobbyist/reg- semi-annual period described in para- istrant or lobbyist/registrant PAC. graph (a)(5)(i) above; or (A) Records, designations, or other (iii) Monthly. For reporting commit- means of recognizing. Records means tees that file monthly campaign fi- written evidence (including writings, nance reports under 11 CFR 104.5, the charts, computer files, tables, spread- covered period also includes each sheets, databases, or other data or data month in the calendar year, except compilations stored in any medium that in election years the pre- and from which information can be ob- post-general election reporting periods tained) that the reporting committee shall constitute the covered period in or candidate involved attributes to a lieu of the monthly November and De- lobbyist/registrant or lobbyist/reg- cember reporting periods. istrant PAC contributions raised by (iv) Alternative for monthly filers. Any that person or entity and received by reporting committee that files month- the reporting committee. ly campaign finance reports under 11 Designations or other means of recog- CFR 104.5 may choose to file reports nizing bundled contributions means ben- pursuant to the quarterly covered pe- efits given by the reporting committee riod in paragraph (a)(5)(ii) of this sec- to persons for raising a certain amount tion instead of the monthly covered pe- of contributions, including but not lim- riod in paragraph (a)(5)(iii) of this sec- ited to: tion. It shall do so by notifying the (1) Titles that the reporting com- Commission in writing of its intention mittee assigns to persons who have to do so at the time the reporting com- raised a certain amount of contribu- mittee files a monthly report under tions; paragraph (a)(5)(iii) of this section. The (2) Tracking identifiers that the re- reporting committee will be required porting committee assigns and that are to file its next report under the new fil- included on contributions or contribu- ing frequency. The reporting com- tions-related materials (for example,

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contributor response devices, cover let- porting committee during the covered ters, or Internet Web site solicitation period. pages) for the purpose of maintaining (2) Determining whether a person is rea- information about the amounts of con- sonably known to be a lobbyist/registrant tributions that a person raises; or lobbyist/registrant PAC. (i) In order to (3) Access (including offers or attend- comply with paragraph (b)(1) of this ance) to events or activities given to section, a reporting committee must the lobbyist/registrant or lobbyist/reg- consult, in a manner reasonably cal- istrant PAC by the reporting com- culated to find the name of each person mittee as a result of raising a certain who is a lobbyist/registrant or lobbyist/ amount of contributions; and registrant PAC, the Web sites main- (4) Mementos, such as photographs tained by the Clerk of the House of with the candidate or autographed cop- Representatives, the Secretary of the ies of books authored by the candidate, Senate, and the Federal Election Com- given by the reporting committee to mission to determine whether, at the persons who have raised a certain time a contribution was forwarded to, amount of contributions. or received by, the reporting com- (B) The candidate involved. The can- mittee: didate involved means the candidate by (A) The person was listed as a cur- whom the authorized committee is au- rent registrant under Section 4(a) of the Lobbying Disclosure Act of 1995 (2 thorized; the candidate or individual U.S.C. 1603(a)); holding Federal office who directly or (B) The person was an individual list- indirectly established, finances, main- ed on a current registration filed under tains or controls the leadership PAC; Section 4(b)(6) or a current report filed or the chairman of the committee in under Section 5(b)(2)(C) of the Lob- the case of a political party com- bying Disclosure Act of 1995 (2 U.S.C. mittee. 1603 or 1604); (iii) Bundled contributions do not in- (C) The person identified itself as a clude contributions made by the lob- lobbyist/registrant PAC on its State- byist/registrant PAC or from the per- ment of Organization, FEC Form 1, sonal funds of the lobbyist/registrant filed with the Commission; or that forwards or is credited with rais- (D) The person was listed as a polit- ing the contributions or the personal ical committee established or con- funds of that person’s spouse. trolled by a lobbyist or registrant on a (b) Reporting requirement for reporting report filed under Sec. 203(a) of the committees—(1) FEC Form 3L. Each re- Honest Leadership and Open Govern- porting committee must file FEC Form ment Act of 2007, amending the Lob- 3L (Report of Contributions Bundled by bying Disclosure Act of 1995 (2 U.S.C. Lobbyist/Registrants and Lobbyist/ 1604). Registrant PACs) if it has received two (ii) A manner reasonably calculated or more bundled contributions (see to find the name of each person who is paragraph (a)(6)) forwarded by or re- a lobbyist/registrant or lobbyist/reg- ceived and credited to a person reason- istrant PAC may be demonstrated by ably known by the reporting com- the reporting committee producing a mittee to be a lobbyist/registrant or computer printout or screen capture lobbyist/registrant PAC aggregating in from a Web browser indicating that the excess of $15,000 during the covered pe- name of the person sought was not list- riod. The form shall set forth: ed in the results of the Web site con- (i) The name of each lobbyist/reg- sultations performed in accordance istrant or lobbyist/registrant PAC; with paragraph (b)(2)(i) of this section. (ii) The address of each lobbyist/reg- Such a computer printout or screen istrant or lobbyist/registrant PAC; capture shall constitute conclusive evi- (iii) The employer of each lobbyist/ dence that the reporting committee registrant; and has consulted such Web sites and not (iv) The aggregate amount of bundled found the name of the person sought, contributions forwarded by or received but shall not be the exclusive means by and credited to each lobbyist/registrant which the reporting committee may or lobbyist/registrant PAC by the re- provide evidence that it has consulted

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such Web sites and not found the name (b)(1) of this section shall be increased of the person sought. by the percent difference between the (iii) A reporting committee shall be price index as defined at 11 CFR subject to the reporting requirement 110.17(d), as certified to the Commis- under paragraph (b)(1) of this section if sion by the Secretary of Labor, for the it had actual knowledge that, at the 12 months preceding the beginning of time a contribution was forwarded or the calendar year and the price index received, the person whose name is for the base period. sought was required to be listed on any (2) Each contribution bundling registration or report described in threshold so increased shall be the paragraph (b)(2)(i) of this section. threshold in effect for that calendar (c) Lobbyist/Registrant PAC reporting year. requirements. Any political committee (3) For purposes of this paragraph (g), that is a lobbyist/registrant PAC as de- the term base period means calendar fined in paragraph (a)(3) of this section year 2006. must identify itself as such on FEC (4) If any amount after the increases Form 1 either upon registration with under this paragraph (g) is not a mul- the Commission if it is a new political tiple of $100, such amount shall be committee, or by amendment in ac- rounded to the nearest multiple of $100. cordance with 11 CFR 102.2(a)(2) if it is a political committee registered with [74 FR 7302, Feb. 17, 2009] the Commission. (d) Where to file. Reporting commit- PART 105—DOCUMENT FILING (52 tees shall file either with the Secretary U.S.C. 30102(g)) of the Senate or with the Federal Elec- tion Commission in accordance with 11 Sec. CFR part 105. 105.1 Place of filing; House candidates and (e) When to file. Reporting commit- their authorized committees (52 U.S.C. tees must file the forms required under 30102(g)(1)). this section with the first report that 105.2 Place of filing; Senate candidates, they file under 11 CFR 104.5 following their principal campaign committees, the end of each covered period. and committees supporting only Senate (f) Recordkeeping. In addition to any candidates (52 U.S.C. 30102(g), 30104(g)(3)). requirements to maintain records and 105.3 Place of filing; Presidential candidates accounts under 11 CFR 102.8, 102.9 and and their principal campaign committees 110.6, each reporting committee must (52 U.S.C. 30102(g)(4)). maintain for three years after the fil- 105.4 Place of filing; political committees ing of the report to which the informa- and other persons (52 U.S.C. 30102(g)(4)). tion relates a record of any bundled 105.5 Transmittal of microfilm copies and photocopies of original reports filed with contributions (see 11 CFR 104.22(a)(6)) the Secretary of the Senate to the Com- provided by a lobbyist/registrant or mission (52 U.S.C. 30102(g)(3)). lobbyist/registrant PAC that aggregate in excess of $15,000 for any covered pe- AUTHORITY: 52 U.S.C. 30102(g), 30104, riod. The information required to be 30111(a)(8). maintained is: SOURCE: 45 FR 15116, Mar. 7, 1980, unless (1) The name and address of the lob- otherwise noted. byist/registrant or lobbyist/registrant PAC; § 105.1 Place of filing; House can- (2) The employer of the lobbyist/reg- didates and their authorized com- istrant; and mittees (52 U.S.C. 30102(g)(1)). (3) The aggregate amount of bundled All designations, statements, reports, contributions forwarded by or received and notices, as well as any modifica- and credited to each lobbyist/registrant tion(s) or amendment(s) thereto, re- or lobbyist/registrant PAC by the required to be filed under 11 CFR parts porting committee during the covered 101, 102, and 104 by a candidate for nom- period. ination or election to the office of Rep- (g) Price index increase. (1) The resentative in, or Delegate or Resident threshold for reporting bundled con- Commissioner to, the Congress, by his tributions established in paragraph or her authorized committee(s), shall

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be filed in original form with, and re- than any principal campaign com- ceived by, the Federal Election Com- mittee or any committee referred to in mission. 11 CFR 105.2 or 105.3, by persons other than political committees making [61 FR 3550, Feb. 1, 1996] independent expenditures under 11 CFR § 105.2 Place of filing; Senate can- part 109, and by persons required to re- didates, their principal campaign port the cost of communications under committees, and committees sup- 11 CFR 104.6, shall be filed in original porting only Senate candidates (52 form with the Federal Election Com- U.S.C. 30102(g), 30104(g)(3)). mission. (a) General Rule. Except as provided [45 FR 15116, Mar. 7, 1980, as amended at 61 in paragraph (b) of this section, all des- FR 3550, Feb. 1, 1996] ignations, statements, reports, and notices as well as any modification(s) or § 105.5 Transmittal of microfilm copies amendment(s) thereto, required to be and photocopies of original reports filed under 11 CFR parts 101, 102, and filed with the Secretary of the Sen- 104 by a candidate for nomination or ate to the Commission (52 U.S.C. 30102(g)(3)). election to the office of United States Senator, by his or her principal cam- (a) Either a microfilmed copy or pho- paign committee or by any other polit- tocopy of all original designations, ical committee(s) that supports only statements, reports, modifications or candidates for nomination for election amendments required to be filed pursu- or election to the Senate of the United ant to 11 CFR 105.2 shall be transmitted States shall be filed in original form by the Secretary of the Senate to the with, and received by, the Secretary of Commission as soon as possible, but in the Senate, as custodian for the Fed- any case no later than two (2) working eral Election Commission. days after receiving such designations, (b) Exceptions. 24-hour and 48-hour re- statements, reports, modifications, or ports of independent expenditures must amendments. be filed with the Commission and not (b) The Secretary of the Senate shall with the Secretary of the Senate, even then forward to the Commission a if the communication refers to a Sen- microfilm copy and a photocopy of ate candidate. each designation, statement, and report, or any modification or amend- [68 FR 420, Jan. 3, 2003] ment thereto, filed with the Secretary pursuant to 11 CFR 105.2. § 105.3 Place of filing; Presidential (c) The Secretary of the Senate shall candidates and their principal campaign committees (52 U.S.C. place a time and date stamp on each 30102(g)(4)). original designation, statement, report, modification or amendment re- All designations, statements, reports, ceived. and notices, as well as any modification(s) or amendment(s) thereto, re- [61 FR 3550, Feb. 1, 1996] quired to be filed under 11 CFR parts 101, 102 and 104 by a candidate for nom- PART 106—ALLOCATIONS OF CAN- ination for election or election to the DIDATE AND COMMITTEE ACTIVI- office of President or Vice President of TIES the United States or by his or her principal campaign committee shall be Sec. filed in original form with the Federal 106.1 Allocation of expenses between can- Election Commission. didates. 106.2 State allocation of expenditures in- § 105.4 Place of filing; political com- curred by authorized committees of Pres- mittees and other persons (52 U.S.C. idential primary candidates receiving 30102(g)(4)). matching funds. All designations, statements, reports, 106.3 Allocation of expenses between campaign and non-campaign related travel. and notices, as well as any modifica- 106.4 Allocation of polling expenses. tions or amendments thereto, required 106.5 Allocation of expenses between federal to be filed under 11 CFR parts 101, 102, and non-federal activities by national and 104 by a political committee other party committees.

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106.6 Allocation of expenses between federal procedures set forth in 11 CFR 106.6(e) and non-federal activities by separate or 106.7(f), but shall be reported pursu- segregated funds and nonconnected com- ant to 11 CFR 104.10(a) or 104.17(a). If a mittees. 106.7 Allocation of expenses between Fed- State, district, or local party commit- eral and non-Federal accounts by party tee’s payment on behalf of both a Fed- committees, other than for Federal elec- eral candidate and a non-Federal can- tion activities. didate is for a Federal election activ- 106.8 Allocation of expenses for political ity, only Federal funds may be used for party committee phone banks that refer the entire payment. For Federal elec- to a clearly identified Federal candidate. tion activities, the provisions of 11 AUTHORITY: 52 U.S.C. 30111(a)(8), 30116(b), CFR 300.33 and 104.17(a) will apply to 30116(g). payments attributable to candidates. (b) An authorized expenditure made § 106.1 Allocation of expenses between candidates. by a candidate or political committee on behalf of another candidate shall be (a) General rule. (1) Expenditures, in- reported as a contribution in-kind cluding in-kind contributions, inde- (transfer) to the candidate on whose pendent expenditures, and coordinated behalf the expenditure was made, ex- expenditures made on behalf of more cept that expenditures made by party than one clearly identified Federal committees pursuant to § 109.32 or candidate shall be attributed to each 109.33 need only be reported as an ex- such candidate according to the benefit penditure. reasonably expected to be derived. For (c) Exceptions: (1) Expenditures for example, in the case of a publication or rent, personnel, overhead, general ad- broadcast communication, the attribu- ministrative, fund-raising, and other tion shall be determined by the propor- day-to-day costs of political commit- tion of space or time devoted to each tees need not be attributed to indi- candidate as compared to the total vidual candidates, unless these expend- space or time devoted to all can- itures are made on behalf of a clearly didates. In the case of a fundraising identified candidate and the expendi- program or event where funds are col- ture can be directly attributed to that lected by one committee for more than one clearly identified candidate, the candidate. attribution shall be determined by the (2) Expenditures for educational cam- proportion of funds received by each paign seminars, for training of cam- candidate as compared to the total re- paign workers, and for registration or ceipts by all candidates. In the case of get-out-the-vote drives of committees a phone bank, the attribution shall be need not be attributed to individual determined by the number of questions candidates unless these expenditures or statements devoted to each can- are made on behalf of a clearly identi- didate as compared to the total number fied candidate, and the expenditure can of questions or statements devoted to be directly attributed to that can- all candidates. These methods shall didate. also be used to allocate payments in- (3) Payments made for the cost of volving both expenditures on behalf of certain voter registration and get-out- one or more clearly identified Federal the-vote activities conducted by State candidates and disbursements on behalf or local party organizations on behalf of one or more clearly identified non- of any Presidential or Vice-Presi- Federal candidates. dential candidate(s) are exempt from (2) An expenditure made on behalf of the definition of a contribution or an more than one clearly identified Fed- expenditure under 11 CFR 100.89 and eral candidate shall be reported pursu- 100.149. If the State or local party orga- ant to 11 CFR 104.10(a) or 104.17(a), as nization includes references to any appropriate. A payment that also in- candidate(s) seeking nomination or cludes amounts attributable to one or election to the House of Representa- more non-Federal candidates, and that tives or Senate of the United States is made by a political committee with the portion of the cost of such activi- separate Federal and non-Federal ac- ties allocable to such candidate(s) shall counts, shall be made according to the be considered a contribution to or an

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expenditure on behalf of such can- (2) Disbursements made prior to the didate(s), unless such reference is inci- time an individual becomes a candidate dental to the overall activity. If such for the purpose of determining whether reference is incidental to the overall that individual should become a can- activity, such costs shall not be consid- didate pursuant to 11 CFR 100.72(a) and ered a contribution to or expenditure 100.131(a), i.e., payments for testing the on behalf of any candidate(s). waters, shall be allocable expenditures (d) For purposes of this section, clear- under this section if the individual be- ly identified shall have the same mean- comes a candidate. ing as set forth at 11 CFR 100.17. (b) Method of allocating expenditures (e) State, district, and local party among States—(1) General allocation committees, separate segregated funds, method. Unless otherwise specified and nonconnected committees that under 11 CFR 106.2(b)(2), an expenditure make mixed Federal/non-Federal pay- described in 11 CFR 106.2(b)(2) and in- ments for activities other than an ac- curred by a candidate’s authorized tivity entailing an expenditure for a committee(s) for the purpose of influ- Federal candidate and disbursement for encing the nomination of that can- a non-Federal candidate, or that make didate in more than one State shall be mixed Federal/Levin fund payments, allocated to each State on a reasonable shall allocate those expenses in accord- and uniformly applied basis. The total ance with 11 CFR 106.6, 106.7, or 300.33, amount allocated to a particular State as appropriate. may be reduced by the amount of ex- (52 U.S.C. 30111(a)(8)) empt fundraising expenses for that State, as specified in 11 CFR 110.8(c)(2). [41 FR 35944, Aug. 25, 1976, as amended at 45 (2) Specific allocation methods. Expend- FR 15117, Mar. 7, 1980; 45 FR 21209, Apr. 1, itures that fall within the categories 1980; 55 FR 26069, June 26, 1990; 60 FR 35305, July 6, 1995; 67 FR 49115, July 29, 2002; 67 FR listed below shall be allocated based on 78681, Dec. 26, 2002] the following methods. The method used to allocate a category of expendi- § 106.2 State allocation of expenditures tures shall be based on consistent data incurred by authorized committees for each State to which an allocation is of Presidential primary candidates made. receiving matching funds. (i) Media expenditures—(A) Print (a) General—(1) This section applies media. Except for expenditures exempt- to Presidential primary candidates re- ed under 11 CFR 106.2(b)(2)(i) (E) and ceiving or expecting to receive federal (F), allocation of expenditures for the matching funds pursuant to 11 CFR publication and distribution of news- parts 9031 et seq. The expenditures de- paper, magazine and other types of scribed in 11 CFR 106.2(b)(2) shall be al- printed advertisements distributed in located to a particular State if in- more than one State shall be made curred by a candidate’s authorized using relative circulation percentages committee(s) for the purpose of influ- in each State or an estimate thereof. encing the nomination of that can- For purposes of this section, allocation didate for the office of President with to a particular State will not be re- respect to that State. An expenditure quired if less than 3% of the total esti- shall not necessarily be allocated to mated readership of the publication is the State in which the expenditure is in that State. incurred or paid. In the event that the (B) Broadcast media. Except for ex- Commission disputes the candidate’s penditures exempted under 11 CFR allocation or claim of exemption for a 106.2(b)(2)(i) (E) and (F), expenditures particular expense, the candidate shall for radio, television and similar types demonstrate, with supporting docu- of advertisements purchased in a par- mentation, that his or her proposed ticular media market that covers more method of allocation or claim of ex- than one State shall be allocated to emption was reasonable. Expenditures each State in proportion to the esti- required to be allocated to the primary mated audience. This allocation of ex- election under 11 CFR 9034.4(e) shall penditures, shall be made using indus- also be allocated to particular states in try market data. If industry market accordance with this section. data is not available, the committee

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shall obtain market data from the State, and the costs of other facilities media carrier transmitting the adver- used for office functions and campaign tisement(s). events, shall be allocated to that State. (C) Refunds for media expenditures. Re- An amount that does not exceed 10% of funds for broadcast time or advertise- office overhead expenditures for a par- ment space, purchased but not used, ticular State may be treated as exempt shall be credited to the States on the compliance expenses, and may be ex- same basis as the original allocation. cluded from allocation to that State. (D) Limits on allocation of media ex- (B) Overhead expenditures of regional penditures. No allocation of media ex- offices. Except for expenditures exempt- penditures shall be made to any State ed under 11 CFR 106.2(b)(2)(iii)(C), over- in which the primary election has al- head expenditures of a committee re- ready been held. gional office or any committee office (E) National advertising. Expenditures with responsibilities in two or more incurred for advertisements on na- States shall be allocated to the State tional networks, national cable or in holding the next primary election, cau- publications distributed nationwide cus or convention in the region. The need not be allocated to any State. committee shall maintain records to (F) Media production costs. Expendi- demonstrate that an office operated on tures incurred for production of media a regional basis. These records should advertising, whether or not that adver- show, for example, the kinds of pro- tising is used in more than one State, grams conducted from the office, the need not be allocated to any State. number and nature of contacts with (G) Commissions. Expenditures for other States in the region, and the commissions, fees and other compensa- amount of time devoted to regional tion for the purchase of broadcast or programs by staff working in the reprint media need not be allocated to gional office. any State. (C) Overhead expenditures of national (ii) Expenditures for mass mailings and campaign headquarters. Expenditures in- other campaign materials. Expenditures curred for administrative, staff, and for mass mailings of more than 500 overhead expenditures of the national pieces to addresses in the same State, campaign headquarters need not be al- and expenditures for shipping cam- located to any State, except as pro- paign materials to a State, including vided in paragraph (b)(2)(iv) of this sec- pins, bumperstickers, handbills, bro- tion. chures, posters and yardsigns, shall be (D) Definition of overhead expenditures. allocated to that State. For purposes of For purposes of 11 CFR 106.2(b)(2)(iii), this section, mass mailing includes overhead expenditures include, but are newsletters and other materials in not limited to, rent, utilities, equip- which the content of the materials is ment, furniture, supplies, and tele- substantially identical. Records sup- phone service base charges. ‘‘Telephone porting the committee’s allocations service base charges’’ include any reg- under this section shall include: For ular monthly charges for committee each mass mailing, documentation phone service, and charges for phone showing the total number of pieces installation and intrastate phone calls mailed and the number mailed to each other than charges related to a special state or zip code; and, for other cam- program under 11 CFR 106.2(b)(2)(iv). paign materials acquired for use out- Inter-state calls are not included in side the State of purchase, records re- ‘‘telephone service base charges.’’ Over- lating to any shipping costs incurred head expenditures also include the for transporting these items to each costs of temporary offices established State. while the candidate is traveling in the (iii) Overhead expenditures—(A) Over- State or in the final weeks before the head expenditures of State offices and primary election, as well as expenses other facilities. Except for expenditures paid by campaign staff and subse- exempted under 11 CFR quently reimbursed by the committee, 106.2(b)(2)(iii)(C), overhead expendi- such as miscellaneous supplies, copy- tures of committee offices whose ac- ing, printing and telephone expenses. tivities are directed at a particular See 11 CFR 116.5.

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(iv) Expenditures for special telephone ducting special telephone programs programs. Expenditures for special tele- and public opinion polls shall be allo- phone programs targeted at a par- cated in accordance with paragraphs ticular State, including the costs of de- (b)(2) (iv) and (v) of this section. signing and operating the program, the (c) Reporting. All expenditures allo- costs of installing or renting telephone cated under this section shall be re- lines and equipment, toll charges, per- ported on FEC Form 3P, page 3. sonnel costs, consultants’ fees, related (d) Recordkeeping. All assumptions travel costs, and rental of office space, and supporting calculations for alloca- including a pro rata portion of national, tions made under this section shall be regional or State office space used for documented and retained for Commis- such purposes, shall be allocated to sion inspection. In addition to the that State based on the percentage of records specified in paragraph (b) of telephone calls made to that State. this section, the treasurer shall retain Special telephone programs include records supporting the committee’s al- voter registration, get out the vote ef- locations of expenditures to particular forts, fundraising, and telemarketing States and claims of exemption from efforts conducted on behalf of the can- allocation under this section. If the didate. A special telephone program is records supporting the allocation or targeted at a particular State if 10% or claim of exemption are not retained, more of the total telephone calls made the expenditure shall be considered al- each month are made to that State. locable and shall be allocated to the Records supporting the committee’s al- State holding the next primary elec- location of each special telephone pro- tion, caucus or convention after the ex- gram under this section shall include penditure is incurred. either the telephone bills showing the [56 FR 35909, July 29, 1991, as amended at 60 total number of calls made in that pro- FR 31872, June 16, 1995; 67 FR 78681, Dec. 26, gram and the number made to each 2002] State; or, a copy of the list used to make the calls, from which these num- § 106.3 Allocation of expenses between bers can be determined. campaign and non-campaign re- (v) Public opinion poll expenditures. lated travel. Expenditures incurred for the taking of (a) This section applies to allocation a public opinion poll covering only one for expenses between campaign and State shall be allocated to that State. non-campaign related travel with re- Except for expenditures incurred in spect to campaigns of candidates for conducting a public opinion poll on a Federal office, other than Presidential nationwide basis, expenditures in- and Vice Presidential candidates who curred for the taking of a public opin- receive federal funds pursuant to 11 ion poll covering two or more States CFR part 9005 or 9036. (See 11 CFR shall be allocated to those States based 9004.7 and 9034.7) All expenditures for on the number of people interviewed in campaign-related travel paid for by a each State. Expenditures incurred for candidate from a campaign account or the taking of a public opinion poll in- by his or her authorized committees or clude consultant’s fees, travel costs by any other political committee shall and other expenses associated with de- be reported. signing and conducting the poll. (b)(1) Travel expenses paid for by a Records supporting the committee’s al- candidate from personal funds, or from location under this section shall in- a source other than a political com- clude documentation showing the total mittee, shall constitute reportable ex- number of people contacted for each penditures if the travel is campaign-re- poll and the number contacted in each lated. State. (2) Where a candidate’s trip involves (3) National consulting fees. Expendi- both campaign-related and non-cam- tures for consultants’ fees need not be paign-related stops, the expenditures allocated to any State if the fees are allocable for campaign purposes are re- charged for consulting on national portable, and are calculated on the ac- campaign strategy. Expenditures for tual cost-per-mile of the means of consultants’ fees charged for con- transportation actually used, starting

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at the point of origin of the trip, via § 106.4 Allocation of polling expenses. every campaign-related stop and end- (a) The purchase of opinion poll re- ing at the point of origin. sults by a candidate or a candidate’s (3) Where a candidate conducts any authorized political committee or campaign-related activity in a stop, agent is an expenditure by the can- the stop is a campaign-related stop and didate. Regarding the purchase of opin- travel expenditures made are report- ion poll results for the purpose of de- able. Campaign-related activity shall termining whether an individual not include any incidental contacts. should become a candidate, see 11 CFR (c)(1) Where an individual, other than 100.131(a). a candidate, conducts campaign-re- (b) The purchase of opinion poll related activities on a trip, the portion of sults by a political committee or other the trip attributed to each candidate person not authorized by a candidate shall be allocated on a reasonable to make expenditures and the subse- basis. quent acceptance of the poll results by (2) Travel expenses of a candidate’s a candidate or a candidate’s authorized spouse and family are reportable as ex- political committee or agent or by an- penditures only if the spouse or family other unauthorized political com- members conduct campaign-related ac- mittee is a contribution in-kind by the tivities. purchaser to the candidate or other po- (d) Costs incurred by a candidate for litical committee and an expenditure the United States Senate or House of by the candidate or other political Representatives for travel between committee. Regarding the purchase of Washington, DC, and the State or dis- opinion poll results for the purpose of trict in which he or she is a candidate determining whether an individual need not be reported herein unless the should become a candidate, see 11 CFR costs are paid by a candidate’s author- 100.72(a). The poll results are accepted ized committee(s), or by any other po- by a candidate or other political com- litical committee(s). mittee if the candidate or the can- (e) Notwithstanding paragraphs (b) didate’s authorized political committee and (c) of this section, the reportable or agent or the other unauthorized po- expenditure for a candidate who uses litical committee— government accommodations for travel (1) Requested the poll results before that is campaign-related is the rate for their receipt; comparable accommodations. The re- (2) Uses the poll results; or portable expenditure for a candidate (3) Does not notify the contributor who uses a government conveyance for that the results are refused. travel that is campaign-related is the (c) The acceptance of any part of a applicable rate for a comparable com- poll’s results which part, prior to re- mercial conveyance set forth in 11 CFR ceipt, has been made public without 100.93(e). In the case of a candidate au- any request, authorization, prearrange- thorized by law or required by national ment, or coordination by the can- security to be accompanied by staff didate-receipient or political com- and equipment, the allocable expendi- mittee-recipient, shall not be treated tures are the costs of facilities suffi- as a contribution in-kind and expendi- cient to accommodate the party, less ture under paragraph (b) of this sec- authorized or required personnel and tion. equipment. If such a trip includes both (d) The purchase of opinion poll re- campaign and noncampaign stops, sults by an unauthorized political com- equivalent costs are calculated in ac- mittee for its own use, in whole or in cordance with paragraphs (b) and (c) of part, is an overhead expenditure by the this section. political committee under § 106.1(c)(1) to the extent of the benefit derived by (52 U.S.C. 30111(a)(8)) the committee. [41 FR 35944, Aug. 25, 1976, as amended at 45 (e) The amount of a contribution FR 15117, Mar. 7, 1980; 45 FR 43387, June 27, under paragraph (b) of this section or 1980; 48 FR 5234, Feb. 4, 1983; 68 FR 69595, Dec. of any expenditure under paragraphs 15, 2003] (a) and (b) of this section attributable

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to each candidate-recipient or political (3) If the results are received more committee-recipient shall be— than 180 days after receipt by the ini- (1) That share of the overall cost of tial recipient(s), no amount need be al- the poll which is allocable to each can- located. didate (including State and local can- (h) A contributor of poll results didates) or political committee, based under paragraph (b) of this section upon the cost allocation formula of the shall maintain records sufficient to polling firm from which the results are support the valuation of the contribu- purchased. Under this method the size tion(s) in-kind and shall inform the of the sample, the number of computer candidate-recipient(s) or political com- column codes, the extent of computer mittee-recipient(s) of the value of the tabulations, and the extent of written contribution(s). analysis and verbal consultation, if applicable, may be used to determine the [41 FR 35944, Aug. 25, 1976, as amended at 45 shares; or FR 21209, Apr. 1, 1980; 67 FR 78681, Dec. 26, (2) An amount computed by dividing 2002] the overall cost of the poll equally § 106.5 Allocation of expenses between among candidates (including State and federal and non-federal activities local candidates) or political commit- by national party committees. tees receiving the results; or (3) A proportion of the overall cost of (a) General rules—(1) Disbursements the poll equal to the proportion that from Federal and non-Federal accounts. the number of question results received National party committees that make by the candidate or political com- disbursements in connection with Fed- mittee bears to the total number of eral and non-Federal elections shall question results received by all can- make those disbursements entirely didates (including State and local can- from funds subject to the prohibitions didates) and political committees; or and limitations of the Act, or from ac- (4) An amount computed by any counts established pursuant to 11 CFR other method which reasonably reflects 102.5. Political committees that have the benefit derived. established separate Federal and non- (f) The first candidate(s) or com- Federal accounts under 11 CFR mittee(s) receiving poll results under 102.5(a)(1)(i) shall allocate expenses be- paragraph (b) or (d) of this section and tween those accounts according to this any candidate or political committee section. Organizations that are not po- receiving poll results under paragraph litical committees but have established (b) of this section within 15 days after separate Federal and non-Federal ac- receipt by the initial recipient(s) shall counts under 11 CFR 102.5(b)(1)(i), or compute the amount of the contribu- that make Federal and non-Federal tion in-kind and the expenditure as disbursements from a single account provided in paragraph (e) of this sec- under 11 CFR 102.5(b)(1)(ii), shall also tion. allocate their Federal and non-Federal (g) The amount of the contribution expenses according to this section. and expenditure reported by a can- This section covers: didate or a political committee receiv- (i) General rules regarding allocation ing poll results under paragraph (b) of of Federal and non-Federal expenses by this section more than 15 days after re- party committees; ceipt of such poll results by the initial (ii) Percentages to be allocated for recipient(s) shall be— administrative expenses and costs of (1) If the results are received during generic voter drives by national party the period 16 to 60 days following re- committees; ceipt by the initial recipient(s), 50 per- (iii) Methods for allocation of admin- cent of the amount allocated to an ini- istrative expenses, costs of generic tial recipient of the same results; voter drives, and of fundraising costs (2) If the results are received during by national party committees; and the period 61 to 180 days after receipt (iv) Procedures for payment of allo- by the initial recipient(s), 5 percent of cable expenses. Requirements for re- the amount allocated to an initial reporting of allocated disbursements are cipient of the same results; set forth in 11 CFR 104.10.

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(2) Costs to be allocated. National House campaign committees shall allo- party committees that make disburse- cate to their Federal accounts at least ments in connection with Federal and 65% each of their administrative ex- non-Federal elections shall allocate expenses and costs of generic voter penses according to this section for the drives. following categories of activity: (ii) Non-presidential election years. In (i) Administrative expenses including all years other than presidential elec- rent, utilities, office supplies, and sala- tion years, national party committees ries, except for such expenses directly other than the Senate or House cam- attributable to a clearly identified can- paign committees shall allocate to didate; their Federal accounts at least 60% (ii) The direct costs of a fundraising each of their administrative expenses program or event including disburse- and costs of generic voter drives. ments for solicitation of funds and for (c) Senate and House campaign commit- planning and administration of actual tees of a national party; method and min- fundraising events, where Federal and imum Federal percentage for allocating non-Federal funds are collected by one administrative expenses and costs of ge- committee through such program or neric voter drives—(1) Method for allo- event; and cating administrative expenses and costs (iii) [Reserved] of generic voter drives. Subject to the (iv) Generic voter drives including minimum percentage set forth in para- voter identification, voter registration, graph (c)(2) of this section, each Senate and get-out-the-vote drives, or any or House campaign committee of a na- other activities that urge the general tional party shall allocate its adminis- public to register, vote or support can- trative expenses and costs of generic didates of a particular party or associ- voter drives, as described in paragraph ated with a particular issue, without (a)(2) of this section, according to the mentioning a specific candidate. funds expended method, described in (b) National party committees other paragraphs (c)(1)(i) and (ii) as follows: than Senate or House campaign commit- (i) Under this method, expenses shall tees; fixed percentages for allocating ad- be allocated based on the ratio of Fed- ministrative expenses and costs of generic eral expenditures to total Federal and voter drives—(1) General rule. Each na- non-Federal disbursements made by tional party committee other than a the committee during the two-year Senate or House campaign committee Federal election cycle. This ratio shall shall allocate a fixed percentage of its be estimated and reported at the begin- administrative expenses and costs of ning of each Federal election cycle, generic voter drives, as described in based upon the committee’s Federal paragraph (a)(2) of this section, to its and non-Federal disbursements in a Federal and non-Federal account(s) prior comparable Federal election each year. These percentages shall dif- cycle or upon the committee’s reason- fer according to whether or not the al- able prediction of its disbursements for locable expenses were incurred in a the coming two years. In calculating presidential election year. Such com- its Federal expenditures, the committees shall allocate the costs of each mittee shall include only amounts con- combined Federal and non-Federal tributed to or otherwise spent on be- fundraising program or event according half of specific federal candidates. Cal- to paragraph (f) of this section, with no culation of total Federal and non-Fed- fixed percentages required. eral disbursements shall also be lim- (2) Fixed percentages according to type ited to disbursements for specific can- of election year. National party commit- didates, and shall not include overhead tees other than the Senate or House or other generic costs. campaign committees shall allocate (ii) On each of its periodic reports, their administrative expenses and costs the committee shall adjust its alloca- of generic voter drives according to tion ratio to reconcile it with the ratio paragraphs (b)(2) (i) and (ii) as follows: of actual Federal and non-Federal dis- (i) Presidential election years. In presi- bursements made, to date. If the non- dential election years, national party Federal account has paid more than its committees other than the Senate or allocable share, the committee shall

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transfer funds from its Federal to its prior to the actual program or event non-Federal account, as necessary, to shall be allocated according to this es- reflect the adjusted allocation ratio. timated ratio. The committee shall make note of any (2) No later than the date 60 days such adjustments and transfers on its after each fundraising program or periodic reports, submitted pursuant to event from which both Federal and 11 CFR 104.5. non-Federal funds are collected, the (2) Minimum Federal percentage for ad- committee shall adjust the allocation ministrative expenses and costs of generic ratio for that program or event to re- voter drives. Regardless of the alloca- flect the actual ratio of funds received. tion ratio calculated under paragraph If the non-Federal account has paid (c)(1) of this section, each Senate or more than its allocable share, the com- House campaign committee of a na- mittee shall transfer funds from its tional party shall allocate to its Fed- Federal to its non-Federal account, as eral account at least 65% each of its necessary, to reflect the adjusted allo- administrative expenses and costs of cation ratio. If the Federal account has generic voter drives each year. If the paid more than its allocable share, the committee’s own allocation calcula- committee shall make any transfers of tion under paragraph (c)(1) of this sec- funds from its non-federal to its federal tion yields a Federal share greater account to reflect the adjusted alloca- than 65%, then the higher percentage tion ratio within the 60-day time pe- shall be applied. If such calculation riod established by this paragraph. The yields a Federal share lower than 65%, committee shall make note of any such then the committee shall report its adjustments and transfers in its report calculated ratio according to 11 CFR for any period in which a transfer was 104.10(b), and shall apply the required made, and shall also report the date of minimum Federal percentage. the fundraising program or event that (3) Allocation of fundraising costs. Sen- serves as the basis for the transfer. In ate and House campaign committees the case of a telemarketing or direct shall allocate the costs of each com- mail campaign, the date for purposes of bined Federal and non-Federal fund- this paragraph is the last day of the raising program or event according to telemarketing campaign, or the day on paragraph (f) of this section, with no which the final direct mail solicita- minimum percentages required. tions are mailed. (d)–(e) [Reserved] (g) Payment of allocable expenses by (f) National party committees; method committees with separate Federal and for allocating direct costs of fundraising. non-Federal accounts—(1) Payment op- (1) If Federal and non-Federal funds are tions. Committees that have estab- collected by one committee through a lished separate Federal and non-Fed- joint activity, that committee shall al- eral accounts under 11 CFR 102.5(a)(1)(i) locate its direct costs of fundraising, as or (b)(1)(i) shall pay the expenses of described in paragraph (a)(2) of this joint Federal and non-Federal activi- section, according to the funds received ties described in paragraph (a)(2) of method. Under this method, the com- this section according to either para- mittee shall allocate its fundraising graph (g)(1)(i) or (ii), as follows: costs based on the ratio of funds re- (i) Payment by Federal account; trans- ceived into its Federal account to its fers from non-Federal account to Federal total receipts from each fundraising account. The committee shall pay the program or event. This ratio shall be entire amount of an allocable expense estimated prior to each such program from its Federal account and shall or event based upon the committee’s transfer funds from its non-Federal ac- reasonable prediction of its Federal count to its Federal account solely to and non-Federal revenue from that pro- cover the non-Federal share of that al- gram or event, and shall be noted in locable expense. the committee’s report for the period (ii) Payment by separate allocation ac- in which the first disbursement for count; transfers from Federal and non- such program or event occurred, sub- Federal accounts to allocation account. mitted pursuant 11 CFR 104.5. Any dis- (A) The committee shall establish a bursements for fundraising costs made separate allocation account into which

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funds from its Federal and non-Federal count to a Federal account, in viola- accounts shall be deposited solely for tion of the Act. the purpose of paying the allocable ex- (3) Reporting transfers of funds and al- penses of joint Federal and non-Federal located disbursements. A political com- activities. Once a committee has estab- mittee that transfers funds between ac- lished a separate allocation account for counts and pays allocable expenses ac- this purpose, all allocable expenses cording to this section shall report shall be paid from that account for as each such transfer and disbursement long as the account is maintained. pursuant to 11 CFR 104.10(b). (B) The committee shall transfer (h) Sunset provision. This section ap- funds from its Federal and non-Federal plies from November 6, 2002, to Decem- accounts to its allocation account in ber 31, 2002. After December 31, 2002, see amounts proportionate to the Federal 11 CFR 106.7(a). or non-Federal share of each allocable [67 FR 49116, July 29, 2002] expense. (C) No funds contained in the alloca- § 106.6 Allocation of expenses between tion account may be transferred to any federal and non-federal activities other account maintained by the com- by separate segregated funds and mittee. nonconnected committees. (2) Timing of transfers between ac- (a) General rule. Separate segregated counts. (i) Under either payment option funds and nonconnected committees described in paragraphs (g)(1)(i) or (ii) that make disbursements in connection of this section, the committee shall with federal and non-federal elections transfer funds from its non-Federal ac- shall make those disbursements either count to its Federal account or from entirely from funds subject to the pro- its Federal and non-Federal accounts hibitions and limitations of the Act, or to its separate allocation account fol- from accounts established pursuant to lowing determination of the final cost 11 CFR 102.5. Separate segregated funds of each joint Federal and non-Federal and nonconnected committees that activity, or in advance of such deter- have established separate federal and mination if advance payment is re- non-federal accounts under 11 CFR quired by the vendor and if such pay- 102.5 (a)(1)(i), or that make federal and ment is based on a reasonable estimate non-federal disbursements from a sin- of the activity’s final cost as deter- gle account under 11 CFR 102.5(a)(1)(ii), mined by the committee and the ven- shall allocate their federal and non-fed- dor(s) involved. eral expenses according to paragraphs (ii) Funds transferred from a com- (c), (d), and (f) of this section. For pur- mittee’s non-Federal account to its poses of this section, ‘‘nonconnected Federal account or its allocation ac- committee’’ includes any committee count are subject to the following re- which conducts activities in connec- quirements: tion with an election, but which is not (A) For each such transfer, the com- a party committee, an authorized committee must itemize in its reports the mittee of any candidate for federal allocable activities for which the election, or a separate segregated fund. transferred funds are intended to pay, (b) Payments for administrative ex- as required by 11 CFR 104.10(b)(3); and penses, voter drives and certain public (B) Except as provided in paragraph communications—(1) Costs to be allocated. (f)(2) of this section, such funds may Separate segregated funds and noncon- not be transferred more than 10 days nected committees that make disburse- before or more than 60 days after the ments in connection with Federal and payments for which they are des- non-Federal elections shall allocate ex- ignated are made. penses for the following categories of (iii) Any portion of a transfer from a activity in accordance with paragraphs committee’s non-Federal account to its (c) or (d) of this section: Federal account or its allocation ac- (i) Administrative expenses including count that does not meet the require- rent, utilities, office supplies, and sala- ments of paragraph (g)(2)(ii) of this sec- ries not attributable to a clearly iden- tion shall be presumed to be a loan or tified candidate, except that for a sepa- contribution from the non-Federal ac- rate segregated fund such expenses

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may be paid instead by its connected refer to any clearly identified Federal organization; candidates; or (ii) The direct costs of a fundraising (B) One or more clearly identified program or event including disburse- non-Federal candidates and also refer ments for solicitation of funds and for to candidates of a particular party or planning and administration of actual associated with a particular issue, but fundraising events, where Federal and do not refer to any clearly identified non-Federal funds are collected Federal candidates; through such program or event, except (iii) Public communications that that for a separate segregated fund refer to one or more clearly identified such expenses may be paid instead by Federal candidates, regardless of its connected organization; whether there is reference to a polit- (iii) Generic voter drives including ical party, but do not refer to any voter identification, voter registration, clearly identified non-Federal can- and get-out-the-vote drives, or any didates; and other activities that urge the general (iv) Public communications that public to register, vote or support can- refer to a political party, and refer to didates of a particular party or associ- one or more clearly identified non-Fed- ated with a particular issue, without eral candidates, but do not refer to any mentioning a specific candidate; and clearly identified Federal candidates. (iv) Public communications that (c) [Reserved] refer to a political party, but do not (d) Method for allocating direct costs of refer to any clearly identified Federal fundraising. (1) If federal and non-fed- or non-Federal candidate; eral funds are collected by one com- (2) Costs not subject to allocation. Sep- mittee through a joint activity, that arate segregated funds and noncon- committee shall allocate its direct nected committees that make disburse- costs of fundraising, as described in ments for the following categories of paragraph (a)(2) of this section, accord- activity shall pay for those activities ing to the funds received method. in accordance with paragraph (f) of this Under this method, the committee section: shall allocate its fundraising costs (i) Voter drives, including voter iden- based on the ratio of funds received tification, voter registration, and get- into its federal account to its total re- out-the-vote drives, in which the print- ceipts from each fundraising program ed materials or scripted messages refer or event. This ratio shall be estimated to, or the written instructions direct prior to each such program or event the separate segregated fund’s or non- based upon the committee’s reasonable connected committee’s employee or prediction of its federal and non-fed- volunteer to refer to: eral revenue from that program or (A) One or more clearly identified event, and shall be noted in the com- Federal candidates, but do not refer to mittee’s report for the period in which any clearly identified non-Federal can- the first disbursement for such pro- didates; or gram or event occurred, submitted pur- (B) One or more clearly identified suant to 11 CFR 104.5. Any disburse- Federal candidates and also refer to ments for fundraising costs made prior candidates of a particular party or as- to the actual program or event shall be sociated with a particular issue, but do allocated according to this estimated not refer to any clearly identified non- ratio. Federal candidates; (2) No later than the date 60 days (ii) Voter drives, including voter after each fundraising program or identification, voter registration, and event from which both federal and non- get-out-the-vote drives, in which the federal funds are collected, the com- printed materials or scripted messages mittee shall adjust the allocation ratio refer to, or the written instructions di- for that program or event to reflect the rect the separate segregated fund’s or actual ratio of funds received. If the nonconnected committee’s employee or non-federal account has paid more than volunteer to refer to: its allocable share, the committee (A) One or more clearly identified shall transfer funds from its federal to non-Federal candidates, but do not its non-federal account, as necessary,

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to reflect the adjusted allocation ratio. or non-federal share of each allocable If the federal account has paid more expense. than its allocable share, the committee (C) No funds contained in the alloca- shall make any transfers of funds from tion account may be transferred to any its non-federal to its federal account to other account maintained by the com- reflect the adjusted allocation ratio mittee. within the 60-day time period estab- (2) Timing of transfers between ac- lished by this paragraph. The com- counts. (i) Under either payment option mittee shall make note of any such ad- described in paragraphs (e)(1) (i) or (ii) justments and transfers in its report of this section, the committee shall for any period in which a transfer was transfer funds from its non-federal ac- made, and shall also report the date of count or from its federal and non-fed- the fundraising program or event eral accounts to its separate allocation which serves as the basis for the trans- account following determination of the fer. In the case of a telemarketing or final cost of each joint federal and non- direct mail campaign, the ‘‘date’’ for federal activity, or in advance of such purposes of this paragraph is the last determination if advance payment is day of the telemarketing campaign, or required by the vendor and if such pay- the day on which the final direct mail ment is based on a reasonable estimate solicitations are mailed. of the activity’s final cost as deter- (e) Payment of allocable expenses by mined by the committee and the ven- committees with separate federal and non- dor(s) involved. federal accounts—(1) Payment options. (ii) Funds transferred from a com- Nonconnected committees and sepa- mittee’s non-federal account to its fed- rate segregated funds that have estab- eral account or its allocation account lished separate federal and non-federal are subject to the following require- accounts under 11 CFR 102.5 (a)(1)(i) ments: shall pay the expenses of joint federal (A) For each such transfer, the com- and non-federal activities described in mittee must itemize in its reports the paragraph (b) of this section according allocable activities for which the to either paragraph (e)(1)(i) or (ii), as tranferred funds are intended to pay, as follows: required by 11 CFR 104.10(b)(3); and (i) Payment by federal account; trans- (B) Except as provided in paragraph fers from non-federal account to federal (d)(2) of this section, such funds may account. The committee shall pay the not be transferred more than 10 days entire amount of an allocable expense before or more than 60 days after the from its federal account and shall payments for which they are des- transfer funds from its non-federal ac- ignated are made. count to its federal account solely to (iii) Any portion of a transfer from a cover the non-federal share of that al- committee’s non-federal account to its locable expense. federal account or its allocation ac- (ii) Payment by separate allocation account that does not meet the require- count; transfers from federal and non-fed- ments of paragraph (e)(2)(ii) of this sec- eral accounts to allocation account. (A) tion shall be presumed to be a loan or The committee shall establish a sepa- contribution from the non-federal ac- rate allocation account into which count to a federal account, in violation funds from its federal and non-federal of the Act. accounts shall be deposited solely for (3) Reporting transfers of funds and al- the purpose of paying the allocable ex- located disbursements. A political com- penses of joint federal and non-federal mittee that transfers funds between ac- activities. Once a committee has estab- counts and pays allocable expenses ac- lished an allocation account for this cording to this section shall report purpose, all allocable expenses shall be each such transfer and disbursement paid from that account for as long as pursuant to 11 CFR 104.10(b). the account is maintained. (f) [Reserved] (B) The committee shall transfer NOTE TO 11 CFR 106.6: On November 30, funds from its federal and non-federal 2009, the United States District Court for the accounts to its allocation account in District of Columbia ordered that paragraphs amounts proportionate to the federal (c) and (f) of § 106.6 are vacated. See Final

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Order, EMILY’s List v. FEC, No. 05–0049 benefits for employees who spend 25% (D.D.C. Nov. 30, 2009). or less of their time in a given month [55 FR 26071, June 26, 1990, as amended at 57 on Federal election activity or activity FR 8993, Mar. 13, 1992; 69 FR 68067, Nov. 23, in connection with a Federal election 2004; 74 FR 68662, Dec. 29, 2009; 75 FR 13224, with funds from their Federal account, Mar. 19, 2010] or with a combination of funds from § 106.7 Allocation of expenses between their Federal and non-Federal ac- Federal and non-Federal accounts counts, in accordance with paragraph by party committees, other than for (d)(2) of this section. See 11 CFR Federal election activities. 300.33(d)(1). (a) National party committees are (2) Administrative costs. State, dis- prohibited from raising or spending trict, and local party committees may non-Federal funds. Therefore, these either pay administrative costs, includ- committees shall not allocate expendi- ing rent, utilities, office equipment, of- tures and disbursements between Fed- fice supplies, postage for other than eral and non-Federal accounts. All dis- mass mailings, and routine building bursements by a national party com- maintenance, upkeep and repair, from mittee must be made from a Federal their Federal account, or allocate such account. expenses between their Federal and (b) State, district, and local party non-Federal accounts, except that any committees that make expenditures such expenses directly attributable to and disbursements in connection with a clearly identified Federal candidate both Federal and non-Federal elections must be paid only from the Federal ac- for activities that are not Federal elec- count. tion activities pursuant to 11 CFR (3) Exempt party activities that are not 100.24 may use only funds subject to the Federal election activities. State, dis- prohibitions and limitations of the Act, trict, and local party committees may or they may allocate such expenditures pay expenses for party activities that and disbursements between their Fed- are exempt from the definitions of con- eral and their non-Federal accounts. tribution and expenditure under 11 State, district, and local party com- CFR 100.80, 100.87 or 100.89, and 100.140, mittees that are political committees 100.147 or 100.149, that are conducted in that have established separate Federal conjunction with non-Federal activity, and non-Federal accounts under 11 CFR and that are not Federal election ac- 102.5(a)(1)(i) shall allocate expenses be- tivities pursuant to 11 CFR 100.24, from tween those accounts according to their Federal accounts, or may allocate paragraphs (c) and (d) of this section. these expenses between their Federal Party organizations that are not polit- and non-Federal accounts. ical committees but have established separate Federal and non-Federal ac- (4) Certain fundraising costs. State, counts, or that make Federal and non- district, and local party committees Federal disbursements from a single may allocate the direct costs of joint account, shall also allocate their Fed- fundraising programs or events be- eral and non-Federal expenses accord- tween their Federal and non-Federal ing to paragraphs (c) and (d) of this accounts according to the funds re- section. In lieu of establishing separate ceived method described in paragraph accounts, party organizations that are (d)(4) of this section. The direct costs not political committees may choose of a fundraising program or event in- to use a reasonable accounting method clude expenses for the solicitation of approved by the Commission (including funds and for the planning and admin- any method embedded in software pro- istration of actual fundraising provided or approved by the Commission) grams and events. pursuant to 11 CFR 102.5 and 300.30. (5) Voter-drive activities that do not (c) Costs allocable by State, district, and qualify as Federal election activities and local party committees between Federal that are not party exempt activities. Ex- and non-Federal accounts—(1) Salaries, penses for voter identification, voter wages, and fringe benefits. State, dis- registration, and get-out-the-vote trict, and local party committees must drives, and any other activities that either pay salaries, wages, and fringe urge the general public to register or

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vote, or that promote or oppose a polit- dential candidate and a Senate can- ical party, without promoting or op- didate appear on the ballot, and in the posing a candidate or non-Federal can- preceding year, State, district, and didate, that do not qualify as Federal local party committees must allocate election activities and that are not ex- at least 36% of administrative expenses empt party activities, must be paid to their Federal accounts. with Federal funds or may be allocated (iii) Senate election year. In any even between the committee’s Federal and year in which a Senate candidate, but non-Federal accounts. no Presidential candidate, appears on (d) Allocation percentages, ratios, and the ballot, and in the preceding year, record-keeping—(1) Salaries and wages. State, district, and local party com- Committees must keep a monthly log mittees must allocate at least 21% of of the percentage of time each em- administrative expenses to their Fed- ployee spends in connection with a eral account. Federal election. Allocations of sala- (iv) Non-Presidential and non-Senate ries and wages shall be undertaken as year. In any even year in which neither follows: a Presidential nor a Senate candidate (i) Except as provided in paragraph appears on the ballot, and in the pre- (d)(1)(iii) of this section, salaries, ceding year, State, district, and local wages, and fringe benefits paid for em- party committees must allocate at ployees who spend 25% or less of their least 15% of administrative expenses to compensated time in a given month on their Federal account. Federal election activities or on activi- (3) Exempt party activities and voter ties in connection with a Federal elec- drive activities that are not Federal election must either be paid only from the tion activities. State, district, and local Federal account or be allocated as ad- party committees that choose to allo- ministrative costs under paragraph cate expenses for exempt activities (d)(2) of this section. conducted in conjunction with non- (ii) Salaries, wages, and fringe bene- Federal activities and voter drive ac- fits paid for employees who spend more tivities, that are not Federal election than 25% of their compensated time in activities, must do so subject to the a given month on Federal election ac- following requirements: tivities or on activities in connection (i) Presidential election years. In any with a Federal election must be paid even year in which a Presidential can- only from a Federal account. See 11 didate, but no Senate candidate ap- CFR 300.33(d)(1), and paragraph (e)(2) of pears on the ballot, and in the pre- this section. ceding year, State, district, and local (iii) Salaries, wages, and fringe bene- party committees must allocate at fits paid for employees who spend none least 28% of these expenses to their of their compensated time in a given Federal accounts. month on Federal election activities or (ii) Presidential and Senate election on activities in connection with a Fed- year. In any even year in which a Presi- eral election may be paid entirely with dential candidate and a Senate can- funds that comply with State law. didate appear on the ballot, and in the (2) Administrative costs. State, dis- preceding year, State, district, and trict, and local party committees that local party committees must allocate choose to allocate administrative ex- at least 36% of these expenses to their penses may do so subject to the fol- Federal accounts. lowing requirements: (iii) Senate election year. In any even (i) Presidential election years. In any year in which a Senate candidate, but even year in which a Presidential can- no Presidential candidate, appears on didate, but no Senate candidate ap- the ballot, and in the preceding year, pears on the ballot, and in the pre- State, district, and local party com- ceding year, State, district, and local mittees must allocate at least 21% of party committees must allocate at these expenses to their Federal ac- least 28% of administrative expenses to count. their Federal accounts. (iv) Non-Presidential and non-Senate (ii) Presidential and Senate election year. In any even year in which neither year. In any even year in which a Presi- a Presidential nor a Senate candidate

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appears on the ballot, and in the pre- purposes of this paragraph is the last ceding year, State, district, and local day of the telemarketing campaign, or party committee must allocate at least the day on which the final direct mail 15% of these expenses to their Federal solicitations are mailed. account. (e) Costs not allocable by State, district, (4) Fundraising for Federal and non- and local party committees between Fed- Federal accounts. If Federal and non- eral and non-Federal accounts. The fol- Federal funds are collected by a State, lowing costs incurred by State, dis- district, or local party committee trict, and local party committees shall through a joint fundraising activity, be paid only with Federal funds: that committee must allocate its di- (1) Disbursements for State, district, rect fundraising costs using the funds and local party committees for activi- received method and according to the ties that refer only to one or more can- following procedures: didates for Federal office must not be (i) The committee must allocate its allocated. All such disbursements must fundraising costs based on the ratio of be made from a Federal account. funds received into its Federal account (2) Salaries and wages. Salaries and to its total receipts from each fund- wages for employees who spend more raising program or event. This ratio than 25% of their compensated time in shall be estimated prior to each such a given month on activities in connec- program or event based upon the com- tion with a Federal election must not mittee’s reasonable prediction of its be allocated. All such disbursements Federal and non-Federal revenue from must be made from a Federal account. that program or event, and must be See 11 CFR 300.33(d)(2). noted in the committee’s report for the (3) Federal election activities. Activi- period in which the first disbursement ties that are Federal election activities for such program or event occurred, pursuant to 11 CFR 100.24 must not be submitted pursuant to 11 CFR 104.5. allocated between Federal and non- Any disbursements for fundraising Federal accounts. Only Federal funds, costs made prior to the actual program or a mixture of Federal funds and or event must be allocated according to Levin funds, as provided in 11 CFR this estimated ratio. 300.33, may be used. (ii) No later than the date 60 days (f) Transfers between accounts to cover after each fundraising program or allocable expenses. State, district, and event from which both Federal and local party committees may transfer non-Federal funds are collected, the funds from their non-Federal to their committee shall adjust the allocation Federal accounts or to an allocation ratio for that program or event to re- account solely to meet allocable ex- flect the actual ratio of funds received. penses under this section and only pur- If the non-Federal account has paid suant to the following requirements: more than its allocable share, the com- (1) Payments from Federal accounts or mittee shall transfer funds from its from allocation accounts. (i) State, dis- Federal to its non-Federal account, as trict, and local party committees must necessary, to reflect the adjusted allo- pay the entire amount of an allocable cation ratio. If the Federal account has expense from their Federal accounts paid more than its allocable share, the and transfer funds from their non-Fed- committee shall make any transfers of eral account to the Federal account funds from its non-Federal to its Fed- solely to cover the non-Federal share eral account to reflect the adjusted al- of that allocable expense; or location ratio within the 60-day time (ii) State, district, or local party period established by this paragraph. committees may establish a separate The committee shall make note of any allocation account into which funds such adjustments and transfers in its from its Federal and non-Federal ac- report for any period in which a trans- counts may be deposited solely for the fer was made, and shall also report the purpose of paying the allocable ex- date of the fundraising program or penses of joint Federal and non-Federal event that serves as the basis for the activities. transfer. In the case of a telemarketing (2) Timing. (i) If a Federal or alloca- or direct mail campaign, the date for tion account is used to make allocable

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expenditures and disbursements, State, (b) Attribution. Each disbursement for district, and local party committees the costs of a phone bank described in must transfer funds from their non- paragraph (a) of this section shall be Federal to their Federal or allocation attributed as follows: account to meet allocable expenses no (1) Fifty percent of the disbursement more than 10 days before and no more is not attributable to any other Fed- than 60 days after the payments for eral or non-Federal candidate, but which they are designated are made must be paid for entirely with Federal from a Federal or allocation account, funds; and except that transfers may be made (2) Fifty percent of the disbursement more than 10 days before a payment is is attributed to the clearly identified made from the Federal or allocation Federal candidate and must be paid for account if advance payment is required entirely with Federal funds. This dis- by the vendor(s) and if such payment is bursement may be one or a combina- based on a reasonable estimate of the tion of the following: activity’s final costs as determined by the committee and the vendor(s) in- (i) An in-kind contribution, subject volved. to the limitations set forth in 11 CFR (ii) Any portion of a transfer from a 110.1 or 110.2; or committee’s non-Federal account to its (ii) A coordinated expenditure or an Federal or allocation account that does independent expenditure, subject to the not meet the requirement of paragraph limitations, restrictions, and require- (f)(2)(i) of this section shall be pre- ments of 11 CFR 109.10, 109.32, and sumed to be a loan or contribution 109.33; or from the non-Federal account to the (iii) Reimbursed by the clearly iden- Federal or allocation account, in viola- tified Federal candidate or his or her tion of the Act. authorized committee. [67 FR 49118, July 29, 2002, as amended at 67 [68 FR 64520, Nov. 14, 2003, as amended at 69 FR 78681, Dec. 26, 2002; 70 FR 75384, Dec. 20, FR 63920, Nov. 3, 2004] 2005]

§ 106.8 Allocation of expenses for polit- PART 107—PRESIDENTIAL NOMI- ical party committee phone banks NATING CONVENTION, REG- that refer to a clearly identified ISTRATION AND REPORTS Federal candidate. (a) Scope. This section applies to the Sec. costs of a phone bank conducted by a 107.1 Registration and reports by political national, State, district, or local com- parties. mittee or organization of a political 107.2 Registration and reports by host com- party where— mittees and municipal funds. (1) The communication refers to a AUTHORITY: 52 U.S.C. 30105, 30111(a)(8). clearly identified Federal candidate; SOURCE: 59 FR 33615, June 29, 1994, unless (2) The communication does not refer otherwise noted. to any other clearly identified Federal or non-Federal candidate; § 107.1 Registration and reports by po- (3) The communication includes an- litical parties. other reference that generically refers Each convention committee estab- to other candidates of the Federal can- lished under 11 CFR 9008.3(a)(2) by a na- didate’s party without clearly identifying them; tional committee of a political party and each committee or other organiza- (4) The communication does not solicit a contribution, donation, or any tion, including a national committee, other funds from any person; and which represents a political party in (5) The phone bank is not exempt making arrangements for that party’s from the definition of ‘‘contribution’’ convention held to nominate a presi- under 11 CFR 100.89 and is not exempt dential or vice presidential candidate from the definition of ‘‘expenditure’’ shall register and report in accordance under 11 CFR 100.149. with 11 CFR 9008.3(b).

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§ 107.2 Registration and reports by shall not apply to a State if the Com- host committees and municipal mission has determined that the State funds. maintains a system that can electroni- Each host committee and municipal cally receive and duplicate reports and fund shall register and report in ac- statements filed with the Commission. cordance with 11 CFR 9008.51. The re- Once a State has obtained a waiver ports shall contain the information pursuant to this paragraph, the waiver specified in 11 CFR part 104. shall apply to all reports that can be [68 FR 47414, Aug. 8, 2003] electronically accessed and duplicated from the Commission, regardless of PART 108—FILING COPIES OF RE- whether the report or statement was PORTS AND STATEMENTS WITH originally filed with the Commission. STATE OFFICERS (52 U.S.C. The list of States that have obtained waivers under this section is available 30113) on the Commission’s website. Sec. [45 FR 15117, Mar. 7, 1980, as amended at 65 108.1 Filing requirements (52 U.S.C. FR 15223, Mar. 22, 2000; 68 FR 420, Jan. 3, 2003] 30113(a)(1)). 108.2 Filing copies of reports and state- § 108.2 Filing copies of reports and ments in connection with the campaign statements in connection with the of any candidate seeking nomination for campaign of any candidate seeking election to the Office of President or nomination for election to the Of- Vice-President (52 U.S.C. 30113(a)(2)). fice of President or Vice-President 108.3 Filing copies of reports and statements in connection with the campaign (52 U.S.C. 30113(a)(2)). of any congressional candidate (52 U.S.C. Except as provided in § 108.1(b), a 30113(a)(2)). copy of each report and statement re- 108.4 Filing copies of reports by committees quired to be filed under the Act (in- other than principal campaign committees (52 U.S.C. 30113(a)(2)). cluding 11 CFR part 104) by a Presi- 108.5 Time and manner of filing copies (52 dential or Vice Presidential can- U.S.C. 30104(a)(2)). didate’s principal campaign com- 108.6 Duties of State officers (52 U.S.C. mittee, or under 11 CFR 104.4 or part 30113(b)). 109 by any other person making inde- 108.7 Effect on State law (52 U.S.C. 30143). 108.8 Exemption for the District of Colum- pendent expenditures, in connection bia. with a candidate seeking nomination for election to the office of President AUTHORITY: 52 U.S.C. 30104(a)(2), 30111(a)(8), 30113, 30143. or Vice-President, shall be filed with the State officer of each State in which SOURCE: 45 FR 15117, Mar. 7, 1980, unless an expenditure is made in connection otherwise noted. with the campaign of a candidate seek- § 108.1 Filing requirements (52 U.S.C. ing nomination for election to the of- 30113(a)(1)). fice of President or Vice-President. The (a) Except as provided in paragraph report and statement shall contain all (b) of this section, a copy of each re- transactions pertaining to that State port and statement required to be filed during the reporting period. Any com- by any person under the Act shall be mittee, other than a Presidential or filed either with the Secretary of State Vice Presidential candidate’s principal of the appropriate State or with the campaign committee and the can- State officer who is charged by State didate’s authorized committee(s) shall law with maintaining state election also file a copy of each report and campaign reports. In States where re- statement with the appropriate State ports are to be filed with a designated officer of the State in which such com- officer other than the Secretary of mittee has its headquarters pursuant State, the chief executive officer of to 11 CFR 108.4. that State shall notify the Commission of such designation. [45 FR 15117, Mar. 7, 1980, as amended at 65 (b) The filing requirements and du- FR 15224, Mar. 22, 2000] ties of State officers under this part 108

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§ 108.3 Filing copies of reports and § 108.5 Time and manner of filing cop- statements in connection with the ies (52 U.S.C. 30104(a)(2)). campaign of any congressional candidate (52 U.S.C. 30113(a)(2)). A copy of any report or statement required to be filed with a State officer (a) Except as provided in § 108.1(b), a under 11 CFR part 108 shall be filed at copy of each report and statement re- the same time as the original report is quired to be filed under 11 CFR part 104 filed. Each copy of such report or state- by candidates, and the authorized comment shall be a complete, true, and leg- mittees of candidates, for nomination ible copy of the original report or for election or election to the office of statement filed. Senator; by other committees that support only such candidates; and by the § 108.6 Duties of State officers (52 National Republican Senatorial Com- U.S.C. 30113(b)). mittee and the Democratic Senatorial Campaign Committees shall be filed Except as provided in § 108.1(b), the with the appropriate State officer of Secretary of State, or the equivalent that State in which an expenditure is State officer, shall carry out the duties made in connection with the campaign. set forth in paragraphs (a) through (e) (b) Except as provided in § 108.1(b), a of this section: copy of each report and statement re- (a) Receive and maintain in an or- quired to be filed under 11 CFR part 104 derly manner all reports and state- by candidates, and authorized commit- ments required to be filed; tees of candidates, for nomination for (b) Preserve such reports and state- election or election to the office of ments (either in original form or in Representative in, Delegate or Resi- facsimile copy by microfilm or other- dent Commissioner to the Congress, or wise) filed under the Act for a period of by unauthorized committees, or by any 2 years from the date of receipt, except other person under 11 CFR part 109, in that reports and statements that can connection with these campaigns shall be accessed and duplicated electroni- be filed with the appropriate State offi- cally from the Commission need not be cer of that State in which an expendi- so preserved; ture is made in connection with the (c) Make the reports and statements campaign. filed available as soon as practicable (c) Unauthorized committees that (but within 48 hours of receipt) for pub- file reports pursuant to paragraph (b) lic inspection and copying during office of this section are required to file, and hours and permit copying of any such the Secretary of State is required to reports or statements by hand or by retain, only that portion of the report duplicating machine, at the request of applicable to candidates seeking elec- any person except that such copying tion in that State. shall be at the expense of the person [65 FR 15224, Mar. 22, 2000] making the request and at a reasonable fee; § 108.4 Filing copies of reports by com- (d) Compile and maintain a current mittees other than principal cam- list of all reports and statements or paign committees (52 U.S.C. parts of such reports and statements 30113(a)(2)). pertaining to each candidate; and Except as provided in § 108.1(b), any (e) If the State has received a waiver unauthorized committee that makes of these filing requirements pursuant contributions in connection with a to § 108.1(b), allow access to and dupli- Presidential election and that is re- cation of reports and statements cov- quired to file a report(s) and state- ered by that waiver, except that such ment(s) under the Act shall file a copy access and duplication shall be at the of such report(s) and statement(s) with expense of the person making the re- the State officer of the State in which quest and at a reasonable fee. both the recipient and contributing committees have their headquarters. [45 FR 15117, Mar. 7, 1980, as amended at 65 FR 15224, Mar. 22, 2000] [65 FR 15224, Mar. 22, 2000]

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§ 108.7 Effect on State law (52 U.S.C. PART 109—COORDINATED AND 30143). INDEPENDENT EXPENDITURES (52 (a) The provisions of the Federal U.S.C. 30101(17), 30116(a) AND Election Campaign Act of 1971, as (d), AND PUB. L. 107–155 SEC. amended, and rules and regulations 214(C)) issued thereunder, supersede and pre- empt any provision of State law with Sec. respect to election to Federal office. (b) Federal law supersedes State law Subpart A—Scope and Definitions concerning the— (1) Organization and registration of 109.1 When will this part apply? 109.2 [Reserved] political committees supporting Fed- 109.3 Definitions. eral candidates; (2) Disclosure of receipts and expend- Subpart B—Independent Expenditures itures by Federal candidates and political committees; and 109.10 How do political committees and (3) Limitation on contributions and other persons report independent expenditures? expenditures regarding Federal can- 109.11 When is a ‘‘non-authorization notice’’ didates and political committees. (disclaimer) required? (c) The Act does not supersede State laws which provide for the— Subpart C—Coordination (1) Manner of qualifying as a candidate or political party organization; 109.20 What does ‘‘coordinated’’ mean? 109.21 What is a ‘‘coordinated communica- (2) Dates and places of elections; tion’’? (3) Voter registration; 109.22 Who is prohibited from making co- (4) Prohibition of false registration, ordinated communications? voting fraud, theft of ballots, and simi- 109.23 Dissemination, distribution, or repub- lar offenses; lication of candidate campaign mate- (5) Candidate’s personal financial dis- rials. closure; or (6) Application of State law to the Subpart D—Special Provisions for Political Party Committees funds used for the purchase or construction of a State or local party of- 109.30 How are political party committees fice building to the extent described in treated for purposes of coordinated and 11 CFR 300.35. independent expenditures? 109.31 [Reserved] [45 FR 15117, Mar. 7, 1980, as amended at 67 109.32 What are the coordinated party ex- FR 49119, July 29, 2002] penditure limits? 109.33 May a political party committee as- § 108.8 Exemption for the District of sign its coordinated party expenditure Columbia. authority to another political party com- Any copy of a report required to be mittee? filed with the equivalent officer in the 109.34 When may a political party com- District of Columbia shall be deemed mittee make coordinated party expendi- to be filed if the original has been filed tures? 109.35 [Reserved] with the Secretary or the Commission, 109.36 Are there circumstances under which as appropriate. a political party committee is prohibited [45 FR 15117, Mar. 7, 1980, as amended at 61 from making independent expenditures? FR 6095, Feb. 16, 1996] 109.37 What is a ‘‘party coordinated communication’’?

AUTHORITY: 52 U.S.C. 30101(17), 30104(c), 30111(a)(8), 30116, 30120; Sec. 214(c), Pub. L. 107–155, 116 Stat. 81.

SOURCE: 68 FR 451, Jan. 3, 2003, unless otherwise noted.

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Subpart A—Scope and Definitions (iv) The specific media outlet used for the communication; § 109.1 When will this part apply? (v) The timing or frequency of the communication; or, This part applies to expenditures (vi) The size or prominence of a that are made independently from a printed communication, or duration of candidate, an authorized committee, a a communication by means of broad- political party committee, or their cast, cable, or satellite. agents, and to those payments that are made in coordination with a candidate, (5) To make or direct a communica- an authorized committee, a political tion that is created, produced, or dis- party committee, or their agents. The tributed with the use of material or in- rules in this part explain how these formation derived from a substantial types of payments must be reported discussion about the communication and how they must be treated by can- with a candidate. didates, authorized committees, and (b) In the case of an individual who is political party committees. In addi- a Federal candidate or an individual tion, subpart D of part 109 describes holding Federal office, any one or more procedures and limits that apply only of the activities listed in paragraphs to payments, transfers, and assign- (b)(1) through (b)(6) of this section: ments made by political party commit- (1) To request or suggest that a com- tees. munication be created, produced, or distributed. § 109.2 [Reserved] (2) To make or authorize a communication that meets one or more of the § 109.3 Definitions. content standards set forth in 11 CFR 109.21(c). For the purposes of 11 CFR part 109 only, agent means any person who has (3) To request or suggest that any actual authority, either express or im- other person create, produce, or dis- plied, to engage in any of the following tribute any communication. activities on behalf of the specified per- (4) To be materially involved in deci- sons: sions regarding: (i) The content of the communica- (a) In the case of a national, State, tion; district, or local committee of a polit- (ii) The intended audience for the ical party, any one or more of the ac- communication; tivities listed in paragraphs (a)(1) through (a)(5) of this section: (iii) The means or mode of the communication; (1) To request or suggest that a com- (iv) The specific media outlet used munication be created, produced, or for the communication; distributed. (v) The timing or frequency of the (2) To make or authorize a commu- communication; nication that meets one or more of the (vi) The size or prominence of a content standards set forth in 11 CFR printed communication, or duration of 109.21(c). a communication by means of broad- (3) To create, produce, or distribute cast, cable, or satellite. any communication at the request or (5) To provide material or informa- suggestion of a candidate. tion to assist another person in the (4) To be materially involved in deci- creation, production, or distribution of sions regarding: any communication. (i) The content of the communica- (6) To make or direct a communication; tion that is created, produced, or dis- (ii) The intended audience for the tributed with the use of material or in- communication; formation derived from a substantial (iii) The means or mode of the com- discussion about the communication munication; with a different candidate.

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Subpart B—Independent port must contain the information re- Expenditures quired by paragraph (e)(1) of this section. § 109.10 How do political committees (d) Every person making, after the and other persons report inde- 20th day, but more than 24 hours before pendent expenditures? 12:01 a.m. of the day of an election, (a) Political committees, including independent expenditures aggregating political party committees, must re- $1,000 or more with respect to a given port independent expenditures under 11 election must report those independent CFR 104.4. expenditures and ensure that the Com- (b) Every person that is not a polit- mission receives the report or signed ical committee and that makes inde- statement by 11:59 p.m. Eastern Stand- pendent expenditures aggregating in ard/Daylight Time on the day following excess of $250 with respect to a given the date on which a communication is election in a calendar year shall file a publicly distributed or otherwise pub- verified statement or report on FEC licly disseminated. Each time subse- Form 5 in accordance with 11 CFR quent independent expenditures relat- 104.4(e) containing the information re- ing to the same election aggregate quired by paragraph (e) of this section. $1,000 or more, the person making the Every person filing a report or state- independent expenditures must ensure ment under this section shall do so in that the Commission receives a new 24- accordance with the quarterly report- hour report of the subsequent inde- ing schedule specified in 11 CFR pendent expenditures. (See 11 CFR 104.5(a)(1)(i) and (ii) and shall file a re- 104.4(f) for aggregation.) Such report or port or statement for any quarterly pe- statement shall contain the informa- riod during which any such inde- tion required by paragraph (e) of this pendent expenditures that aggregate in section. excess of $250 are made and in any (e) Content of verified reports and quarterly reporting period thereafter statements and verification of reports in which additional independent ex- and statements. penditures are made. (1) Contents of verified reports and (c) Every person that is not a polit- statement. If a signed report or state- ical committee and that makes inde- ment is submitted, the report or state- pendent expenditures aggregating ment shall include: $10,000 or more with respect to a given (i) The reporting person’s name, election any time during the calendar mailing address, occupation, and the year up to and including the 20th day name of his or her employer, if any; before an election, must report the (ii) The identification (name and independent expenditures on FEC Form mailing address) of the person to whom 5, or by signed statement if the person the expenditure was made; is not otherwise required to file elec- (iii) The amount, date, and purpose of tronically under 11 CFR 104.18. (See 11 each expenditure; CFR 104.4(f) for aggregation.) The per- (iv) A statement that indicates son making the independent expendi- whether such expenditure was in sup- tures aggregating $10,000 or more must port of, or in opposition to a candidate, ensure that the Commission receives together with the candidate’s name the report or statement by 11:59 p.m. and office sought; Eastern Standard/Daylight Time on (v) A verified certification under pen- the second day following the date on alty of perjury as to whether such ex- which a communication is publicly dis- penditure was made in cooperation, tributed or otherwise publicly dissemi- consultation, or concert with, or at the nated. Each time subsequent inde- request or suggestion of a candidate, a pendent expenditures relating to the candidate’s authorized committee, or same election aggregate an additional their agents, or a political party com- $10,000 or more, the person making the mittee or its agents; and independent expenditures must ensure (vi) The identification of each person that the Commission receives a new 48- who made a contribution in excess of hour report of the subsequent inde- $200 to the person filing such report, pendent expenditures. Each 48-hour re- which contribution was made for the

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purpose of furthering the reported for a coordinated communication under independent expenditure. 11 CFR 109.21 or a party coordinated (2) Verification of independent expendi- communication under 11 CFR 109.37, is ture statements and reports. Every per- either an in-kind contribution to, or a son shall verify reports and statements coordinated party expenditure with re- of independent expenditures filed pur- spect to, the candidate or political suant to the requirements of this sec- party committee with whom or with tion by one of the methods stated in which it was coordinated and must be paragraph (e)(2)(i) or (ii) of this sec- reported as an expenditure made by tion. Any report or statement verified that candidate or political party com- under either of these methods shall be mittee, unless otherwise exempted treated for all purposes (including pen- under 11 CFR part 100, subparts C or E. alties for perjury) in the same manner [68 FR 451, Jan. 3, 2003, as amended at 71 FR as a document verified by signature. 33208, June 8, 2006] (i) For reports or statements filed on paper (e.g., by hand-delivery, U.S. Mail, § 109.21 What is a ‘‘coordinated com- or facsimile machine), the person who munication’’? made the independent expenditure (a) Definition. A communication is co- shall certify, under penalty of perjury, ordinated with a candidate, an author- the independence of the expenditure by ized committee, a political party com- handwritten signature immediately mittee, or an agent of any of the fore- following the certification required by going when the communication: paragraph (e)(1)(v) of this section. (1) Is paid for, in whole or in part, by (ii) For reports or statements filed by a person other than that candidate, au- electronic mail, the person who made thorized committee, or political party the independent expenditure shall cer- committee; tify, under penalty of perjury, the inde- (2) Satisfies at least one of the con- pendence of the expenditure by typing tent standards in paragraph (c) of this the treasurer’s name immediately fol- section; and lowing the certification required by (3) Satisfies at least one of the con- paragraph (e)(1)(v) of this section. duct standards in paragraph (d) of this section. § 109.11 When is a ‘‘non-authorization (b) Treatment as an in-kind contribu- notice’’ (disclaimer) required? tion and expenditure; Reporting—(1) Gen- Whenever any person makes an inde- eral rule. A payment for a coordinated pendent expenditure for the purpose of communication is made for the purpose financing communications expressly of influencing a Federal election, and advocating the election or defeat of a is an in-kind contribution under 11 clearly identified candidate, such per- CFR 100.52(d) to the candidate, author- son shall comply with the require- ized committee, or political party comments of 11 CFR 110.11. mittee with whom or which it is coordinated, unless excepted under 11 Subpart C—Coordination CFR part 100, subpart C, and must be reported as an expenditure made by § 109.20 What does ‘‘coordinated’’ that candidate, authorized committee, mean? or political party committee under 11 (a) Coordinated means made in co- CFR 104.13, unless excepted under 11 operation, consultation or concert CFR part 100, subpart E. with, or at the request or suggestion of, (2) In-kind contributions resulting from a candidate, a candidate’s authorized conduct described in paragraphs (d)(4) or committee, or a political party com- (d)(5) of this section. Notwithstanding mittee. For purposes of this subpart C, paragraph (b)(1) of this section, the any reference to a candidate, or a can- candidate, authorized committee, or didate’s authorized committee, or a po- political party committee with whom litical party committee includes an or which a communication is coordi- agent thereof. nated does not receive or accept an in- (b) Any expenditure that is coordi- kind contribution, and is not required nated within the meaning of paragraph to report an expenditure, that results (a) of this section, but that is not made from conduct described in paragraphs

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(d)(4) or (d)(5) of this section, unless nated in the clearly identified can- the candidate, authorized committee, didate’s jurisdiction 90 days or fewer or political party committee engages before the clearly identified can- in conduct described in paragraphs didate’s general, special, or runoff elec- (d)(1) through (d)(3) of this section. tion, or primary or preference election, (3) Reporting of coordinated commu- or nominating convention or caucus. nications. A political committee, other (ii) References to Presidential and Vice than a political party committee, that Presidential candidates. The public com- makes a coordinated communication munication refers to a clearly identi- must report the payment for the com- fied Presidential or Vice Presidential munication as a contribution made to candidate and is publicly distributed or the candidate or political party com- otherwise publicly disseminated in a mittee with whom or which it was co- jurisdiction during the period of time ordinated and as an expenditure in ac- beginning 120 days before the clearly cordance with 11 CFR 104.3(b)(1)(v). A identified candidate’s primary or pref- candidate, authorized committee, or erence election in that jurisdiction, or political party committee with whom nominating convention or caucus in or which a communication paid for by that jurisdiction, up to and including another person is coordinated must re- the day of the general election. port the usual and normal value of the (iii) References to political parties. The communication as an in-kind contribu- public communication refers to a polit- tion in accordance with 11 CFR 104.13, ical party, does not refer to a clearly meaning that it must report the identified Federal candidate, and is amount of the payment as a receipt publicly distributed or otherwise pub- under 11 CFR 104.3(a) and as an expend- licly disseminated in a jurisdiction in iture under 11 CFR 104.3(b). which one or more candidates of that (c) Content standards. Each of the political party will appear on the bal- types of content described in para- lot. graphs (c)(1) through (c)(5) of this sec- (A) When the public communication tion satisfies the content standard of is coordinated with a candidate and it this section. is publicly distributed or otherwise (1) A communication that is an elec- publicly disseminated in that can- tioneering communication under 11 didate’s jurisdiction, the time period in CFR 100.29. paragraph (c)(4)(i) or (ii) of this section (2) A public communication, as de- that would apply to a communication fined in 11 CFR 100.26, that dissemi- containing a reference to that can- nates, distributes, or republishes, in didate applies; whole or in part, campaign materials (B) When the public communication prepared by a candidate or the can- is coordinated with a political party didate’s authorized committee, unless committee and it is publicly distrib- the dissemination, distribution, or re- uted or otherwise publicly dissemi- publication is excepted under 11 CFR nated during the two-year election 109.23(b). For a communication that cycle ending on the date of a regularly satisfies this content standard, see scheduled non-Presidential general paragraph (d)(6) of this section. election, the time period in paragraph (3) A public communication, as de- (c)(4)(i) of this section applies; fined in 11 CFR 100.26, that expressly (C) When the public communication advocates, as defined in 11 CFR 100.22, is coordinated with a political party the election or defeat of a clearly iden- committee and it is publicly distrib- tified candidate for Federal office. uted or otherwise publicly dissemi- (4) A public communication, as de- nated during the two-year election fined in 11 CFR 100.26, that satisfies cycle ending on the date of a Presi- paragraph (c)(4)(i), (ii), (iii), or (iv) of dential general election, the time pe- this section: riod in paragraph (c)(4)(ii) of this sec- (i) References to House and Senate can- tion applies. didates. The public communication re- (iv) References to both political parties fers to a clearly identified House or and clearly identified Federal candidates. Senate candidate and is publicly dis- The public communication refers to a tributed or otherwise publicly dissemi- political party and a clearly identified

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Federal candidate, and is publicly dis- committee, or political party com- tributed or otherwise publicly dissemi- mittee assents to the suggestion. nated in a jurisdiction in which one or (2) Material involvement. This para- more candidates of that political party graph, (d)(2), is not satisfied if the in- will appear on the ballot. formation material to the creation, (A) When the public communication production, or distribution of the com- is coordinated with a candidate and it munication was obtained from a pub- is publicly distributed or otherwise licly available source. A candidate, au- publicly disseminated in that can- thorized committee, or political party didate’s jurisdiction, the time period in committee is materially involved in paragraph (c)(4)(i) or (ii) of this section decisions regarding: that would apply to a communication (i) The content of the communica- containing a reference to that can- tion; didate applies; (ii) The intended audience for the (B) When the public communication communication; is coordinated with a political party (iii) The means or mode of the com- committee and it is publicly distrib- munication; uted or otherwise publicly dissemi- (iv) The specific media outlet used nated in the clearly identified can- for the communication; didate’s jurisdiction, the time period in (v) The timing or frequency of the paragraph (c)(4)(i) or (ii) of this section communication; or that would apply to a communication (vi) The size or prominence of a containing only a reference to that printed communication, or duration of candidate applies; a communication by means of broad- (C) When the public communication cast, cable, or satellite. is coordinated with a political party (3) Substantial discussion. This para- committee and it is publicly distrib- graph, (d)(3), is not satisfied if the in- uted or otherwise publicly dissemi- formation material to the creation, nated outside the clearly identified production, or distribution of the com- candidate’s jurisdiction, the time pe- munication was obtained from a pub- riod in paragraph (c)(4)(iii)(B) or (C) of licly available source. The communica- this section that would apply to a com- tion is created, produced, or distrib- munication containing only a reference uted after one or more substantial dis- to a political party applies. cussions about the communication be- (5) A public communication, as de- tween the person paying for the com- fined in 11 CFR 100.26, that is the func- munication, or the employees or agents tional equivalent of express advocacy. of the person paying for the commu- For purposes of this section, a communication, and the candidate who is nication is the functional equivalent of clearly identified in the communica- express advocacy if it is susceptible of tion, or the candidate’s authorized no reasonable interpretation other committee, the candidate’s opponent, than as an appeal to vote for or against the opponent’s authorized committee, a clearly identified Federal candidate. or a political party committee. A dis- (d) Conduct standards. Any one of the cussion is substantial within the mean- following types of conduct satisfies the ing of this paragraph if information conduct standard of this section wheth- about the candidate’s or political party er or not there is agreement or formal committee’s campaign plans, projects, collaboration, as defined in paragraph activities, or needs is conveyed to a (e) of this section: person paying for the communication, (1) Request or suggestion. (i) The com- and that information is material to the munication is created, produced, or dis- creation, production, or distribution of tributed at the request or suggestion of the communication. a candidate, authorized committee, or (4) Common vendor. All of the fol- political party committee; or lowing statements in paragraphs (ii) The communication is created, (d)(4)(i) through (d)(4)(iii) of this sec- produced, or distributed at the suggestion are true: tion of a person paying for the commu- (i) The person paying for the communication and the candidate, authorized nication, or an agent of such person,

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contracts with or employs a commer- (5) Former employee or independent cial vendor, as defined in 11 CFR contractor. Both of the following state- 116.1(c), to create, produce, or dis- ments in paragraphs (d)(5)(i) and tribute the communication; (d)(5)(ii) of this section are true: (ii) That commercial vendor, includ- (i) The communication is paid for by ing any owner, officer, or employee of a person, or by the employer of a per- the commercial vendor, has provided son, who was an employee or inde- any of the following services to the pendent contractor of the candidate candidate who is clearly identified in who is clearly identified in the commu- the communication, or the candidate’s nication, or the candidate’s authorized authorized committee, the candidate’s committee, the candidate’s opponent, opponent, the opponent’s authorized the opponent’s authorized committee, committee, or a political party com- or a political party committee, during mittee, during the previous 120 days: the previous 120 days; and (A) Development of media strategy, (ii) This paragraph, (d)(5)(ii), is not including the selection or purchasing satisfied if the information material to of advertising slots; the creation, production, or distribu- (B) Selection of audiences; tion of the communication used or con- (C) Polling; veyed by the former employee or inde- (D) Fundraising; pendent contractor was obtained from (E) Developing the content of a pub- a publicly available source. That lic communication; former employee or independent con- (F) Producing a public communica- tractor uses or conveys to the person tion; paying for the communication: (G) Identifying voters or developing (A) Information about the campaign voter lists, mailing lists, or donor lists; plans, projects, activities, or needs of (H) Selecting personnel, contractors, the clearly identified candidate, the or subcontractors; or candidate’s opponent, or a political (I) Consulting or otherwise providing party committee, and that information political or media advice; and is material to the creation, production, (iii) This paragraph, (d)(4)(iii), is not or distribution of the communication; satisfied if the information material to or the creation, production, or distribu- (B) Information used by the former tion of the communication used or con- employee or independent contractor in veyed by the commercial vendor was providing services to the candidate who obtained from a publicly available is clearly identified in the communica- source. That commercial vendor uses or conveys to the person paying for the tion, or the candidate’s authorized communication: committee, the candidate’s opponent, (A) Information about the campaign the opponent’s authorized committee, plans, projects, activities, or needs of or a political party committee, and the clearly identified candidate, the that information is material to the cre- candidate’s opponent, or a political ation, production, or distribution of party committee, and that information the communication. is material to the creation, production, (6) Dissemination, distribution, or re- or distribution of the communication; publication of campaign material. A com- or munication that satisfies the content (B) Information used previously by standard of paragraph (c)(2) of this sec- the commercial vendor in providing tion or 11 CFR 109.37(a)(2)(i) shall only services to the candidate who is clearly satisfy the conduct standards of para- identified in the communication, or graphs (d)(1) through (d)(3) of this sec- the candidate’s authorized committee, tion on the basis of conduct by the can- the candidate’s opponent, the oppo- didate, the candidate’s authorized com- nent’s authorized committee, or a po- mittee, or the agents of any of the fore- litical party committee, and that infor- going, that occurs after the original mation is material to the creation, pro- preparation of the campaign materials duction, or distribution of the commu- that are disseminated, distributed, or nication. republished. The conduct standards of

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paragraphs (d)(4) and (d)(5) of this sec- (h) Safe harbor for establishment and tion may also apply to such commu- use of a firewall. The conduct standards nications as provided in those para- in paragraph (d) of this section are not graphs. met if the commercial vendor, former (e) Agreement or formal collaboration. employee, or political committee has Agreement or formal collaboration be- established and implemented a firewall tween the person paying for the com- that meets the requirements of para- munication and the candidate clearly graphs (h)(1) and (h)(2) of this section. identified in the communication, or This safe harbor provision does not the candidate’s authorized committee, apply if specific information indicates the candidate’s opponent, the oppo- that, despite the firewall, information nent’s authorized committee, or a po- about the candidate’s or political party litical party committee, is not required committee’s campaign plans, projects, for a communication to be a coordinated communication. Agreement activities, or needs that is material to means a mutual understanding or the creation, production, or distribu- meeting of the minds on all or any part tion of the communication was used or of the material aspects of the commu- conveyed to the person paying for the nication or its dissemination. Formal communication. collaboration means planned, or system- (1) The firewall must be designed and atically organized, work on the com- implemented to prohibit the flow of in- munication. formation between employees or con- (f) Safe harbor for responses to inquiries sultants providing services for the per- about legislative or policy issues. A can- son paying for the communication and didate’s or a political party commit- those employees or consultants cur- tee’s response to an inquiry about that rently or previously providing services candidate’s or political party commit- to the candidate who is clearly identi- tee’s positions on legislative or policy fied in the communication, or the can- issues, but not including a discussion didate’s authorized committee, the of campaign plans, projects, activities, candidate’s opponent, the opponent’s or needs, does not satisfy any of the authorized committee, or a political conduct standards in paragraph (d) of party committee; and this section. (2) The firewall must be described in (g) Safe harbor for endorsements and a written policy that is distributed to solicitations by Federal candidates. (1) A all relevant employees, consultants, public communication in which a candidate for Federal office endorses an- and clients affected by the policy. other candidate for Federal or non-Fed- (i) Safe harbor for commercial trans- eral office is not a coordinated commu- actions. A public communication in nication with respect to the endorsing which a Federal candidate is clearly Federal candidate unless the public identified only in his or her capacity as communication promotes, supports, at- the owner or operator of a business tacks, or opposes the endorsing can- that existed prior to the candidacy is didate or another candidate who seeks not a coordinated communication with election to the same office as the en- respect to the clearly identified can- dorsing candidate. didate if: (2) A public communication in which (1) The medium, timing, content, and a candidate for Federal office solicits geographic distribution of the public funds for another candidate for Federal communication are consistent with or non-Federal office, a political com- public communications made prior to mittee, or organizations as permitted the candidacy; and by 11 CFR 300.65, is not a coordinated (2) The public communication does communication with respect to the so- not promote, support, attack, or op- liciting Federal candidate unless the pose that candidate or another can- public communication promotes, sup- didate who seeks the same office as ports, attacks, or opposes the soliciting that candidate. candidate or another candidate who seeks election to the same office as the [68 FR 451, Jan. 3, 2003, as amended at 71 FR soliciting candidate. 33208, June 8, 2006; 75 FR 55961, Sept. 15, 2010]

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§ 109.22 Who is prohibited from mak- semination, distribution, or republica- ing coordinated communications? tion of campaign materials using co- Any person who is otherwise prohib- ordinated party expenditure authority ited from making contributions or ex- under 11 CFR 109.32. penditures under any part of the Act or [68 FR 451, Jan. 3, 2003, as amended at 71 FR Commission regulations is prohibited 33210, June 8, 2006] from paying for a coordinated communication. Subpart D—Special Provisions for § 109.23 Dissemination, distribution, or Political Party Committees republication of candidate campaign materials. § 109.30 How are political party committees treated for purposes of co- (a) General rule. The financing of the ordinated and independent expend- dissemination, distribution, or republi- itures? cation, in whole or in part, of any Political party committees may broadcast or any written, graphic, or make independent expenditures subject other form of campaign materials pre- to the provisions in this subpart. See 11 pared by the candidate, the candidate’s CFR 109.36. Political party committees authorized committee, or an agent of may also make coordinated party ex- either of the foregoing shall be consid- penditures in connection with the gen- ered a contribution for the purposes of eral election campaign of a candidate, contribution limitations and reporting subject to the limits and other provi- responsibilities of the person making sions in this subpart. See 11 CFR 109.32 the expenditure. The candidate who through 11 CFR 109.34. prepared the campaign material does not receive or accept an in-kind con- [69 FR 63920, Nov. 3, 2004] tribution, and is not required to report an expenditure, unless the dissemina- § 109.31 [Reserved] tion, distribution, or republication of campaign materials is a coordinated § 109.32 What are the coordinated party expenditure limits? communication under 11 CFR 109.21 or a party coordinated communication (a) Coordinated party expenditures in under 11 CFR 109.37. Presidential elections. (1) The national (b) Exceptions. The following uses of committee of a political party may campaign materials do not constitute a make coordinated party expenditures contribution to the candidate who in connection with the general election originally prepared the materials: campaign of any candidate for Presi- (1) The campaign material is dissemi- dent of the United States affiliated nated, distributed, or republished by with the party. the candidate or the candidate’s au- (2) The coordinated party expendi- thorized committee who prepared that tures shall not exceed an amount equal material; to two cents multiplied by the voting (2) The campaign material is incor- age population of the United States. porated into a communication that ad- See 11 CFR 110.18. This limitation shall vocates the defeat of the candidate or be increased in accordance with 11 CFR party that prepared the material; 110.17. (3) The campaign material is dissemi- (3) Any coordinated party expendi- nated, distributed, or republished in a ture under paragraph (a) of this section news story, commentary, or editorial shall be in addition to— exempted under 11 CFR 100.73 or 11 CFR (i) Any expenditure by a national 100.132; committee of a political party serving (4) The campaign material used con- as the principal campaign committee sists of a brief quote of materials that of a candidate for President of the demonstrate a candidate’s position as United States; and part of a person’s expression of its own (ii) Any contribution by the national views; or committee to the candidate permis- (5) A national political party com- sible under 11 CFR 110.1 or 110.2. mittee or a State or subordinate polit- (4) Any coordinated party expendi- ical party committee pays for such dis- tures made by the national committee

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of a political party pursuant to para- authority assigned, and must be re- graph (a) of this section, or made by ceived by the assignee committee be- any other party committee under au- fore any coordinated party expenditure thority assigned by a national com- is made pursuant to the assignment. mittee of a political party under 11 (b) Compliance. For purposes of the CFR 109.33, on behalf of that party’s coordinated party expenditure limits, Presidential candidate shall not count State committee includes a subordinate against the candidate’s expenditure committee of a State committee and limitations under 11 CFR 110.8. includes a district or local committee (b) Coordinated party expenditures in to which coordinated party expenditure other Federal elections. (1) The national authority has been assigned. State committee of a political party, and a committees and subordinate State State committee of a political party, committees and such district or local including any subordinate committee committees combined shall not exceed of a State committee, may each make the coordinated party expenditure lim- coordinated party expenditures in con- its set forth in 11 CFR 109.32. The State nection with the general election cam- committee shall administer the limita- paign of a candidate for Federal office tion in one of the following ways: in that State who is affiliated with the (1) The State committee shall be re- party. sponsible for insuring that the coordi- (2) The coordinated party expendi- nated party expenditures of the entire tures shall not exceed: party organization are within the co- (i) In the case of a candidate for elec- ordinated party expenditure limits, in- tion to the office of Senator, or of Rep- cluding receiving reports from any sub- resentative from a State which is enti- ordinate committee of a State com- tled to only one Representative, the mittee or district or local committee greater of— making coordinated party expenditures (A) Two cents multiplied by the vot- under 11 CFR 109.32, and filing consoli- ing age population of the State (see 11 dated reports showing all coordinated CFR 110.18); or party expenditures in the State with (B) Twenty thousand dollars. the Commission; or (ii) In the case of a candidate for (2) Any other method, submitted in election to the office of Representa- advance and approved by the Commis- tive, Delegate, or Resident Commis- sion, that permits control over coordi- sioner in any other State, $10,000. nated party expenditures. (3) The limitations in paragraph (c) Recordkeeping. (1) A political (b)(2) of this section shall be increased party committee that assigns its au- in accordance with 11 CFR 110.17. thority to make coordinated party ex- (4) Any coordinated party expendi- penditures under this section must ture under paragraph (b) of this section maintain the written assignment for at shall be in addition to any contribution least three years in accordance with 11 by a political party committee to the CFR 104.14. candidate permissible under 11 CFR (2) A political party committee that 110.1 or 110.2. is assigned authority to make coordinated party expenditures under this § 109.33 May a political party com- section must maintain the written as- mittee assign its coordinated party signment for at least three years in ac- expenditure authority to another cordance with 11 CFR 104.14. political party committee? [68 FR 451, Jan. 3, 2003, as amended at 69 FR (a) Assignment. The national com- 63920, Nov. 3, 2004] mittee of a political party and a State committee of a political party, includ- § 109.34 When may a political party ing any subordinate committee of a committee make coordinated party State committee, may assign its au- expenditures? thority to make coordinated party ex- A political party committee author- penditures authorized by 11 CFR 109.32 ized to make coordinated party expend- to another political party committee. itures may make such expenditures in Such an assignment must be made in connection with the general election writing, must state the amount of the campaign before or after its candidate

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has been nominated. All pre-nomina- (A) References to House and Senate tion coordinated party expenditures candidates. The public communication shall be subject to the coordinated refers to a clearly identified House or party expenditure limitations of this Senate candidate and is publicly dis- subpart, whether or not the candidate tributed or otherwise publicly dissemi- on whose behalf they are made receives nated in the clearly identified can- the party’s nomination. didate’s jurisdiction 90 days or fewer § 109.35 [Reserved] before the clearly identified candidate’s general, special, or runoff elec- § 109.36 Are there circumstances tion, or primary or preference election, under which a political party com- or nominating convention or caucus. mittee is prohibited from making (B) References to Presidential and Vice independent expenditures? Presidential candidates. The public com- The national committee of a political munication refers to a clearly identi- party must not make independent ex- fied Presidential or Vice Presidential penditures in connection with the gen- candidate and is publicly distributed or eral election campaign of a candidate otherwise publicly disseminated in a for President of the United States if jurisdiction during the period of time the national committee of that polit- beginning 120 days before the clearly ical party is designated as the authorized committee of its Presidential can- identified candidate’s primary or pref- didate pursuant to 11 CFR 9002.1(c). erence election in that jurisdiction, or nominating convention or caucus in § 109.37 What is a ‘‘party coordinated that jurisdiction, up to and including communication’’? the day of the general election. (a) Definition. A political party com- (3) The communication satisfies at munication is coordinated with a can- least one of the conduct standards in 11 didate, a candidate’s authorized com- CFR 109.21(d)(1) through (d)(6), subject mittee, or agent of any of the fore- to the provisions of 11 CFR 109.21(e), going, when the communication satis- (g), and (h). A candidate’s response to fies the conditions set forth in para- an inquiry about that candidate’s posi- graphs (a)(1), (a)(2), and (a)(3) of this tions on legislative or policy issues, section. but not including a discussion of cam- (1) The communication is paid for by paign plans, projects, activities, or a political party committee or its needs, does not satisfy any of the con- agent. duct standards in 11 CFR 109.21(d)(1) (2) The communication satisfies at through (d)(6). Notwithstanding para- least one of the content standards described in paragraphs (a)(2)(i) through graph (b)(1) of this section, the can- (a)(2)(iii) of this section. didate with whom a party coordinated (i) A public communication that dis- communication is coordinated does not seminates, distributes, or republishes, receive or accept an in-kind contribu- in whole or in part, campaign mate- tion, and is not required to report an rials prepared by a candidate, the can- expenditure that results from conduct didate’s authorized committee, or an described in 11 CFR 109.21(d)(4) or (d)(5), agent of any of the foregoing, unless unless the candidate, authorized com- the dissemination, distribution, or re- mittee, or an agent of any of the fore- publication is excepted under 11 CFR going, engages in conduct described in 109.23(b). For a communication that 11 CFR 109.21(d)(1) through (d)(3). satisfies this content standard, see 11 (b) Treatment of a party coordinated CFR 109.21(d)(6). communication. A payment by a polit- (ii) A public communication that ex- ical party committee for a communica- pressly advocates the election or defeat tion that is coordinated with a can- of a clearly identified candidate for didate, and that is not otherwise ex- Federal office. empted under 11 CFR part 100, subpart (iii) A public communication, as de- C or E, must be treated by the political fined in 11 CFR 100.26, that satisfies party committee making the payment paragraphs (a)(2)(iii)(A) or (B) of this section: as either:

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(1) An in-kind contribution for the § 110.1 Contributions by persons other purpose of influencing a Federal elec- than multicandidate political com- tion under 11 CFR 100.52(d) to the can- mittees (52 U.S.C. 30116(a)(1)). didate with whom it was coordinated, (a) Scope. This section applies to all which must be reported under 11 CFR contributions made by any person as part 104; or defined in 11 CFR 100.10, except multi- (2) A coordinated party expenditure candidate political committees as de- pursuant to coordinated party expendi- fined in 11 CFR 100.5(e)(3) or entities ture authority under 11 CFR 109.32 in and individuals prohibited from mak- connection with the general election ing contributions under 11 CFR 110.20 campaign of the candidate with whom and 11 CFR parts 114 and 115. it was coordinated, which must be reported under 11 CFR part 104. (b) Contributions to candidates; designations; and redesignations. (1) No per- [68 FR 451, Jan. 3, 2003, as amended at 71 FR son shall make contributions to any 33210, June 8, 2006] candidate, his or her authorized political committees or agents with respect PART 110—CONTRIBUTION AND to any election for Federal office that, EXPENDITURE LIMITATIONS AND in the aggregate, exceed $2,000. PROHIBITIONS (i) The contribution limitation in the introductory text of paragraph (b)(1) of Sec. this section shall be increased by the 110.1 Contributions by persons other than percent difference in the price index in multicandidate political committees (52 accordance with 11 CFR 110.17. U.S.C. 30116(a)(1)). (ii) The increased contribution limi- 110.2 Contributions by multicandidate political committees (52 U.S.C. 30116(a)(2)). tation shall be in effect for the 2-year 110.3 Contribution limitations for affiliated period beginning on the first day fol- committees and political party commit- lowing the date of the last general elec- tees; transfers (52 U.S.C. 30116(a)(4), tion in the year preceding the year in 30116(a)(5)). which the contribution limitation is 110.4 Contributions in the name of another; increased and ending on the date of the cash contributions (52 U.S.C. 30122, 30123, next general election. For example, an 30102(c)(2)). 110.5 [Reserved] increase in the contribution limitation 110.6 Earmarked contributions (52 U.S.C. made in January 2005 is effective from 30116(a)(8)). November 3, 2004 to November 7, 2006. 110.7 [Reserved] (iii) In every odd numbered year, the 110.8 Presidential candidate expenditure Commission will publish in the FED- limitations. ERAL REGISTER the amount of the con- 110.9 Violation of limitations. 110.10 Expenditures by candidates. tribution limitation in effect and place 110.11 Communications; advertising; dis- such information on the Commission’s claimers (52 U.S.C. 30120). Web site. 110.12 Candidate appearances on public edu- (2) For purposes of this section, with cational institution premises. respect to any election means— 110.13 Candidate debates. (i) In the case of a contribution des- 110.14 Contributions to and expenditures by delegates and delegate committees. ignated in writing by the contributor 110.15 [Reserved] for a particular election, the election 110.16 Prohibitions on fraudulent so designated. Contributors to can- misrepresentatitons. didates are encouraged to designate 110.17 Price index increase. their contributions in writing for par- 110.18 Voting age population. ticular elections. See 11 CFR 110.1(b)(4). 110.19 Contributions by minors. (ii) In the case of a contribution not 110.20 Prohibition on contributions, donations, expenditures, independent expendi- designated in writing by the contrib- tures, and disbursements by foreign na- utor for a particular election, the next tionals (52 U.S.C. 30121, 36 U.S.C. 510). election for that Federal office after the contribution is made. AUTHORITY: 52 U.S.C. 30101(8), 30101(9), 30102(c)(2), 30104(i)(3), 30111(a)(8), 30116, 30118, (3)(i) A contribution designated in 30120, 30121, 30122, 30123, 30124, and 36 U.S.C. writing for a particular election, but 510. made after that election, shall be made

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only to the extent that the contribu- eler’s checks; certificates of deposit; tion does not exceed net debts out- treasury bills; and any other com- standing from such election. To the ex- mittee investments valued at fair mar- tent that such contribution exceeds net ket value; debts outstanding, the candidate or the (B) The total amounts owed to the candidate’s authorized political com- candidate or political committee in the mittee shall return or deposit the conform of credits, refunds of deposits, re- tribution within ten days from the date turns, or receivables, or a commer- of the treasurer’s receipt of the con- cially reasonable amount based on the tribution as provided by 11 CFR collectibility of those credits, refunds, 103.3(a), and if deposited, then within returns, or receivables; and sixty days from the date of the treas- (C) The amount of personal loans, as urer’s receipt the treasurer shall take defined in 11 CFR 116.11(b), that in the the following action, as appropriate: aggregate exceed $250,000 per election. (A) Refund the contribution using a (iii) The amount of the net debts out- committee check or draft; or standing shall be adjusted as additional (B) Obtain a written redesignation by funds are received and expenditures are the contributor for another election in made. The candidate and his or her au- accordance with 11 CFR 110.1(b)(5); or thorized political committee(s) may (C) Obtain a written reattribution to accept contributions made after the another contributor in accordance with date of the election if: 11 CFR 110.1(k)(3). (A) Such contributions are des- If the candidate is not a candidate in ignated in writing by the contributor the general election, all contributions for that election; made for the general election shall be (B) Such contributions do not exceed either returned or refunded to the con- the adjusted amount of net debts out- tributors or redesignated in accordance standing on the date the contribution with 11 CFR 110.1(b)(5), or reattributed is received; and in accordance with 11 CFR 110.1(k)(3), (C) Such contributions do not exceed as appropriate. the contribution limitations in effect (ii) In order to determine whether on the date of such election. there are net debts outstanding from a (iv) This paragraph shall not be con- particular election, the treasurer of the strued to prevent a candidate who is a candidate’s authorized political com- candidate in the general election or his mittee shall calculate net debts out- or her authorized political com- standing as of the date of the election. mittee(s) from paying primary election For purposes of this section, net debts debts and obligations with funds which outstanding means the total amount of represent contributions made with re- unpaid debts and obligations incurred spect to the general election. with respect to an election, including (4) For purposes of this section, a the estimated cost of raising funds to contribution shall be considered to be liquidate debts incurred with respect to designated in writing for a particular the election and, if the candidate’s au- election if— thorized committee terminates or if (i) The contribution is made by the candidate will not be a candidate check, money order, or other nego- for the next election, estimated nec- tiable instrument which clearly indi- essary costs associated with termi- cates the particular election with re- nation of political activity, such as the spect to which the contribution is costs of complying with the post-elec- made; tion requirements of the Act and other (ii) The contribution is accompanied necessary administrative costs associ- by a writing, signed by the contributor, ated with winding down the campaign, which clearly indicates the particular including office space rental, staff sala- election with respect to which the con- ries and office supplies, less the sum of: tribution is made; or (A) The total cash on hand available (iii) The contribution is redesignated to pay those debts and obligations, in- in accordance with 11 CFR 110.1(b)(5). cluding: currency; balances on deposit (5)(i) The treasurer of an authorized in banks, savings and loan institutions, political committee may request a and other depository institutions; trav- written redesignation of a contribution

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by the contributor for a different elec- (2) The contribution was not des- tion if— ignated for a particular election; (A) The contribution was designated (3) The contribution would exceed the in writing for a particular election, and limitation on contributions set forth in the contribution, either on its face or paragraph (b)(1) of this section if it when aggregated with other contribu- were treated as a contribution made tions from the same contributor for the for the primary election; same election, exceeds the limitation (4) Such redesignation would not on contributions set forth in 11 CFR cause the contributor to exceed any of 110.1(b)(1); the limitations on contributions set (B) The contribution was designated forth in paragraph (b)(1) of this section; in writing for a particular election and (5) The treasurer of the recipient au- the contribution was made after that thorized political committee notifies election and the contribution cannot the contributor of the amount of the be accepted under the net debts out- contribution that was redesignated and standing provisions of 11 CFR that the contributor may request a re- 110.1(b)(3); fund of the contribution; and (C) The contribution was not des- (6) Within sixty days from the date of ignated in writing for a particular elec- the treasurer’s receipt of the contribution, and the contribution exceeds the tion, the treasurer shall provide notifi- limitation on contributions set forth in cation required in paragraph 11 CFR 110.1(b)(1); or (b)(5)(ii)(B)(5) of this section to the (D) The contribution was not des- contributor by any written method in- ignated in writing for a particular elec- cluding electronic mail. tion, and the contribution was received (C) Notwithstanding paragraph after the date of an election for which (b)(5)(ii)(A) of this section or any other there are net debts outstanding on the provision of this section, the treasurer date the contribution is received. of the recipient authorized political (ii)(A) A contribution shall be consid- committee may treat all or part of the ered to be redesignated for another amount of the contribution that ex- election if— ceeds the contribution limits in para- (1) The treasurer of the recipient au- graph (b)(1) of this section as made thorized political committee requests with respect to the primary election, that the contributor provide a written provided that: redesignation of the contribution and (1) The contribution was made after informs the contributor that the con- the primary election but before the tributor may request the refund of the general election; contribution as an alternative to providing a written redesignation; and (2) The contribution was not designated for a particular election; (2) Within sixty days from the date of the treasurer’s receipt of the contribu- (3) The contribution would exceed the tion, the contributor provides the limitation on contributions set forth in treasurer with a written redesignation paragraph (b)(1) of this section if it of the contribution for another elec- were treated as a contribution made tion, which is signed by the contrib- for the general election; utor. (4) Such redesignation would not (B) Notwithstanding paragraph cause the contributor to exceed any of (b)(5)(ii)(A) of this section or any other the limitations on contributions set provision of this section, the treasurer forth in paragraph (b)(1) of this section; of the recipient authorized political (5) The contribution does not exceed committee may treat all or part of the the committee’s net debts outstanding amount of the contribution that ex- for the primary election; ceeds the contribution limits in para- (6) The treasurer of the recipient au- graph (b)(1) of this section as made thorized political committee notifies with respect to the general election, the contributor of how the contribu- provided that: tion was redesignated and that the con- (1) The contribution was made before tributor may request a refund of the the primary election; contribution; and

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(7) Within sixty days from the date of tained by a national political party the treasurer’s receipt of the contribu- means— tion, the treasurer shall provide notifi- (i) The national committee; cation required in paragraph (ii) The House campaign committee; (b)(5)(ii)(C)(6) of this section to the and contributor by any written method, in- (iii) The Senate campaign com- cluding electronic mail. mittee. (iii) A contribution redesignated for (3) Each recipient committee referred another election shall not exceed the to in 11 CFR 110.1(c)(2) may receive up limitations on contributions made with to the $25,000 limitation from a con- respect to that election. A contribution tributor. redesignated for a previous election (4) The recipient committee shall not shall be subject to the requirements of be an authorized political committee of 11 CFR 110.1(b)(3) regarding net debts any candidate, except as provided in 11 outstanding. CFR 9002.1(c). (6) For the purposes of this section, a (5) On or after January 1, 2003, no per- contribution shall be considered to be son shall make contributions to a po- made when the contributor relin- litical committee established and quishes control over the contribution. maintained by a State committee of a A contributor shall be considered to re- political party in any calendar year linquish control over the contribution that, in the aggregate, exceed $10,000. when it is delivered by the contributor (d) Contributions to other political com- to the candidate, to the political committees. No person shall make contribu- mittee, or to an agent of the political tions to any other political committee committee. A contribution that is in any calendar year which, in the ag- mailed to the candidate, or to the po- gregate, exceed $5,000. litical committee or to an agent of the (e) Contributions by partnerships. A political committee, shall be consid- contribution by a partnership shall be ered to be made on the date of the post- attributed to the partnership and to mark. See 11 CFR 110.1(1)(4). An in-kind each partner— contribution shall be considered to be (1) In direct proportion to his or her made on the date that the goods or share of the partnership profits, ac- services are provided by the contrib- cording to instructions which shall be utor. provided by the partnership to the po- (c) Contributions to political party com- litical committee or candidate; or mittees. (1) No person shall make contributions to the political committees (2) By agreement of the partners, as established and maintained by a na- long as— tional political party in any calendar (i) Only the profits of the partners to year that in the aggregate exceed whom the contribution is attributed $25,000. are reduced (or losses increased), and (i) The contribution limitation in (ii) These partners’ profits are re- paragraph (c)(1) of this section shall be duced (or losses increased) in propor- increased by the percent difference in tion to the contribution attributed to the price index in accordance with 11 each of them. CFR 110.17. A contribution by a partnership shall (ii) The increased contribution limi- not exceed the limitations on contribu- tation shall be in effect for the two cal- tions in 11 CFR 110.1 (b), (c), and (d). No endar years starting on January 1 of portion of such contribution may be the year in which the contribution lim- made from the profits of a corporation itation is increased. that is a partner. (iii) In every odd-numbered year, the (f) Contributions to candidates for more Commission will publish in the FED- than one Federal office. If an individual ERAL REGISTER the amount of the con- is a candidate for more than one Fed- tribution limitation in effect and place eral office, a person may make con- such information on the Commission’s tributions which do not exceed $2,000 to Web site. the candidate, or his or her authorized (2) For purposes of this section, polit- political committees for each election ical committees established and main- for each office, as long as—

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(1) Each contribution is designated in may contribute to a candidate or his or writing by the contributor for a par- her authorized committee with respect ticular office; to a particular election and also con- (2) The candidate maintains separate tribute to a political committee which campaign organizations, including sep- has supported, or anticipates sup- arate principal campaign committees porting, the same candidate in the and separate accounts; and same election, as long as— (3) No principal campaign committee (1) The political committee is not the or other authorized political com- candidate’s principal campaign committee of that candidate for one elec- mittee or other authorized political tion for one Federal office transfers committee or a single candidate com- funds to, loans funds to, makes con- mittee; tributions to, or makes expenditures (2) The contributor does not give on behalf of another principal cam- with the knowledge that a substantial paign committee or other authorized portion will be contributed to, or ex- political committee of that candidate pended on behalf of, that candidate for for another election for another Fed- the same election; and eral office, except as provided in 11 (3) The contributor does not retain CFR 110.3(c)(4). control over the funds. (g) Contributions by limited liability (i) Contributions by spouses. The limi- companies (‘‘LLC’’)—(1) Definition. A tations on contributions of this section limited liability company is a business shall apply separately to contributions entity that is recognized as a limited liability company under the laws of the made by each spouse even if only one State in which it is established. spouse has income. (2) A contribution by an LLC that (j) Application of limitations to elec- elects to be treated as a partnership by tions. (1) The limitations on contribu- the Internal Revenue Service pursuant tions of this section shall apply sepa- to 26 CFR 301.7701–3, or does not elect rately with respect to each election as treatment as either a partnership or a defined in 11 CFR 100.2, except that all corporation pursuant to that section, elections held in a calendar year for shall be considered a contribution from the office of President of the United a partnership pursuant to 11 CFR States (except a general election for 110.1(e). that office) shall be considered to be (3) An LLC that elects to be treated one election. as a corporation by the Internal Rev- (2) An election in which a candidate enue Service, pursuant to 26 CFR is unopposed is a separate election for 301.7701–3, or an LLC with publicly- the purposes of the limitations on con- traded shares, shall be considered a tributions of this section. corporation pursuant to 11 CFR Part (3) A primary or general election 114. which is not held because a candidate (4) A contribution by an LLC with a is unopposed or received a majority of single natural person member that votes in a previous election is a sepa- does not elect to be treated as a cor- rate election for the purposes of the poration by the Internal Revenue Serv- limitations on contributions of this ice pursuant to 26 CFR 301.7701–3 shall section. The date on which the election be attributed only to that single mem- would have been held shall be consid- ber. ered to be the date of the election. (5) An LLC that makes a contribu- (4) A primary election which is not tion pursuant to paragraph (g)(2) or held because a candidate was nomi- (g)(4) of this section shall, at the time nated by a caucus or convention with it makes the contribution, provide in- authority to nominate is not a sepa- formation to the recipient committee rate election for the purposes of the as to how the contribution is to be at- limitations on contributions of this tributed, and affirm to the recipient section. committee that it is eligible to make (k) Joint contributions and reattribu- the contribution. tions. (1) Any contribution made by (h) Contributions to committees sup- more than one person, except for a con- porting the same candidate. A person tribution made by a partnership, shall

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include the signature of each contrib- contributor of how the contribution utor on the check, money order, or was attributed and that the contrib- other negotiable instrument or in a utor may request the refund of the ex- separate writing. cessive portion of the contribution if it (2) If a contribution made by more is not intended to be a joint contribu- than one person does not indicate the tion. amount to be attributed to each con- (3) Within sixty days from the date of tributor, the contribution shall be at- the treasurer’s receipt of the contribu- tributed equally to each contributor. tion, the treasurer shall provide such (3)(i) If a contribution to a candidate notification to each contributor by any or political committee, either on its written method, including electronic face or when aggregated with other mail. contributions from the same contrib- (l) Supporting evidence. (1) If a polit- utor, exceeds the limitations on con- ical committee receives a contribution tributions set forth in 11 CFR 110.1 (b), designated in writing for a particular (c) or (d), as appropriate, the treasurer election, the treasurer shall retain a of the recipient political committee copy of the written designation, as re- may ask the contributor whether the quired by 11 CFR 110.1(b)(4) or contribution was intended to be a joint 110.2(b)(4), as appropriate. If the writ- contribution by more than one person. ten designation is made on a check or (ii)(A) A contribution shall be consid- other written instrument, the treas- ered to be reattributed to another con- urer shall retain a full-size photocopy tributor if— of the check or written instrument. (1) The treasurer of the recipient po- (2) If a political committee receives a litical committee asks the contributor written redesignation of a contribution whether the contribution is intended to for a different election, the treasurer be a joint contribution by more than shall retain the written redesignation one person, and informs the contrib- provided by the contributor, as re- utor that he or she may request the required by 11 CFR 110.1(b)(5) or turn of the excessive portion of the 110.2(b)(5), as appropriate. contribution if it is not intended to be (3) If a political committee receives a a joint contribution; and written reattribution of a contribution (2) Within sixty days from the date of to a different contributor, the treas- the treasurer’s receipt of the contribu- urer shall retain the written reattribution, the contributor provides the tion signed by each contributor, as re- treasurer with a written reattribution quired by 11 CFR 110.1(k). of the contribution, which is signed by (4)(i) If a political committee chooses each contributor, and which indicates to rely on a postmark as evidence of the amount to be attributed to each the date on which a contribution was contributor if equal attribution is not made, the treasurer shall retain the en- intended. velope or a copy of the envelope con- (B)(1) Notwithstanding paragraph taining the postmark and other identi- (k)(3)(ii)(A) of this section or any other fying information; and provision of this section, any excessive (ii) If a political committee chooses portion of a contribution described in to rely on the redesignation presump- paragraph (k)(3)(i) of this section that tion in 11 CFR 110.1(b)(5)(ii)(B) or (C) or was made by a written instrument that the reattribution presumption in 11 is imprinted with the names of more CFR 110.1(k)(3)(ii)(B), the treasurer than one individual may be attributed shall retain a full-size photocopy of the among the individuals listed unless a check or written instrument, of any different instruction is on the instru- signed writings that accompanied the ment or in a separate writing signed by contribution, and of the notices sent to the contributor(s), provided that such the contributors as required by 11 CFR attribution would not cause any con- 110.1(b)(5)(ii)(B) and (k)(3)(ii)(B). tributor to exceed any of the limita- (5) If a political committee does not tions on contributions set forth in retain the written records concerning paragraph (b)(1) of this section. designation required under 11 CFR (2) The treasurer of the recipient po- 110.1(l)(1), the contribution shall not be litical committee shall notify each considered designated in writing for a

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particular election, and the provisions fined in 11 CFR 100.5(e)(3). See 11 CFR of 11 CFR 110.1(b)(2)(ii) or 11 CFR 102.2(a)(3) for multicandidate political 110.2(b)(2)(ii) shall apply. If a political committee certification requirements. committee does not retain the written A political committee becomes a records concerning redesignation or re- multicandidate committee at the time attribution required under 11 CFR the political committee meets the re- 110.1(l)(2), (3), (4)(ii) or (6), including quirements of 11 CFR 100.5(e)(3) or be- the contributor notices, the redesigna- comes affiliated with an existing tion or reattribution shall not be effec- multicandidate committee, whether or tive, and the original designation or at- not the political committee has cer- tribution shall control. tified its status as a multicandidate (6) For each written redesignation or committee with the Commission in ac- written reattribution of a contribution cordance with 11 CFR 102.2(a)(3). described in paragraph (b)(5) or para- (2) Notice to recipients. Each multi- graph (k)(3) of this section, the polit- candidate committee that makes a ical committee shall retain docu- contribution under this section shall mentation demonstrating when the notify the recipient in writing of its written redesignation or written re- status as a multicandidate committee. attribution was received. Such docu- (b) Contributions to candidates; des- mentation shall consist of: ignations; and redesignations. (1) No (i) A copy of the envelope bearing the multicandidate political committee postmark and the contributor’s name, shall make contributions to any can- or return address or other identifying didate, his or her authorized political code; or committees or agents with respect to (ii) A copy of the written redesigna- any election for Federal office which, tion or written reattribution with a in the aggregate, exceed $5,000. date stamp indicating the date of the committee’s receipt; or (2) For purposes of this section, with (iii) A copy of the written redesigna- respect to any election means— tion or written reattribution dated by (i) In the case of a contribution des- the contributor. ignated in writing by the contributor (m) Contributions to delegates and dele- for a particular election, the election gate committees. (1) Contributions to so designated. Multicandidate political delegates for the purpose of furthering committees making contributions to their selection under 11 CFR 110.14 are candidates are encouraged to designate not subject to the limitations of this their contributions in writing for par- section. ticular elections. See 11 CFR 110.2(b)(4). (2) Contributions to delegate com- (ii) In the case of a contribution not mittees under 11 CFR 110.14 are subject designated in writing by the contrib- to the limitations of this section. utor for a particular election, the next (n) Contributions to committees making election for that Federal office after independent expenditures. The limita- the contribution is made. tions on contributions of this section (3)(i) A contribution designated in also apply to contributions made to po- writing for a particular election, but litical committees making independent made after that election, shall be made expenditures under 11 CFR Part 109. only to the extent that the contribu- [52 FR 769, Jan. 9, 1987] tion does not exceed net debts outstanding from such election. To the ex- EDITORIAL NOTE: For FEDERAL REGISTER ci- tent that such contribution exceeds net tations affecting § 110.1, see the List of CFR Sections Affected, which appears in the debts outstanding, the candidate or the Finding Aids section of the printed volume candidate’s authorized political com- and at www.fdsys.gov. mittee shall return or deposit the contribution within ten days from the date § 110.2 Contributions by multi- of the treasurer’s receipt of the con- candidate political committees (52 tribution as provided by 11 CFR U.S.C. 30116(a)(2)). 103.3(a), and if deposited, then within (a)(1) Scope. This section applies to sixty days from the date of the treas- all contributions made by any multi- urer’s receipt the treasurer shall take candidate political committee as de- the following action, as appropriate:

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(A) Refund the contribution using a (B) The contribution was designated committee check or draft; or in writing for a particular election and (B) Obtain a written redesignation by the contribution was made after that the contributor for another election in election and the contribution cannot accordance with 11 CFR 110.2(b)(5). be accepted under the net debts out- If the candidate is not a candidate in standing provisions of 11 CFR the general election, all contributions 110.2(b)(3); made for the general election shall be (C) The contribution was not des- either returned or refunded to the con- ignated in writing for a particular elec- tributors or redesignated in accordance tion, and the contribution exceeds the with 11 CFR 110.2(b)(5). limitation on contributions set forth in (ii) The treasurer of the candidate’s 11 CFR 110.2(b)(1); or authorized political committee shall (D) The contribution was not des- calculate net debts outstanding in ac- ignated in writing for a particular elec- cordance with 11 CFR 110.1(b)(3)(ii). tion and the contribution was received The amount of the net debts out- after the date of an election for which standing shall be adjusted as additional there are net debts outstanding on the funds are received and expenditures are date the contribution is received. made. The candidate and his or her au- (ii) A contribution shall be consid- thorized political committee(s) may ered to be redesignated for another election if— accept contributions made after the (A) The treasurer of the recipient au- date of the election if such contribu- thorized political committee requests tions are designated in writing by the that the contributor provide a written contributor for that election and if redesignation of the contribution and such contributions do not exceed the informs the contributor that the con- adjusted amount of net debts out- tributor may request the refund of the standing on the date the contribution contribution as an alternative to pro- is received. viding a written redesignation; and (4) For purposes of this section, a (B) Within sixty days from the date contribution shall be considered to be of the treasurer’s receipt of the con- designated in writing for a particular tribution, the contributor provides the election if— treasurer with a written redesignation (i) The contribution is made by of the contribution for another elec- check, money order, or other nego- tion, which is signed by the contrib- tiable instrument which clearly indi- utor. cates the particular election with re- (iii) A contribution redesignated for spect to which the contribution is another election shall not exceed the made; limitations on contributions made with (ii) The contribution is accompanied respect to that election. A contribution by a writing, signed by the contributor, redesignated for a previous election which clearly indicates the particular shall be subject to the requirements of election with respect to which the con- 11 CFR 110.2(b)(3) regarding net debts tribution is made; or outstanding. (iii) The contribution is redesignated (6) For the purposes of this section, a in accordance with 11 CFR 110.2(b)(5). contribution shall be considered to be (5)(i) The treasurer of an authorized made when the contributor relin- political committee may request a quishes control over the contribution. written redesignation of a contribution A contributor shall be considered to re- by the contributor for a different elec- linquish control over the contribution tion if— when it is delivered by the contributor (A) The contribution was designated to the candidate, to the political com- in writing for a particular election, and mittee, or to an agent of the political the contribution, either on its face or committee. A contribution that is when aggregated with other contribu- mailed to the candidate, or to the po- tions from the same contributor for the litical committee or to an agent of the same election, exceeds the limitation political committee, shall be consid- on contributions set forth in 11 CFR ered to be made on the date of the post- 110.2(b)(1); mark. See 11 CFR 110.1(1)(4). An in-kind

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contribution shall be considered to be calendar years starting on January 1 of made on the date that the goods or the year in which the contribution lim- services are provided by the contrib- itation is increased. In every odd-num- utor. bered year, the Commission will pub- (c) Contributions to political party com- lish in the FEDERAL REGISTER the mittees. (1) No multicandidate political amount of the contribution limitation committee shall make contributions to in effect and place such information on the political committees established the Commission’s Web site. and maintained by a national political (f) Contributions to candidates for more party in any calendar year which, in than one Federal office. If an individual the aggregate, exceed $15,000. is a candidate for more than one Fed- (2) For purposes of this section, polit- eral office, a multicandidate political ical committees established and main- committee may make contributions tained by a national political party which do not exceed $5,000 to the can- means— didate, or his or her authorized polit- (i) The national committee; ical committees for each election for (ii) The House campaign committee; each office, provided that the require- and ments set forth in 11 CFR 110.1(f)(1), (2), (iii) The Senate campaign com- and (3) are satisfied. mittee. (g) Contributions to retire pre-1975 (3) Each recipient committee referred debts. Contributions made to retire to in 11 CFR 110.2(c)(2) may receive up debts resulting from elections held to the $15,000 limitation from a multi- prior to January 1, 1975 are not subject candidate political committee. to the limitations of 11 CFR part 110, (4) The recipient committee shall not as long as contributions and solicita- be an authorized political committee of tions to retire these debts are des- any candidate, except as provided in 11 ignated in writing and used for that CFR 9002.1(c). purpose. Contributions made to retire (d) Contributions to other political com- debts resulting from elections held mittees. No multicandidate political after December 31, 1974 are subject to committee shall make contributions to the limitations of 11 CFR part 110. any other political committee in any (h) Contributions to committees sup- calendar year which, in the aggregate, porting the same candidate. A multi- exceed $5,000. candidate political committee may (e) Contributions by political party com- contribute to a candidate or his or her mittees to Senatorial candidates. (1) Not- authorized committee with respect to a withstanding any other provision of particular election and also contribute the Act, or of these regulations, the to a political committee which has Republican and Democratic Senatorial supported, or anticipates supporting, campaign committees, or the national the same candidate in the same elec- committee of a political party, may tion, as long as— make contributions of not more than a (1) The recipient political committee combined total of $35,000 to a candidate is not the candidate’s principal cam- for nomination or election to the Sen- paign committee or other authorized ate during the calendar year of the political committee or a single can- election for which he or she is a candidate committee; didate. Any contribution made by such (2) The multicandidate political com- committee to a Senatorial candidate mittee does not give with the knowl- under this paragraph in a year other edge that a substantial portion will be than the calendar year in which the contributed to, or expended on behalf election is held shall be considered to of, that candidate for the same elec- be made during the calendar year in tion; and which the election is held. (3) The multicandidate political com- (2) The contribution limitation in mittee does not retain control over the paragraph (e)(1) of this section shall be funds. increased by the percent difference in (i) Application of limitations to elec- the price index in accordance with 11 tions. (1) The limitations on contribu- CFR 110.17. The increased contribution tions of this section (other than para- limitation shall be in effect for the two graph (e) of this section) shall apply

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separately with respect to each elec- (ii) With respect to the goods or serv- tion as defined in 11 CFR 100.2, except ices involved, the candidate accepted that all elections held in a calendar or received them, requested or sug- year for the office of President of the gested their provision, was materially United States (except a general elec- involved in the decision to provide tion for that office) shall be considered them, or was involved in substantial to be one election. discussions about their provision; and (2) An election in which a candidate (iii) The goods or services are— is unopposed is a separate election for (A) Polling expenses for determining the purposes of the limitations on con- the favorability, name recognition, or tributions of this section. relative support level of the candidate (3) A primary or general election involved; which is not held because a candidate (B) Compensation paid to employees, is unopposed or received a majority of consultants, or vendors for services votes in a previous election is a sepa- rendered in connection with estab- rate election for the purposes of the lishing and staffing offices in States limitations on contributions of this where Presidential primaries, cau- section. The date on which the election cuses, or preference polls are to be would have been held shall be consid- held, other than offices in the can- ered to be the date of the election. didate’s home state and in or near the (4) A primary election which is not District of Columbia; held because a candidate was nomi- (C) Administrative expenses, includ- nated by a caucus or convention with ing rent, utilities, office supplies and authority to nominate is not a sepa- equipment, in connection with estab- rate election for the purposes of the lishing and staffing offices in States limitations on contributions of this where Presidential primaries, cau- section. cuses, or preference polls are to be held, other than offices in the can- (j) Contributions to delegates and dele- didate’s home state and in or near the gate committees. (1) Contributions to District of Columbia; or delegates for the purpose of furthering (D) Expenses of individuals seeking their selection under 11 CFR 110.14 are to become delegates in the Presidential not subject to the limitations of this nomination process. section. (2) Notwithstanding paragraph (l)(1) (2) Contributions to delegate com- of this section, if the candidate, mittees under 11 CFR 110.14 are subject through an authorized committee, re- to the limitations of this section. imburses the multicandidate political (k) Contributions to multicandidate po- committee within 30 days of becoming litical committees making independent ex- a candidate, the payment shall not be penditures. The limitations on con- deemed an in-kind contribution for ei- tributions of this section also apply to ther entity, and the reimbursement contributions made to multicandidate shall be an expenditure of the can- political committees making inde- didate. pendent expenditures under 11 CFR Part 109. [52 FR 772, Jan. 9, 1987, as amended at 52 FR (l) Pre-candidacy expenditures by 35534, Sept. 22, 1987; 58 FR 42173, Aug. 6, 1993; 67 FR 69948, Nov. 19, 2002; 68 FR 457, Jan. 3, multicandidate political committees 2003; 68 FR 47414, Aug. 8, 2003; 68 FR 64516, deemed in-kind contributions; effect of re- Nov. 14, 2003] imbursement. (1) A payment by a multicandidate political committee is § 110.3 Contribution limitations for af- deemed an in-kind contribution to and filiated committees and political an expenditure by a Presidential can- party committees; transfers (52 didate, even though made before the in- U.S.C. 30116(a)(4), 30116(a)(5)). dividual becomes a candidate under 11 (a) Contribution limitations for affili- CFR 100.3, if— ated committees. (1) For the purposes of (i) The expenditure is made on or the contribution limitations of 11 CFR after January 1 of the year imme- 110.1 and 110.2, all contributions made diately following the last Presidential or received by more than one affiliated election year; committee, regardless of whether they

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are political committees under 11 CFR cumstantial factors described in para- 100.5, shall be considered to be made or graphs (a)(3)(ii) (A) through (J) of this received by a single political com- section. The Commission will examine mittee. See 11 CFR 100.5(g). Application these factors in the context of the of this paragraph means that all con- overall relationship between commit- tributions made or received by the fol- tees or sponsoring organizations to de- lowing committees shall be considered termine whether the presence of any to be made or received by a single po- factor or factors is evidence of one litical committee— committee or organization having been (i) Authorized committees of the established, financed, maintained or same candidate for the same election controlled by another committee or to Federal office; or sponsoring organization. Such factors (ii) Committees (including a separate include, but are not limited to: segregated fund, see 11 CFR part 114) (A) Whether a sponsoring organiza- established, financed, maintained or tion owns a controlling interest in the controlled by the same corporation, voting stock or securities of the spon- labor organization, person or group of soring organization of another com- persons, including any parent, sub- mittee; sidiary, branch, division, department (B) Whether a sponsoring organiza- or local unit thereof. For the purposes tion or committee has the authority or of this section, local unit may include, ability to direct or participate in the in appropriate cases, a franchisee, li- governance of another sponsoring orga- censee, or State or regional associa- nization or committee through provi- tion. sions of constitutions, bylaws, con- (2) Affiliated committees sharing a tracts, or other rules, or through for- single contribution limitation under mal or informal practices or proce- paragraph (a)(1)(ii) of this section in- dures; clude all of the committees estab- (C) Whether a sponsoring organiza- lished, financed, maintained or con- tion or committee has the authority or trolled by— (i) A single corporation and/or its ability to hire, appoint, demote or oth- subsidiaries; erwise control the officers, or other de- (ii) A single national or international cisionmaking employees or members of union and/or its local unions or other another sponsoring organization or subordinate organizations; committee; (iii) An organization of national or (D) Whether a sponsoring organiza- international unions and/or all its tion or committee has a common or State and local central bodies; overlapping membership with another (iv) A membership organization, sponsoring organization or committee (other than political party committees, which indicates a formal or ongoing re- see paragraph (b) of this section) in- lationship between the sponsoring or- cluding trade or professional associa- ganizations or committees; tions, see 11 CFR 114.8(a), and/or related (E) Whether a sponsoring organiza- State and local entities of that organi- tion or committee has common or zation or group; or overlapping officers or employees with (v) The same person or group of per- another sponsoring organization or sons. committee which indicates a formal or (3)(i) The Commission may examine ongoing relationship between the spon- the relationship between organizations soring organizations or committees; that sponsor committees, between the (F) Whether a sponsoring organiza- committees themselves, or between tion or committee has any members, one sponsoring organization and a com- officers or employees who were mem- mittee established by another organi- bers, officers or employees of another zation to determine whether commit- sponsoring organization or committee tees are affiliated. which indicates a formal or ongoing re- (ii) In determining whether commit- lationship between the sponsoring or- tees not described in paragraphs (a)(2) ganizations or committees, or which (i)–(iv) of this section are affiliated, the indicates the creation of a successor Commission will consider the cir- entity;

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(G) Whether a sponsoring organiza- mittee and the national committee of a tion or committee provides funds or political party are subject to a single goods in a significant amount or on an contribution limitation under 11 CFR ongoing basis to another sponsoring or- 110.2(e). ganization or committee, such as (3) All contributions made by the po- through direct or indirect payments for litical committees established, fi- administrative, fundraising, or other nanced, maintained, or controlled by a costs, but not including the transfer to State party committee and by subordi- a committee of its allocated share of nate State party committees shall be proceeds jointly raised pursuant to 11 presumed to be made by one political CFR 102.17; committee. This presumption shall not (H) Whether a sponsoring organiza- apply if— tion or committee causes or arranges (i) The political committee of the for funds in a significant amount or on party unit in question has not received an ongoing basis to be provided to an- funds from any other political com- other sponsoring organization or committee established, financed, main- mittee, but not including the transfer tained, or controlled by any party unit; to a committee of its allocated share of and proceeds jointly raised pursuant to 11 (ii) The political committee of the CFR 102.17; party unit in question does not make (I) Whether a sponsoring organiza- its contributions in cooperation, con- tion or a committee or its agent had an sultation or concert with, or at the re- active or significant role in the forma- quest or suggestion of any other party tion of another sponsoring organiza- unit or political committee estab- tion or committee; and lished, financed, maintained, or con- (J) Whether the sponsoring organiza- trolled by another party unit. tions or committees have similar patterns of contributions or contributors (c) Permissible Transfers. The con- which indicates a formal or ongoing tribution limitations of 11 CFR 110.1 relationshp between the sponsoring or- and 110.2 shall not limit the transfers ganizations or committees. set forth below in 11 CFR 110.3(c) (1) (b) Contribution limitations for political through (6)— party committees. (1) For the purposes of (1) Transfers of funds between affili- the contribution limitations of 11 CFR ated committees or between party 110.1 and 110.2, all contributions made committees of the same political party or received by the following political whether or not they are affiliated or by committees shall be considered to be collecting agents to a separate seg- made or received by separate political regated fund made pursuant to 11 CFR committees— 102.6; (i) The national committee of a polit- (2) Transfers of joint fundraising pro- ical party and any political commit- ceeds between organizations or com- tees established, financed, maintained, mittees participating in the joint fund- or controlled by the same national raising activity provided that no par- committee; and ticipating committee or organization (ii) The State committee of the same governed by 11 CFR 102.17 received political party. more than its allocated share of the (2) Application of paragraph (b)(1)(i) funds raised; of this section means that— (3) Transfers of funds between the (i) The House campaign committee primary campaign and general election and the national committee of a polit- campaign of a candidate of funds un- ical party shall have separate limita- used for the primary; tions on contributions under 11 CFR (4) Transfers of funds between a can- 110.1 and 110.2. didate’s previous Federal campaign (ii) The Senate campaign committee committee and his or her current Fed- and the national committee of a polit- eral campaign committee, or between ical party shall have separate limita- previous Federal campaign commit- tions on contributions, except that tees, provided that the candidate is not contributions to a senatorial candidate a candidate for more than one Federal made by the Senate campaign com- office at the same time, and provided

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

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(7) The authorized committees of a value another person when in fact the candidate for more than one Federal contributor is the source. office, or for a Federal office and a non- (c) Cash contributions. (1) With re- federal office, shall follow the require- spect to any campaign for nomination ments for separate campaign organiza- for election or election to Federal of- tions set forth at 11 CFR 110.8(d). fice, no person shall make contribu- (d) Transfers from nonfederal to federal tions to a candidate or political com- campaigns. Transfers of funds or assets mittee of currency of the United from a candidate’s campaign com- States, or of any foreign country, mittee or account for a nonfederal which in the aggregate exceed $100. election to his or her principal cam- (2) A candidate or committee receiv- paign committee or other authorized ing a cash contribution in excess of committee for a federal election are $100 shall promptly return the amount prohibited. However, at the option of over $100 to the contributor. the nonfederal committee, the non- (3) A candidate or committee receiv- federal committee may refund con- ing an anonymous cash contribution in tributions, and may coordinate ar- excess of $50 shall promptly dispose of rangements with the candidate’s prin- the amount over $50. The amount over cipal campaign committee or other au- $50 may be used for any lawful purpose thorized committee for a solicitation unrelated to any Federal election, by such committee(s) to the same con- campaign, or candidate. tributors. The full cost of this solicita- [54 FR 34112, Aug. 17, 1989, and 54 FR 48580, tion shall be paid by the Federal com- Nov. 24, 1989, as amended at 54 FR 48582, Nov. mittee. 24, 1989; 55 FR 1139, Jan. 11, 1990; 67 FR 69948, Nov. 19, 2002] [54 FR 34110, Aug. 17, 1989, and 54 FR 48580, Nov. 24, 1989; 58 FR 3476, Jan. 8, 1993] § 110.5 [Reserved]

§ 110.4 Contributions in the name of § 110.6 Earmarked contributions 52 another; cash contributions (52 U.S.C. 30116(a)(8)). U.S.C. 30122, 30123, 30102(c)(2)). (a) General. All contributions by a (a) [Reserved] person made on behalf of or to a can- (b) Contributions in the name of an- didate, including contributions which other. (1) No person shall— are in any way earmarked or otherwise (i) Make a contribution in the name directed to the candidate through an of another; intermediary or conduit, are contribu- (ii) Knowingly permit his or her tions from the person to the candidate. name to be used to effect that con- (b) Definitions. (1) For purposes of tribution; this section, earmarked means a des- (iii) Knowingly help or assist any ignation, instruction, or encumbrance, person in making a contribution in the whether direct or indirect, express or name of another; or implied, oral or written, which results (iv) Knowingly accept a contribution in all or any part of a contribution or made by one person in the name of an- expenditure being made to, or expended other. on behalf of, a clearly identified can- (2) Examples of contributions in the didate or a candidate’s authorized com- name of another include— mittee. (i) Giving money or anything of (2) For purposes of this section, con- value, all or part of which was provided duit or intermediary means any person to the contributor by another person who receives and forwards an ear- (the true contributor) without dis- marked contribution to a candidate or closing the source of money or the a candidate’s authorized committee, thing of value to the recipient can- except as provided in paragraph didate or committee at the time the (b)(2)(i) of this section. contribution is made, see 11 CFR 110.6; (i) For purposes of this section, the or following persons shall not be consid- (ii) Making a contribution of money ered to be conduits or intermediaries: or anything of value and attributing as (A) An individual who is an employee the source of the money or thing of or a full-time volunteer working for

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the candidate’s authorized committee, (see 11 CFR part 105), and to the recipi- provided that the individual is not act- ent candidate or authorized coming in his or her capacity as a rep- mittee. resentative of an entity prohibited (ii) The report to the Commission or from making contributions; Secretary shall be included in the con- (B) A fundraising representative conduit’s or intermediary’s report for the ducting joint fundraising with the can- reporting period in which the ear- didate’s authorized committee pursu- marked contribution was received, or, ant to 11 CFR 102.17 or 9034.8; if the conduit or intermediary is not (C) An affiliated committee, as de- required to report under 11 CFR part fined in 11 CFR 100.5(g); 104, by letter to the Commission within (D) A commercial fundraising firm thirty days after forwarding the ear- retained by the candidate or the can- marked contribution. didate’s authorized committee to assist (iii) The report to the recipient can- in fundraising; and didate or authorized committee shall (E) An individual who is expressly be made when the earmarked contribu- authorized by the candidate or the can- tion is forwarded to the recipient candidate’s authorized committee to en- didate or authorized committee pursu- gage in fundraising, and who occupies a ant to 11 CFR 102.8. significant position within the can- (iv) The report by the conduit or didate’s campaign organization, pro- intermediary shall contain the fol- vided that the individual is not acting lowing information: in his or her capacity as a representative of an entity prohibited from mak- (A) The name and mailing address of ing contributions. each contributor and, for each ear- (ii) Any person who is prohibited marked contribution in excess of $200, from making contributions or expendi- the contributor’s occupation and the tures in connection with an election name of his or her employer; for Federal office shall be prohibited (B) The amount of each earmarked from acting as a conduit for contribu- contribution, the date received by the tions earmarked to candidates or their conduit, and the intended recipient as authorized committees. The provisions designated by the contributor; and of this section shall not restrict the (C) The date each earmarked con- ability of an organization or com- tribution was forwarded to the recipi- mittee to serve as a collecting agent ent candidate or authorized committee for a separate segregated fund pursuant and whether the earmarked contribu- to 11 CFR 102.6. tion was forwarded in cash or by the (iii) Any person who receives an ear- contributor’s check or by the conduit’s marked contribution shall forward check. such earmarked contribution to the (v) For each earmarked contribution candidate or authorized committee in passed through the conduit’s or accordance with 11 CFR 102.8, except intermediary’s account, the informa- that— tion specified in paragraph (c)(1)(iv) (A) (A) A fundraising representative through (C) of this section shall be shall follow the joint fundraising pro- itemized on the appropriate schedules cedures set forth at 11 CFR 102.17. of receipts and disbursements attached (B) A person who is prohibited from to the conduit’s or intermediary’s re- acting as a conduit pursuant to para- port, or shall be disclosed by letter, as graph (b)(2)(ii) of this section shall re- appropriate. For each earmarked con- turn the earmarked contribution to the tribution forwarded in the form of the contributor. contributor’s check or other written (c) Reporting of earmarked contribu- instrument, the information specified tions—(1) Reports by conduits and inter- in paragraph (c)(1)(iv) (A) through (C) mediaries. (i) The intermediary or con- of this section shall be disclosed as a duit of the earmarked contribution memo entry on the appropriate sched- shall report the original source and the ules of receipts and disbursements at- recipient candidate or authorized com- tached to the conduit’s or mittee to the Commission or the Sec- intermediary’s report, or shall be dis- retary of the Senate, as appropriate closed by letter, as appropriate.

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(2) Reports by recipient candidates and § 110.7 [Reserved] authorized committees. (i) The recipient candidate or authorized committee § 110.8 Presidential candidate expendi- shall report each conduit or inter- ture limitations. mediary who forwards one or more ear- (a)(1) No candidate for the office of marked contributions which in the ag- President of the United States who is gregate exceed $200 in any calendar eligible under 26 U.S.C. 9003 (relating to year. conditions for eligibility for payments) (ii) The report by the recipient can- or under 26 U.S.C. 9033 (relating to eli- didate or authorized committee shall gibility for payments) to receive pay- contain the following information: ments from the Secretary of the Treas- ury and has received payments, may (A) The identification of the conduit make expenditures in excess of— or intermediary, as defined in 11 CFR (i) $10,000,000 in the case of a cam- 100.12; paign for nomination for election to (B) The total amount of earmarked the office, except the aggregate of ex- contributions received from the con- penditures under this paragraph in any duit or intermediary and the date of re- one State shall not exceed the greater ceipt; and of 16 cents multiplied by the voting age (C) The information required under 11 population of the State or $200,000; or CFR 104.3(a) (3) and (4) for each ear- (ii) $20,000,000 in the case of a cam- marked contribution which in the ag- paign for election to the office. gregate exceeds $200 in any calendar (2) The expenditure limitations in year. paragraph (a)(1) of this section shall be (iii) The information specified in increased in accordance with 11 CFR paragraph (c)(2)(ii) (A) through (C) of 110.17. this section shall be itemized on Sched- (3) Voting age population is defined ule A attached to the report for the re- at 11 CFR 110.18. porting period in which the earmarked (b) The expenditure limitations shall contribution is received. not be considered violated if, after the date of the primary or general election, (d) Direction or control. (1) A conduit’s convention or caucus, receipt of re- or intermediary’s contribution limits funds and rebates causes a candidate’s are not affected by the forwarding of expenditures to be within the limita- an earmarked contribution except tions. where the conduit or intermediary ex- (c) For the State limitations in para- ercises any direction or control over graph (a)(1) of this section— the choice of the recipient candidate. (1) Expenditures made in a State (2) If a conduit or intermediary exer- after the date of the primary election, cises any direction or control over the convention or caucus relating to the choice of the recipient candidate, the primary election, convention or caucus earmarked contribution shall be con- count toward that State’s expenditure sidered a contribution by both the limitation; original contributor and the conduit or (2) The candidate may treat an intermediary. If the conduit or inter- amount that does not exceed 50% of the mediary exercises any direction or con- candidate’s total expenditures allo- trol over the choice of the recipient cable to a particular State under 11 candidate, the report filed by the con- CFR 106.2 as exempt fundraising ex- duit or intermediary and the report penses, and may exclude this amount filed by the recipient candidate or au- from the candidate’s total expenditures thorized committee shall indicate that attributable to the expenditure limita- the earmarked contribution is made by tions for that State. The candidate both the original contributor and the may treat 100% of the cost of mass mailings as exempt fundraising ex- conduit or intermediary, and that the penses, unless the mass mailings were entire amount of the contribution is mailed within 28 days before the state’s attributed to each. primary election, convention or cau- [54 FR 34113, Aug. 17, 1989 and 54 FR 48580, cus. The total of all amounts excluded Nov. 24, 1989; 61 FR 3550, Feb. 1, 1996] for exempt fundraising expenses shall

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not exceed 20% of the overall expendi- (iii) The presumptions in paragraphs ture limitation under 11 CFR 9035.1. (e)(2) (i) and (ii) of this section may be (d)(1) If an individual is a candidate rebutted by a showing to the Commis- for more than one Federal office, or for sion that the appearance or event was, a Federal office and a State office, he or was not, party-related, as the case or she must designate separate prin- may be. cipal campaign committees and estab- (f)(1) Expenditures made by or on be- lish completely separate campaign or- half of any candidate nominated by a ganizations. political party for election to the office (2) No funds, goods, or services, in- of Vice President of the United States cluding loans and loan guarantees, may shall be considered to be expenditures be transferred between or used by the made by or on behalf of the candidate separate campaigns, except as provided of such party for election to the office in 11 CFR 110.3(c)(5). (3) Except for Presidential candidates of President of the United States. receiving Presidential Primary Match- (2) Expenditures from personal funds ing Funds, see 26 U.S.C. 9032, or Gen- made by a candidate for Vice President eral Election Public Financing, see 26 shall be considered to be expenditures U.S.C. 9002, campaigns may share per- by the candidate for President, if the sonnel and facilities, as long as expend- candidate is receiving General Election itures are allocated between the cam- Public Financing, see § 9003.2(c). paigns, and the payment made from (g) An expenditure is made on behalf each campaign account reflects the al- of a candidate, including a Vice-Presi- location. dential candidate, if it is made by— (e)(1) A political party may make re- (1) An authorized committee or any imbursement for the expenses of a can- other agent of the candidate for pur- didate who is engaging in party-build- poses of making any expenditure; ing activities, without the payment (2) Any person authorized or re- being considered a contribution to the quested by the candidate, an author- candidate, and without the unreim- ized committee of the candidate, or an bursed expense being considered an ex- agent of the candidate to make the expenditure counting against the limita- penditure; or tions in paragraph (a) (1) or (2) of this (3) A committee not authorized in section, as long as— writing, so long as it is requested by (i) The event is a bona fide party the candidate, an authorized com- event or appearance; and (ii) No aspect of the solicitation for mittee of the candidate, or an agent of the event, the setting of the event, and the candidate to make the expenditure. the remarks or activities of the can- [41 FR 35948, Aug. 25, 1976, as amended at 45 didate in connection with the event FR 21210, Apr. 1, 1980; 54 FR 34114, Aug. 17, were for the purpose of influencing the 1989; 54 FR 48580, Nov. 24, 1989; 56 FR 35911, candidate’s nomination or election. July 29, 1991; 68 FR 457, Jan. 3, 2003; 68 FR (2)(i) An event or appearance meeting 6346, Feb. 7, 2003] the requirements of paragraph (e)(1) of this section and occurring prior to Jan- § 110.9 Violation of limitations. uary 1 of the year of the election for No candidate or political committee which the individual is a candidate is shall knowingly accept any contribu- presumptively party-related; tion or make any expenditure in viola- (ii) Notwithstanding the require- tion of the provisions of 11 CFR part ments of paragraph (e)(1) of this sec- 110. No officer or employee of a polit- tion, an event or appearance occurring ical committee shall knowingly accept on or after January 1 of the year of the a contribution made for the benefit or election for which the individual is a use of a candidate, or make any ex- candidate is presumptively for the pur- penditure on behalf of a candidate, in pose of influencing the candidate’s violation of any limitation imposed on election, and any contributions or ex- contributions and expenditures under penditures are governed by the con- this part 110. tribution and expenditure limitations of this part 110. [67 FR 69949, Nov. 19, 2002]

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§ 110.10 Expenditures by candidates. street address, telephone number, or Except as provided in 11 CFR parts World Wide Web address of the person 9001, et seq. and 9031, et seq., candidates who paid for the communication, and for Federal office may make unlimited that the communication is not author- expenditures from personal funds as de- ized by any candidate or candidate’s fined in 11 CFR 100.33. committee. (c) Disclaimer specifications—(1) Speci- [68 FR 3996, Jan. 27, 2003] fications for all disclaimers. A disclaimer § 110.11 Communications; advertising; required by paragraph (a) of this sec- disclaimers (52 U.S.C. 30120). tion must be presented in a clear and conspicuous manner, to give the read- (a) Scope. The following communica- er, observer, or listener adequate no- tions must include disclaimers, as tice of the identity of the person or po- specified in this section: litical committee that paid for and, (1) All public communications, as defined in 11 CFR 100.26, made by a polit- where required, that authorized the ical committee; electronic mail of communication. A disclaimer is not more than 500 substantially similar clear and conspicuous if it is difficult communications when sent by a polit- to read or hear, or if the placement is ical committee; and all Internet easily overlooked. websites of political committees avail- (2) Specific requirements for printed able to the general public. communications. In addition to the gen- (2) All public communications, as de- eral requirement of paragraphs (b) and fined in 11 CFR 100.26, by any person (c)(1) of this section, a disclaimer re- that expressly advocate the election or quired by paragraph (a) of this section defeat of a clearly identified candidate. that appears on any printed public (3) All public communications, as de- communication must comply with all fined in 11 CFR 100.26, by any person of the following: that solicit any contribution. (i) The disclaimer must be of suffi- (4) All electioneering communica- cient type size to be clearly readable tions by any person. by the recipient of the communication. (b) General content requirements. A dis- A disclaimer in twelve (12)-point type claimer required by paragraph (a) of size satisfies the size requirement of this section must contain the following this paragraph (c)(2)(i) when it is used information: for signs, posters, flyers, newspapers, (1) If the communication, including magazines, or other printed material any solicitation, is paid for and author- that measure no more than twenty- ized by a candidate, an authorized com- four (24) inches by thirty-six (36) mittee of a candidate, or an agent of ei- inches. ther of the foregoing, the disclaimer (ii) The disclaimer must be contained must clearly state that the commu- in a printed box set apart from the nication has been paid for by the au- other contents of the communication. thorized political committee; (2) If the communication, including (iii) The disclaimer must be printed any solicitation, is authorized by a with a reasonable degree of color con- candidate, an authorized committee of trast between the background and the a candidate, or an agent of either of printed statement. A disclaimer satis- the foregoing, but is paid for by any fies the color contrast requirement of other person, the disclaimer must this paragraph (c)(2)(iii) if it is printed clearly state that the communication in black text on a white background or is paid for by such other person and is if the degree of color contrast between authorized by such candidate, author- the background and the text of the dis- ized committee, or agent; or claimer is no less than the color con- (3) If the communication, including trast between the background and the any solicitation, is not authorized by a largest text used in the communica- candidate, authorized committee of a tion. candidate, or an agent of either of the (iv) The disclaimer need not appear foregoing, the disclaimer must clearly on the front or cover page of the com- state the full name and permanent munication as long as it appears within

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the communication, except on commu- (B) The statement must be visible for nications, such as billboards, that con- a period of at least four (4) seconds; and tain only a front face. (C) The statement must appear with (v) A communication that would re- a reasonable degree of color contrast quire a disclaimer if distributed sepa- between the background and the text rately, that is included in a package of of the statement. A statement satisfies materials, must contain the required the color contrast requirement of this disclaimer. paragraph (c)(3)(iii)(C) if it is printed in (3) Specific requirements for radio and black text on a white background or if television communications authorized by the degree of color contrast between candidates. In addition to the general the background and the text of the requirements of paragraphs (b) and statement is no less than the color con- (c)(1) of this section, a communication trast between the background and the that is authorized or paid for by a can- largest type size used in the commu- didate or the authorized committee of nication. a candidate (see paragraph (b)(1) or (iv) The following are examples of ac- (b)(2) of this section) that is trans- ceptable statements that satisfy the mitted through radio or television, or spoken statement requirements of through any broadcast, cable, or sat- paragraph (c)(3) of this section with re- ellite transmission, must comply with spect to a radio, television, or other the following: broadcast, cable, or satellite commu- (i) A communication transmitted nication, but they are not the only al- through radio must include an audio lowable statements: statement by the candidate that iden- (A) ‘‘I am [insert name of candidate], tifies the candidate and states that he a candidate for [insert Federal office or she has approved the communica- sought], and I approved this advertise- tion; or ment.’’ (ii) A communication transmitted (B) ‘‘My name is [insert name of can- through television or through any didate]. I am running for [insert Fed- broadcast, cable, or satellite trans- eral office sought], and I approved this mission, must include a statement that message.’’ identifies the candidate and states that (4) Specific requirements for radio and he or she has approved the communica- television communications paid for by tion. The candidate shall convey the other persons and not authorized by a statement either: candidate. In addition to the general re- (A) Through an unobscured, full- quirements of paragraphs (b) and (c)(1) screen view of himself or herself mak- of this section, a communication not ing the statement, or authorized by a candidate or a can- (B) Through a voice-over by himself didate’s authorized committee that is or herself, accompanied by a clearly transmitted through radio or television identifiable photographic or similar or through any broadcast, cable, or sat- image of the candidate. A photographic ellite transmission, must comply with or similar image of the candidate shall the following: be considered clearly identified if it is (i) A communication transmitted at least eighty (80) percent of the through radio or television or through vertical screen height. any broadcast, cable, or satellite trans- (iii) A communication transmitted mission, must include the following through television or through any audio statement, ‘‘XXX is responsible broadcast, cable, or satellite trans- for the content of this advertising,’’ mission, must also include a similar spoken clearly, with the blank to be statement that must appear in clearly filled in with the name of the political readable writing at the end of the tele- committee or other person paying for vision communication. To be clearly the communication, and the name of readable, this statement must meet all the connected organization, if any, of of the following three requirements: the payor unless the name of the con- (A) The statement must appear in nected organization is already provided letters equal to or greater than four (4) in the ‘‘XXX is responsible’’ statement; percent of the vertical picture height; and

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(ii) A communication transmitted this section if it clearly states who through television, or through any paid for the communication. broadcast, cable, or satellite trans- (2) For purposes of this section, a mission, must include the audio state- communication paid for by a political ment required by paragraph (c)(4)(i) of party committee, other than a commu- this section. That statement must be nication covered by paragraph (d)(1)(ii) conveyed by an unobscured full-screen of this section, that is being treated as view of a representative of the political a coordinated expenditure under 52 committee or other person making the U.S.C. 30116(d) and that was made with statement, or by a representative of the approval of a candidate, a can- such political committee or other per- didate’s authorized committee, or the son in voice-over. agent of either shall identify the polit- (iii) A communication transmitted ical party that paid for the commu- through television or through any nication and shall state that the com- broadcast, cable, or satellite trans- munication is authorized by the can- mission, must also include a similar didate or candidate’s authorized com- statement that must appear in clearly mittee. readable writing at the end of the com- (3) For a communication paid for by munication. To be clearly readable, the a political party committee that con- statement must meet all of the fol- stitutes an independent expenditure lowing three requirements: under 11 CFR 100.16, the disclaimer re- (A) The statement must appear in quired by this section must identify letters equal to or greater than four (4) the political party committee that percent of the vertical picture height; paid for the communication, and must state that the communication is not (B) The statement must be visible for authorized by any candidate or can- a period of at least four (4) seconds; and didate’s authorized committee. (C) The statement must appear with (e) Exempt activities. A public commu- a reasonable degree of color contrast nication authorized by a candidate, au- between the background and the dis- thorized committee, or political party claimer statement. A disclaimer satis- committee, that qualifies as an exempt fies the color contrast requirement of activity under 11 CFR 100.140, 100.147, this paragraph (c)(4)(iii)(C) if it is 100.148, or 100.149, must comply with printed in black text on a white back- the disclaimer requirements of para- ground or if the degree of color con- graphs (a), (b), (c)(1), and (c)(2) of this trast between the background and the section, unless excepted under para- text of the disclaimer is no less than graph (f)(1) of this section, but the dis- the color contrast between the back- claimer does not need to state whether ground and the largest type size used the communication is authorized by a in the communication. candidate, or any authorized com- (d) Coordinated party expenditures and mittee or agent of any candidate. independent expenditures by political (f) Exceptions. (1) The requirements of party committees. (1)(i) For a commu- paragraphs (a) through (e) of this sec- nication paid for by a political party tion do not apply to the following: committee pursuant to 52 U.S.C. (i) Bumper stickers, pins, buttons, 30116(d), the disclaimer required by pens, and similar small items upon paragraph (a) of this section must iden- which the disclaimer cannot be conven- tify the political party committee that iently printed; makes the expenditure as the person (ii) Skywriting, water towers, wear- who paid for the communication, re- ing apparel, or other means of dis- gardless of whether the political party playing an advertisement of such a na- committee was acting in its own capac- ture that the inclusion of a disclaimer ity or as the designated agent of an- would be impracticable; or other political party committee. (iii) Checks, receipts, and similar (ii) A communication made by a po- items of minimal value that are used litical party committee pursuant to 52 for purely administrative purposes and U.S.C. 30116(d) and distributed prior to do not contain a political message. the date the party’s candidate is nomi- (2) For purposes of this section, nated shall satisfy the requirements of whenever a separate segregated fund or

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its connected organization solicits con- premises at no charge or at less than tributions to the fund from those per- the usual and normal charge, if: sons it may solicit under the applicable (1) The educational institution provisions of 11 CFR part 114, or makes makes reasonable efforts to ensure a communication to those persons, that the appearances constitute such communication shall not be con- speeches, question and answer sessions, sidered a type of public communication or similar communications in an aca- and need not contain the disclaimer re- demic setting, and makes reasonable quired by paragraphs (a) through (c) of efforts to ensure that the appearances this section. are not conducted as campaign rallies (g) Comparable rate for campaign pur- or events; and poses. (1) No person who sells space in a (2) The educational institution does newspaper or magazine to a candidate, not, in conjunction with the appear- an authorized committee of a can- ance, expressly advocate the election didate, or an agent of the candidate, or defeat of any clearly identified can- for use in connection with the candidate(s) or candidates of a clearly didate’s campaign for nomination or identified political party, and does not for election, shall charge an amount favor any one candidate or political for the space which exceeds the com- party over any other in allowing such parable rate for the space for non-cam- appearances. paign purposes. [60 FR 64273, Dec. 14, 1995] (2) For purposed of this section, comparable rate means the rate charged to § 110.13 Candidate debates. a national or general rate advertiser, (a) Staging organizations. (1) Nonprofit and shall include discount privileges organizations described in 26 U.S.C. 501 usually and normally available to a na- (c)(3) or (c)(4) and which do not en- tional or general rate advertiser. dorse, support, or oppose political can- [67 FR 76975, Dec. 13, 2002, as amended at 71 didates or political parties may stage FR 18613, Apr. 12, 2006; 79 FR 77847, Dec. 29, candidate debates in accordance with 2014] this section and 11 CFR 114.4(f). (2) Broadcasters (including a cable § 110.12 Candidate appearances on television operator, programmer or public educational institution producer), bona fide newspapers, maga- premises. zines and other periodical publications (a) Rental of facilities at usual and nor- may stage candidate debates in accord- mal charge. Any unincorporated public ance with this section and 11 CFR educational institution exempt from 114.4(f), provided that they are not federal taxation under 26 U.S.C. 115, owned or controlled by a political such as a school, college or university, party, political committee or can- may make its facilities available to didate. In addition, broadcasters (in- any candidate or political committee cluding a cable television operator, in the ordinary course of business and programmer or producer), bona fide at the usual and normal charge. In this newspapers, magazines and other peri- event, the requirements of paragraph odical publications, acting as press en- (b) of this section are not applicable. tities, may also cover or carry can- (b) Use of facilities at no charge or at didate debates in accordance with 11 less than the usual and normal charge. CFR part 100, subparts B and C and An unincorporated public educational part 100, subparts D and E. institution exempt from federal tax- (b) Debate structure. The structure of ation under 26 U.S.C. 115, such as a debates staged in accordance with this school, college or university, may section and 11 CFR 114.4(f) is left to the sponsor appearances by candidates, discretion of the staging organiza- candidates’ representatives or rep- tions(s), provided that: resentatives of political parties at (1) Such debates include at least two which such individuals address or meet candidates; and the institution’s academic community (2) The staging organization(s) does or the general public (whichever is in- not structure the debates to promote vited) on the educational institution’s or advance one candidate over another.

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(c) Criteria for candidate selection. For furthering the selection of a delegate all debates, staging organization(s) to a national nominating convention must use pre-established objective cri- are contributions or expenditures for teria to determine which candidates the purpose of influencing a federal may participate in a debate. For gen- election, see 11 CFR 100.2 (c)(3) and (e), eral election debates, staging organiza- except that— tions(s) shall not use nomination by a (i) Payments made by an individual particular political party as the sole to a State committee or subordinate objective criterion to determine wheth- State committee as a condition for bal- er to include a candidate in a debate. lot access as a delegate are not con- For debates held prior to a primary tributions or expenditures. Such pay- election, caucus or convention, staging ments are neither required to be re- organizations may restrict candidate ported under 11 CFR part 104 nor sub- participation to candidates seeking the ject to limitation under 11 CFR 110.1; nomination of one party, and need not and stage a debate for candidates seeking (ii) Payments made by a State com- the nomination of any other political mittee or subordinate State party com- party or independent candidates. mittee for administrative expenses incurred in connection with sponsoring [61 FR 18051, Apr. 24, 1996; 61 FR 24533, May 15, 1996, as amended at 67 FR 78681, Dec. 26, conventions or caucuses during which 2002] delegates to a national nominating convention are selected are not con- § 110.14 Contributions to and expendi- tributions or expenditures. Such pay- tures by delegates and delegate ments are neither required to be re- committees. ported under 11 CFR part 104 nor sub- (a) Scope. This section sets forth the ject to limitation under 11 CFR 110.1 prohibitions, limitations and reporting and 110.2. requirements under the Act applicable (2) All funds received or disburse- to all levels of a delegate selection ments made for the purpose of fur- process. thering the selection of a delegate to a (b) Definitions—(1) Delegate. Delegate national nominating convention, in- means an individual who becomes or cluding payments made under para- seeks to become a delegate, as defined graphs (c)(1)(i) and (c)(1)(ii) of this sec- by State law or party rule, to a nation, shall be made from funds permis- tional nominating convention or to a sible under the Act. See 11 CFR parts State, district, or local convention, 110, 114 and 115. caucus or primary that is held to select (d) Contributions to a delegate. (1) The delegates to a national nominating limitations on contributions to can- convention. didates and political committees under (2) Delegate committee. A delegate 11 CFR 110.1 and 110.2 do not apply to committee is a group of persons that contributions made to a delegate for receives contributions or makes ex- the purpose of furthering his or her se- penditures for the sole purpose of influ- lection. encing the selection of one or more del- (2) Contributions to a delegate made egates to a national nominating con- by the authorized committee of a presi- vention. The term delegate committee in- dential candidate count against the cludes a group of delegates, a group of presidential candidate’s expenditure individuals seeking selection as dele- limitation under 11 CFR 110.8(a). gates and a group of individuals sup- (3) A delegate is not required to reporting delegates. A delegate com- port contributions received for the pur- mittee that qualifies as a political pose of furthering his or her selection. committee under 11 CFR 100.5 must (e) Expenditures by delegate to advo- register with the Commission pursuant cate only his or her selection. (1) Expend- to 11 CFR part 102 and report its re- itures by a delegate that advocate only ceipts and disbursements in accordance his or her selection are neither con- with 11 CFR part 104. tributions to a candidate, subject to (c) Funds received and expended; Pro- limitation under 11 CFR 110.1, nor hibited funds. (1) Funds received or dischargeable to the expenditure limits of bursements made for the purpose of any Presidential candidate under 11

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CFR 110.8(a). Such expenditures may ject to the contribution limitations of include, but are not limited to: Pay- 11 CFR 110.1. ments for travel and subsistence during (B) A Federal candidate’s authorized the delegate selection process, includ- committee must report the portion of ing the national nominating conven- the expenditure allocable to the can- tion, and payments for any commu- didate as a contribution pursuant to 11 nications advocating only the dele- CFR part 104. gate’s selection. (C) The portion of the expenditure al- (2) A delegate is not required to re- locable to a presidential candidate is port expenditures made to advocate chargeable to the presidential can- only his or her selection. didate’s expenditure limitation under (f) Expenditures by a delegate referring 11 CFR 110.8(a). to a candidate for public office—(1) Vol- (ii) Such expenditures are inde- unteer activities that do not use public po- pendent expenditures under 11 CFR litical advertising. (i) Expenditures by a 100.16 if they are made for a commu- delegate to defray the costs of certain nication expressly advocating the elec- campaign materials (such as pins, tion or defeat of a clearly identified bumper stickers, handbills, brochures, Federal candidate that is not a coordi- posters and yard signs) that advocate nated communication under 11 CFR his or her selection and also include in- 109.21. formation on or reference to a can- (A) Such independent expenditures didate for the office of President or any must be made in accordance with the other public office are neither con- requirements of 11 CFR part 109. tributions to the candidate referred to (B) The delegate shall report the por- nor subject to limitation under 11 CFR tion of the expenditure allocable to the 110.1 provided that: Federal candidate as an independent (A) The materials are used in connec- expenditure in accordance with 11 CFR tion with volunteer activities; and 109.10. (B) The expenditures are not for costs (3) Republication of candidate mate- incurred in the use of broadcasting, rials. Expenditures made to finance the newspapers, magazines, billboards, di- dissemination, distribution or republi- rect mail or similar types of general cation, in whole or in part, of any public communication or political advertising. broadcast or materials prepared by a Federal candidate are in-kind contribu- (ii) Such expenditures are not charge- tions to the candidate. able to the expenditure limitation of a presidential candidate under 11 CFR (i) Such expenditures are subject to 110.8(a). the contribution limits of 11 CFR 110.1. (iii) A delegate is not required to re- (ii) The Federal candidate must report expenditures made pursuant to port the expenditure as a contribution this paragraph. pursuant to 11 CFR part 104. (2) Use of public political advertising. A (iii) Such expenditures are not delegate may make expenditures to de- chargeable to the presidential can- fray costs incurred in the use of broad- didate’s expenditure limitation under casting, newspapers, magazines, bill- 11 CFR 110.8 unless they were coordi- boards, direct mail or similar types of nated communications under 11 CFR general public communication or polit- 109.21. ical advertising to advocate his or her (4) For purposes of this paragraph, di- selection and also include information rect mail means any mailing(s) by com- on or reference to a candidate for the mercial vendors or any mailing(s) office of President or any other public made from lists that were not devel- office. oped by the delegate. (i) Such expenditures are in-kind (g) Contributions made to and by a del- contributions to a Federal candidate if egate committee. (1) The limitations on they are coordinated communications contributions to political committees under 11 CFR 109.21. under 11 CFR 110.1 and 110.2 apply to (A) The portion of the expenditure al- contributions made to and by a dele- locable to a Federal candidate is sub- gate committee.

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(2) A delegate committee shall report zines, billboards, direct mail or similar contributions it makes and receives types of general public communication pursuant to 11 CFR part 104. or political advertising to advocate the (h) Expenditures by a delegate com- selection of one or more delegates and mittee to advocate only the selection of also include information on or ref- one or more delegates. (1) Expenditures erence to a candidate for the office of by a delegate committee that advocate President or any other public office. If only the selection of one or more dele- such expenditures are in-kind contribu- gates are neither contributions to a tions or independent expenditures candidate, subject to limitation under under paragraphs (i) or (ii) below, the 11 CFR 110.1 nor chargeable to the ex- delegate committee shall allocate the penditure limits of any Presidential portion of the expenditures relating to candidate under 11 CFR 110.8(a). Such the delegate(s) and candidate(s) re- expenditures may include but are not ferred to in the communications be- limited to: Payments for travel and tween them and report the portion al- subsistence during the delegate selec- locable to each. tion process, including the national (i) Such expenditures are in-kind nominating convention, and payments contributions to a Federal candidate if for any communications advocating they are coordinated communications only the selection of one or more dele- under 11 CFR 109.21. gates. (A) The portion of the expenditure al- (2) A delegate committee shall report locable to a Federal candidate is sub- expenditures made pursuant to this ject to the contribution limitations of paragraph. 11 CFR 110.1. The delegate committee (i) Expenditures by a delegate committee shall report the portion allocable to referring to a candidate for public office— the Federal candidate as a contribution (1) Volunteer activities that do not use in-kind. public political advertising. (i) Expendi- (B) The Federal candidate’s author- tures by a delegate committee to de- ized committee shall report the portion fray the costs of certain campaign materials (such as pins, bumper stickers, of the expenditure allocable to the can- handbills, brochures, posters and yard didate as a contribution pursuant to 11 signs) that advocate the selection of a CFR part 104. delegate and also include information (C) The portion of the expenditure al- on or reference to a candidate for the locable to a presidential candidate is office of President or any other public chargeable to the presidential can- office are neither contributions to the didate’s expenditure limitation under candidate referred to, nor subject to 11 CFR 110.8(a). limitation under 11 CFR 110.1 provided (ii) Such expenditures are inde- that: pendent expenditures under 11 CFR (A) The materials are used in connec- 100.16 if they are made for a commu- tion with volunteer activities; and nication expressly advocating the elec- (B) The expenditures are not for costs tion or defeat of a clearly identified incurred in the use of broadcasting, Federal candidate that is not a coordi- newspapers, magazines, billboards, di- nated communication under 11 CFR rect mail or similar types of general 109.21. public communication or political ad- (A) Such independent expenditures vertising. must be made in accordance with the (ii) Such expenditures are not charge- requirements of 11 CFR part 100.16. able to the expenditure limitation of a (B) The delegate committee shall re- presidential candidate under 11 CFR port the portion of the expenditure al- 110.8(a). locable to the Federal candidate as an (iii) A delegate committee shall re- independent expenditure in accordance port expenditures made pursuant to with 11 CFR 109.10. this paragraph. (3) Republication of candidate mate- (2) Use of public political advertising. A rials. Expenditures made to finance the delegate committee may make expend- dissemination, distribution or republi- itures to defray costs incurred in the cation, in whole or in part, of any use of broadcasting, newspapers, maga- broadcast or materials prepared by a

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Federal candidate are in-kind contribu- ments for administrative, fundraising, tions to the candidate. or other costs, but not including the (i) Such expenditures are subject to transfer to a committee of its allocated the contribution limitations of 11 CFR share of proceeds jointly raised pursu- 110.1. The delegate committee shall re- ant to 11 CFR 102.17 or 9034.8; port the expenditure as a contribution (v) Whether the Presidential can- in-kind. didate or any other person associated (ii) The Federal candidate’s author- with the Presidential authorized com- ized committee shall report the ex- mittee suggested, recommended or ar- penditure as a contribution pursuant ranged for contributions to be made to to 11 CFR part 104. the delegate committee; (iii) Such expenditures are not (vi) Similar patterns of contributions chargeable to the presidential can- received by the committees; didate’s expenditure limitation under (vii) Whether one committee provides 11 CFR 110.8 unless they were coordi- a mailing list to the other committee; nated communications under 11 CFR (viii) Whether the Presidential au- 109.21. thorized committee or any person asso- (4) For purposes of this paragraph, di- ciated with that committee provides rect mail means any mailing(s) by com- ongoing administrative support to the mercial vendors or any mailing(s) other committee; made from lists that were not devel- (ix) Whether the Presidential author- oped by the delegate committee or any ized committee or any person associ- participating delegate. ated with that committee directs or or- (j) Affiliation of delegate committees ganizes the specific campaign activi- with a Presidential candidate’s author- ties of the delegate committee; and ized committee. (1) For purposes of the (x) Whether the Presidential author- contribution limits of 11 CFR 110.1 and ized committee or any person associ- 110.2, a delegate committee shall be ated with that committee files state- considered to be affiliated with a Presi- ments or reports on behalf of the dele- dential candidate’s authorized com- gate committee. mittee if both such committees are es- (k) Affiliation between delegate commit- tablished, financed, maintained or con- tees. Delegate committees will be controlled by the same person, such as the sidered to be affiliated with each other Presidential candidate, or the same if they meet the criteria for affiliation group of persons. set forth at 11 CFR 100.5(g). (2) Factors the Commission may consider in determining whether a dele- [52 FR 35534, Sept. 22, 1987, as amended at 65 FR 76146, Dec. 6, 2000; 68 FR 457, Jan. 3, 2003; gate committee is affiliated under 68 FR 6346, Feb. 7, 2003; 75 FR 32, Jan. 4, 2010; paragraph (j)(1) of this section with a 79 FR 62336, Oct. 17, 2014] Presidential candidate’s authorized committee may include, but are not § 110.15 [Reserved] limited to: (i) Whether the Presidential can- § 110.16 Prohibitions on fraudulent didate or any other person associated misrepresentations. with the Presidential authorized com- (a) In general. No person who is a can- mittee played a significant role in the didate for Federal office or an em- formation of the delegate committee; ployee or agent of such a candidate (ii) Whether any delegate associated shall— with a delegate committee is or has (1) Fraudulently misrepresent the been a staff member of the Presidential person or any committee or organiza- authorized committee; tion under the person’s control as (iii) Whether the committees have speaking or writing or otherwise acting common or overlapping officers or em- for or on behalf of any other candidate ployees; or political party or employee or agent (iv) Whether the Presidential author- thereof in a matter which is damaging ized committee provides funds or goods to such other candidate or political in a significant amount or on an ongo- party or employee or agent thereof; or ing basis to the delegate committee, (2) Willfully and knowingly partici- such as through direct or indirect pay- pate in or conspire to participate in

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any plan, scheme, or design to violate (d) Definition of price index. For pur- paragraph (a)(1) of this section. poses of this section, the term price (b) Fraudulent solicitation of funds. No index means the average over a cal- person shall— endar year of the Consumer Price Index (1) Fraudulently misrepresent the (all items—United States city average) person as speaking, writing, or other- published monthly by the Bureau of wise acting for or on behalf of any can- Labor Statistics. didate or political party or employee (e) Publication of price index in- or agent thereof for the purpose of so- creases—(1) Expenditure and Contribution liciting contributions or donations; or Limitations. In every odd-numbered (2) Willfully and knowingly partici- year, the Commission will publish in pate in or conspire to participate in any plan, scheme, or design to violate the FEDERAL REGISTER the amount of paragraph (b)(1) of this section. the expenditure and contribution limitations in effect and place such infor- [67 FR 76977, Dec. 13, 2002] mation on the Commission’s Web site. § 110.17 Price index increase. (2) Lobbyist/registrant and lobbyist/registrant PAC contribution bundling disclo- (a) Price index increases for party com- sure threshold. In every calendar year, mittee expenditure limitations and Presi- the Commission will publish in the dential candidate expenditure limitations. FEDERAL REGISTER the amount of the The limitations on expenditures estab- lobbyist/registrant and lobbyist/reg- lished by 11 CFR 109.32 and 110.8 shall be increased by the percent difference istrant PAC contribution bundling dis- between the price index, as certified to closure threshold in effect and place the Commission by the Secretary of such information on the Commission’s Labor, for the 12 months preceding the Web site. beginning of the calendar year and the (f) Price index increases for lobbyist/reg- price index for the base period. istrant and lobbyist/registrant PAC con- (1) Each expenditure limitation so in- tribution bundling threshold. The thresh- creased shall be the expenditure limi- old for disclosure of lobbyists/reg- tation in effect for that calendar year. istrants and lobbyist/registrant PACs (2) For purposes of this paragraph (a), that bundle contributions shall be in- the term base period means calendar dexed for each calendar year in accord- year 1974. ance with 11 CFR 104.22(g). (b) Price index increases for contributions by persons and political party com- [67 FR 69949, Nov. 19, 2002, as amended at 74 mittees to Senatorial candidates. The lim- FR 7304, Feb. 17, 2009; 75 FR 32, Jan. 4, 2010; itations on contributions established 79 FR 62336, Oct. 17, 2014] by 11 CFR 110.1(b) and (c) and 110.2(e) § 110.18 Voting age population. shall be increased only in odd-numbered years by the percent difference There is annually published by the between the price index, as certified to Department of Commerce in the FED- the Commission by the Secretary of ERAL REGISTER an estimate of the vot- Labor, for the 12 months preceding the ing age population based on an esti- beginning of the calendar year and the mate of the voting age population of price index for the base period. the United States, of each State, and of (1) The increased contribution limi- each Congressional district. The term tations shall be in effect as provided in voting age population means resident 11 CFR 110.1(b)(1)(ii), 110.1(c)(1)(ii), and population, 18 years of age or older. 110.2(e)(2). (2) For purposes of this paragraph (b) [68 FR 457, Jan. 3, 2003] the term base period means calendar § 110.19 Contributions by minors. year 2001. (c) Rounding of price index increases. If An individual who is 17 years old or any amount after the increases under younger (a Minor) may make contribu- paragraph (a) or (b) of this section is tions to any candidate or political not a multiple of $100, such amount committee that in the aggregate do not shall be rounded to the nearest mul- exceed the limitations on contributions tiple of $100. of 11 CFR 110.1, if—

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(a) The decision to contribute is but the person failed to conduct a rea- made knowingly and voluntarily by the sonable inquiry. Minor; (5) For purposes of paragraph (a)(4) of (b) The funds, goods, or services con- this section, pertinent facts include, tributed are owned or controlled by the but are not limited to: Minor, such as income earned by the (i) The contributor or donor uses a Minor, the proceeds of a trust for foreign passport or passport number for which the Minor is the beneficiary, or identification purposes; funds withdrawn by the Minor from a (ii) The contributor or donor provides financial account opened and main- a foreign address; tained in the Minor’s name; and (iii) The contributor or donor makes (c) The contribution is not made a contribution or donation by means of from the proceeds of a gift, the purpose a check or other written instrument of which was to provide funds to be drawn on a foreign bank or by a wire contributed, or is not in any other way transfer from a foreign bank; or controlled by another individual. (iv) The contributor or donor resides [70 FR 5568, Feb. 3, 2005, as amended at 79 FR abroad. 62336, Oct. 17, 2014] (6) Solicit has the same meaning as in 11 CFR 300.2(m). § 110.20 Prohibition on contributions, donations, expenditures, inde- (7) Safe Harbor. For purposes of para- pendent expenditures, and dis- graph (a)(4)(iii) of this section, a person bursements by foreign nationals (52 shall be deemed to have conducted a U.S.C. 30121, 36 U.S.C. 510). reasonable inquiry if he or she seeks (a) Definitions. For purposes of this and obtains copies of current and valid section, the following definitions U.S. passport papers for U.S. citizens apply: who are contributors or donors de- (1) Disbursement has the same mean- scribed in paragraphs (a)(5)(i) through ing as in 11 CFR 300.2(d). (iv) of this section. No person may rely (2) Donation has the same meaning as on this safe harbor if he or she has ac- in 11 CFR 300.2(e). tual knowledge that the source of the (3) Foreign national means— funds solicited, accepted, or received is (i) A foreign principal, as defined in a foreign national. 22 U.S.C. 611(b); or (b) Contributions and donations by for- (ii) An individual who is not a citizen eign nationals in connection with elec- of the United States and who is not tions. A foreign national shall not, di- lawfully admitted for permanent resi- rectly or indirectly, make a contribu- dence, as defined in 8 U.S.C. 1101(a)(20); tion or a donation of money or other however, thing of value, or expressly or (iii) Foreign national shall not include impliedly promise to make a contribu- any individual who is a citizen of the tion or a donation, in connection with United States, or who is a national of any Federal, State, or local election. the United States as defined in 8 U.S.C. (c) Contributions and donations by for- 1101(a)(22). eign nationals to political committees and (4) Knowingly means that a person organizations of political parties. A for- must: eign national shall not, directly or in- (i) Have actual knowledge that the directly, make a contribution or dona- source of the funds solicited, accepted tion to: or received is a foreign national; (1) A political committee of a polit- (ii) Be aware of facts that would lead ical party, including a national party a reasonable person to conclude that committee, a national congressional there is a substantial probability that campaign committee, or a State, dis- the source of the funds solicited, ac- trict, or local party committee, includ- cepted or received is a foreign national; ing a non-Federal account of a State, or district, or local party committee, or (iii) Be aware of facts that would lead (2) An organization of a political a reasonable person to inquire whether party whether or not the organization the source of the funds solicited, ac- is a political committee under 11 CFR cepted or received is a foreign national, 100.5.

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(d) Contributions and donations by for- (j) Donations by foreign nationals to in- eign nationals for office buildings. A for- augural committees. A foreign national eign national shall not, directly or in- shall not, directly or indirectly, make directly, make a contribution or dona- a donation to an inaugural committee, tion to a committee of a political party as defined in 11 CFR 104.21(a)(1). No for the purchase or construction of an person shall knowingly accept from a office building. See 11 CFR 300.10 and foreign national any donation to an in- 300.35. augural committee. (e) Disbursements by foreign nationals [67 FR 69950, Nov. 19, 2002, as amended at 69 for electioneering communications. A for- FR 59780, Oct. 6, 2004] eign national shall not, directly or indirectly, make any disbursement for an PART 111—COMPLIANCE PROCE- electioneering communication as de- DURE (52 U.S.C. 30109, fined in 11 CFR 100.29. 30107(a)) (f) Expenditures, independent expenditures, or disbursements by foreign nation- Subpart A—Enforcement als in connection with elections. A foreign national shall not, directly or in- Sec. directly, make any expenditure, inde- 111.1 Scope (52 U.S.C. 30109). pendent expenditure, or disbursement 111.2 Computation of time. in connection with any Federal, State, 111.3 Initiation of compliance matters (52 U.S.C. 30109(a)(1), (2)). or local election. 111.4 Complaints (52 U.S.C. 30109(a)(1)). (g) Solicitation, acceptance, or receipt 111.5 Initial complaint processing; notifica- of contributions and donations from for- tion (52 U.S.C. 30109(a)(1)). eign nationals. No person shall know- 111.6 Opportunity to demonstrate that no ingly solicit, accept, or receive from a action should be taken on complaint-gen- foreign national any contribution or erated matters (52 U.S.C. 30109(a)(1)). 111.7 General Counsel’s recommendation on donation prohibited by paragraphs (b) complaint-generated matters (52 U.S.C. through (d) of this section. 30109(a)(1)). (h) Providing substantial assistance. (1) 111.8 Internally generated matters; referrals No person shall knowingly provide sub- (52 U.S.C. 30109(a)(2)). stantial assistance in the solicitation, 111.9 The reason to believe finding; notifica- making, acceptance, or receipt of a tion (52 U.S.C. 30109(a)(2)). 111.10 Investigation (52 U.S.C. 30109(a)(2)). contribution or donation prohibited by 111.11 Written questions under order (52 paragraphs (b) through (d), and (g) of U.S.C. 30107(a)(1)). this section. 111.12 Subpoenas and subpoenas duces (2) No person shall knowingly provide tecum; depositions (52 U.S.C. 30107(a)(3), substantial assistance in the making of (4)). an expenditure, independent expendi- 111.13 Service of subpoenas, orders and noti- ture, or disbursement prohibited by fications (52 U.S.C. 30107(a)(3), (4)). 111.14 Witness fees and mileage (52 U.S.C. paragraphs (e) and (f) of this section. 30107(a)(5)). (i) Participation by foreign nationals in 111.15 Motions to quash or modify a sub- decisions involving election-related activi- poena (52 U.S.C. 30107(a)(3), (4)). ties. A foreign national shall not direct, 111.16 The probable cause to believe rec- dictate, control, or directly or indi- ommendation; briefing procedures (52 rectly participate in the decision-mak- U.S.C. 30109(a)(3)). 111.17 The probable cause to believe finding; ing process of any person, such as a notification (52 U.S.C. 30109(a)(4)). corporation, labor organization, polit- 111.18 Conciliation (52 U.S.C. 30109(a)(4)). ical committee, or political organiza- 111.19 Civil proceedings (52 U.S.C. tion with regard to such person’s Fed- 30109(a)(6)). eral or non-Federal election-related ac- 111.20 Public disclosure of Commission activities, such as decisions concerning tion (52 U.S.C. 30109(a)(4)). the making of contributions, dona- 111.21 Confidentiality (52 U.S.C. tions, expenditures, or disbursements 30109(a)(12)). 111.22 Ex parte communications. in connection with elections for any 111.23 Representation by counsel; notifica- Federal, State, or local office or deci- tion. sions concerning the administration of 111.24 Civil Penalties (52 U.S.C. 30109(a)(5), a political committee. (6), (12), 28 U.S.C. 2461 nt.).

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Subpart B—Administrative Fines Subpart A—Enforcement 111.30 When will subpart B apply? § 111.1 Scope (52 U.S.C. 30109). 111.31 Does this subpart replace subpart A of this part for violations of the report- These regulations provide procedures ing requirements of 52 U.S.C. 30104(a)? for processing possible violations of the 111.32 How will the Commission notify re- Federal Election Campaign Act of 1971, spondents of a reason to believe finding as amended (52 U.S.C. 30101, et seq.) and and a proposed civil money penalty? chapters 95 and 96 of the Internal Rev- 111.33 What are the respondent’s choices upon receiving the reason to believe find- enue Code of 1954 (26 U.S.C. 9001, et seq. ing and the proposed civil money pen- and 9031 et seq.). alty? [45 FR 15120, Mar. 7, 1980, as amended at 79 111.34 If the respondent decides to pay the FR 77847, Dec. 29, 2014] civil money penalty and not to challenge the reason to believe finding, what § 111.2 Computation of time. should the respondent do? 111.35 If the respondent decides to challenge (a) General rule. In computing any pe- the alleged violation or proposed civil riod of time prescribed or allowed by money penalty, what should the respond- this part, the day of the act, event, or ent do? default from which the designated pe- 111.36 Who will review the respondent’s riod of time begins to run shall not be written response? included. The last day of the period so 111.37 What will the Commission do once it receives the respondent’s written re- computed shall be included, unless it is sponse and the reviewing officer’s rec- a Saturday, a Sunday, or a legal holi- ommendation? day. As used in this section, the term 111.38 Can the respondent appeal the Com- legal holiday includes New Year’s Day, mission’s final determination? President’s Day, Memorial Day, Inde- 111.39 When must the respondent pay the pendence Day, Labor Day, Columbus civil money penalty? Day, Veterans Day, Thanksgiving Day, 111.40 What happens if the respondent does Christmas Day, and any other day ap- not pay the civil money penalty pursu- pointed as a holiday for employees of ant to 11 CFR 111.34 and does not submit a written response to the reason to be- the United States by the President or lieve finding pursuant to 11 CFR 111.35? the Congress of the United States. 111.41 [Reserved] (b) Special rule for periods less than 111.42 Will the enforcement file be made seven days. When the period of time available to the public? prescribed or allowed is less than seven 111.43 What are the schedules of penalties? (7) days, intermediate Saturdays, Sun- 111.44 What is the schedule of penalties for days, and legal holidays shall be ex- 48-hour notices that are not filed or are cluded in the computation. filed late? 111.45 [Reserved] (c) Special rule for service by mail. 111.46 How will the respondent be notified of Whenever the Commission or any per- actions taken by the Commission and the son has the right or is required to do reviewing officer? some act within a prescribed period after the service of any paper by or Subpart C—Collection of Debts Arising upon the Commission or such person From Enforcement and Administration and the paper is served by or upon the of Campaign Finance Laws Commission or such person by mail, three (3) days shall be added to the pre- 111.50 Purpose and scope. 111.51 Debts that are covered. scribed period. 111.52 Administrative collection of claims. 111.53 Litigation by the Commission. § 111.3 Initiation of compliance mat- 111.54 Bankruptcy claims. ters (52 U.S.C. 30109(a)(1), (2)). 111.55 Interest, penalties, and administra- (a) Compliance matters may be initi- tive costs. ated by a complaint or on the basis of AUTHORITY: 52 U.S.C. 30102(i), 30109, information ascertained by the Com- 30107(a), 30111(a)(8); 28 U.S.C. 2461 note; 31 mission in the normal course of car- U.S.C. 3701, 3711, 3716–3719, and 3720A, as rying out its supervisory responsibil- amended; 31 CFR parts 285 and 900–904. ities. SOURCE: 45 FR 15120, Mar. 7, 1980, unless (b) Matters initiated by complaint otherwise noted. are subject to the provisions of 11 CFR

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111.4 through 111.7. Matters initiated on § 111.5 Initial complaint processing; the basis of information ascertained by notification (52 U.S.C. 30109(a)(1)). the Commission in the normal course (a) Upon receipt of a complaint, the of carrying out its supervisory respon- General Counsel shall review the com- sibilities are subject to the provisions plaint for substantial compliance with of 11 CFR 111.8. All compliance matters the technical requirements of 11 CFR are subject to the provisions of 11 CFR 111.4, and, if it complies with those re- 111.2 and 111.9 through 111.23. quirements shall within five (5) days after receipt notify each respondent § 111.4 Complaints (52 U.S.C. that the complaint has been filed, ad- 30109(a)(1)). vise them of Commission compliance (a) Any person who believes that a procedures, and enclose a copy of the violation of any statute or regulation complaint. over which the Commission has juris- (b) If a complaint does not comply diction has occurred or is about to with the requirements of 11 CFR 111.4, occur may file a complaint in writing the General Counsel shall so notify the to the General Counsel, Federal Elec- complainant and any person(s) or enti- tion Commission, 999 E Street, NW., ty(ies) identified therein as respond- Washington, DC 20463. If possible, three ent(s), within the five (5) day period (3) copies should be submitted. specified in 11 CFR 111.5(a), that no ac- (b) A complaint shall comply with tion shall be taken on the basis of that the following: complaint. A copy of the complaint (1) It shall provide the full name and shall be enclosed with the notification address of the complainant; and to each respondent. (2) The contents of the complaint shall be sworn to and signed in the § 111.6 Opportunity to demonstrate presence of a notary public and shall be that no action should be taken on notarized. complaint-generated matters (52 U.S.C. 30109 (a)(1)). (c) All statements made in a complaint are subject to the statutes gov- (a) A respondent shall be afforded an erning perjury and to 18 U.S.C. 1001. opportunity to demonstrate that no ac- The complaint should differentiate be- tion should be taken on the basis of a tween statements based upon personal complaint by submitting, within fif- knowledge and statements based upon teen (15) days from receipt of a copy of information and belief. the complaint, a letter or memo- (d) The complaint should conform to randum setting forth reasons why the the following provisions: Commission should take no action. (1) It should clearly identify as a re- (b) The Commission shall not take spondent each person or entity who is any action, or make any finding, alleged to have committed a violation; against a respondent other than action (2) Statements which are not based dismissing the complaint, unless it has upon personal knowledge should be ac- considered such response or unless no companied by an identification of the such response has been served upon the source of information which gives rise Commission within the fifteen (15) day to the complainants belief in the truth period specified in 11 CFR 111.6(a). of such statements; § 111.7 General Counsel’s rec- (3) It should contain a clear and con- ommendation on complaint-gen- cise recitation of the facts which de- erated matters (52 U.S.C. scribe a violation of a statute or regu- 30109(a)(1). lation over which the Commission has (a) Following either the expiration of jurisdiction; and the fifteen (15) day period specified by (4) It should be accompanied by any 11 CFR 111.6(a) or the receipt of a re- documentation supporting the facts al- sponse as specified by 11 CFR 111.6(a), leged if such documentation is known whichever occurs first, the General of, or available to, the complainant. Counsel may recommend to the Com- [45 FR 15120, Mar. 7, 1980, as amended at 50 mission whether or not it should find FR 50778, Dec. 12, 1985] reason to believe that a respondent has

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committed or is about to commit a vio- § 111.9 The reason to believe finding; lation of statutes or regulations over notification (52 U.S.C. 30109(a)(2)). which the Commission has jurisdiction. (a) If the Commission, either after re- (b) The General Counsel may rec- viewing a complaint-generated recommend that the Commission find that ommendation as described in 11 CFR there is no reason to believe that a vio- 111.7 and any response of a respondent lation has been committed or is about submitted pursuant to 11 CFR 111.6, or to be committed, or that the Commis- after reviewing an internally-generated sion otherwise dismiss a complaint recommendation as described in 11 CFR without regard to the provisions of 11 111.8, determines by an affirmative CFR 111.6(a). vote of four (4) of its members that it has reason to believe that a respondent § 111.8 Internally generated matters; has violated a statute or regulation referrals (52 U.S.C. 30109(a)(2)). over which the Commission has juris- (a) On the basis of information diction, its Chairman or Vice Chairman ascertained by the Commission in the shall notify such respondent of the normal course of carrying out its su- Commission’s finding by letter, setting pervisory responsibilities, or on the forth the sections of the statute or reg- basis of a referral from an agency of ulations alleged to have been violated the United States or of any state, the and the alleged factual basis sup- General Counsel may recommend in porting the finding. writing that the Commission find rea- (b) If the Commission finds no reason son to believe that a person or entity to believe, or otherwise terminates its has committed or is about to commit a proceedings, the General Counsel shall violation of statutes or regulations so advise both complainant and re- over which the Commission has juris- spondent by letter. diction. (b) If the Commission finds reason to § 111.10 Investigation (52 U.S.C. 30109 (a)(2)). believe that a violation has occurred or is about to occur the notification to re- (a) An investigation shall be con- spondent required by 11 CFR 111.9(a) ducted in any case in which the Com- shall include a copy of a staff report mission finds reason to believe that a setting forth the legal basis and the al- violation of a statute or regulation leged facts which support the Commis- over which the Commission has juris- sion’s action. diction has occurred or is about to (c) Prior to taking any action pursu- occur. ant to this section against any person (b) In its investigation, the Commis- who has failed to file a disclosure re- sion may utilize the provisions of 11 port required by 11 CFR 104.5(a)(1)(iii) CFR 111.11 through 111.15. The inves- for the calendar quarter immediately tigation may include, but is not lim- preceding the election involved or by ited to, field investigations, audits, and § 104.5(a)(1)(i), the Commission shall no- other methods of information-gath- tify such person of failure to file the ering. required reports. If a satisfactory re- § 111.11 Written questions under order sponse is not received within four (4) (52 U.S.C. 30107(a)(1)). business days, the Commission shall The Commission may authorize its publish before the election the name of Chairman or Vice Chairman to issue an the person and the report or reports order requiring any person to submit such person has failed to file. sworn written answers to written ques- (d) Notwithstanding §§ 111.9 through tions and may specify a date by which 111.19, for violations of 52 U.S.C. such answers must be submitted. 30104(a),the Commission, when appropriate, may review internally gen- § 111.12 Subpoenas and subpoenas erated matters under subpart B of this duces tecum; depositions (52 U.S.C. part. 30107(a)(3), (4)). [45 FR 15120, Mar. 7, 1980, as amended at 45 (a) The Commission may authorize FR 21210, Apr. 1, 1980; 65 FR 31794, May 19, its Chairman or Vice Chairman to issue 2000; 79 FR 77848, Dec. 29, 2014] subpoenas requiring the attendance

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and testimony of any person by deposi- his or her last known address, or by tion and to issue subpoenas duces any other method whereby actual no- tecum for the production of documen- tice is given. tary or other tangible evidence in connection with a deposition or otherwise. § 111.14 Witness fees and mileage (52 (b) If oral testimony is ordered to be U.S.C. 30107 (a)(5)). taken by deposition or documents are Witnesses subpoenaed to appear for ordered to be produced, the subpoena depositions shall be paid the same fees shall so state and shall advise the depo- and mileage as witnesses in the courts nent or person subpoenaed that all tes- of the United States. Such fees may be timony will be under oath. A deposi- tendered at the time the witness ap- tion may be taken before any person pears for such deposition, or within a having the power to administer oaths. reasonable time thereafter. (c) The Federal Rules of Civil Proce- dure, Rule 30(e), shall govern the op- § 111.15 Motions to quash or modify a portunity to review and sign deposi- subpoena (52 U.S.C. 30107(a)(3), (4)). tions taken pursuant to this section. (a) Any person to whom a subpoena is directed may, prior to the time speci- § 111.13 Service of subpoenas, orders fied therein for compliance, but in no and notifications (52 U.S.C. event more than 5 days after the date 30107(a)(3), (4)). of receipt of such subpoena, apply to (a) Service of a subpoena, order or the Commission to quash or modify notification upon a person named such subpoena, accompanying such ap- therein shall be made by delivering a plication with a brief statement of the copy to that person in the manner de- reasons therefor. Motions to quash scribed by 11 CFR 111.13 (b), (c), and (d). shall be filed with the General Counsel, In the case of subpoenas, fees for one Federal Election Commission, 999 E day’s attendance and mileage shall be Street, NW., Washington, DC 20463. If tendered as specified in 11 CFR 111.14. possible, three (3) copies should be sub- (b) Whenever service is to be made mitted. upon a person who has advised the (b) The Commission may deny the ap- Commission of representation by an at- plication or quash the subpoena or torney pursuant to 11 CFR 111.23, the modify the subpoena. service shall be made upon the attor- (c) The person subpoenaed and the ney by any of the methods specified in General Counsel may agree to change 11 CFR 111.13(c). the date, time, or place of a deposition (c) Delivery of subpoenas, orders and or for the production of documents notifications to a natural person may without affecting the force and effect be made by handing a copy to the per- of the subpoena, but such agreements son, or leaving a copy at his or her of- shall be confirmed in writing. fice with the person in charge thereof, [45 FR 15120, Mar. 7, 1980, as amended at 50 by leaving a copy at his or her dwelling FR 50778, Dec. 12, 1985] place or usual place of abode with some person of suitable age and discretion § 111.16 The probable cause to believe residing therein, or by mailing a copy recommendation; briefing proce- by registered or certified mail to his or dures (52 U.S.C. 30109 (a)(3)). her last known address, or by any other (a) Upon completion of the investiga- method whereby actual notice is given. tion, the General Counsel shall prepare (d) When the person to be served is a brief setting forth his or her position not a natural person delivery of sub- on the factual and legal issues of the poenas, orders and notifications may case and containing a recommendation be made by mailing a copy by reg- on whether or not the Commission istered or certified mail to the person should find probable cause to believe at its place of business or by handing a that a violation has occurred or is copy to a registered agent for service, about to occur. or to any officer, director, or agent in (b) The General Counsel shall notify charge of any office of such person, or each respondent of the recommenda- by mailing a copy by registered or cer- tion and enclose a copy of his or her tified mail to such representative at brief.

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(c) Within fifteen (15) days from re- by the affirmative vote of four (4) ceipt of the General Counsel’s brief, re- members of the Commission. spondent may file a brief with the (c) If the probable cause to believe Commission Secretary, Federal Elec- finding is made within forty-five days tion Commission, 999 E Street, NW., prior to any election, such conciliation Washington, DC 20463, setting forth re- attempt shall continue for at least fif- spondent’s position on the factual and teen (15) days from the date of such legal issues of the case. If possible, ten finding. In all other cases such at- (10) copies of such brief should be filed tempts by the Commission shall con- with the Commission Secretary and tinue for at least thirty (30) days, not three (3) copies should be submitted to to exceed ninety (90) days. the General Counsel, Federal Election (d) Nothing in these regulations shall Commission, 999 E Street, NW., Wash- be construed to prevent the Commis- ington, DC 20463. sion from entering into a conciliation (d) After reviewing the respondent’s agreement with a respondent prior to a brief, the General Counsel shall advise Commission finding of probable cause the Commission in writing whether he if a respondent indicates by letter to or she intends to proceed with the rec- the General Counsel a desire to enter ommendation or to withdraw the rec- into negotiations directed towards ommendation from Commission consid- reaching such a conciliation agree- eration. ment. However, the Commission is not [45 FR 15120, Mar. 7, 1980, as amended at 50 required to enter into any negotiations FR 50778, Dec. 12, 1985] directed towards reaching a conciliation agreement unless and until it § 111.17 The probable cause to believe makes a finding of probable cause to finding; notification (52 U.S.C. believe. Any conciliation agreement 30109(a)(4)). reached under this subsection is sub- (a) If the Commission, after having ject to the provisions of subsection (b) found reason to believe and after fol- of this section and shall have the same lowing the procedures set forth in 11 force and effect as a conciliation agree- CFR 111.16, determines by an affirma- ment reached after a Commission find- tive vote of four (4) of its members that ing of probable cause to believe. there is probable cause to believe that (e) If a conciliation agreement is a respondent has violated a statute or reached between the Commission and regulation over which the Commission the respondent, the General Counsel has jurisdiction, the Commission shall shall send a copy of the signed agree- authorize the General Counsel to so no- ment to both complainant and respond- tify the respondent by letter. ent. (b) If the Commission finds no probable cause to believe or otherwise or- § 111.19 Civil proceedings (52 U.S.C. ders a termination of Commission pro- 30109(a)(6)). ceedings, it shall authorize the General (a) If no conciliation agreement is fi- Counsel to so notify both respondent nalized within the applicable minimum and complainant by letter. period specified by 11 CFR 111.18(c) the General Counsel may recommend to § 111.18 Conciliation (52 U.S.C. the Commission that the Commission 30109(a)(4)). authorize a civil action for relief in an (a) Upon a Commission finding of appropriate court of the United States. probable cause to believe, the Office of (b) Upon recommendation of the Gen- General Counsel shall attempt to cor- eral Counsel, the Commission may, by rect or prevent the violation by infor- an affirmative vote of four (4) of its mal methods of conference conciliation members, authorize the General Coun- and persuasion, and shall attempt to sel to commence a civil action for re- reach a tentative conciliation agree- lief in an appropriate court of the ment with the respondent. United States. (b) A conciliation agreement is not (c) The provisions of 11 CFR 111.18(c) binding upon either party unless and shall not preclude the Commission until it is signed by the respondent and upon request of a respondent, from en- by the General Counsel upon approval tering into a conciliation agreement

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even after a recommendation to file a derived in connection with conciliation civil action has been made pursuant to efforts pursuant to 11 CFR 111.18, may this section. Any conciliation agree- be made public by the Commission ex- ment reached under this subsection is cept upon a written request by re- subject to the provisions of 11 CFR spondent and approval thereof by the 111.18(b) and shall have the same force Commission. and effect as a conciliation agreement (c) Nothing in these regulations shall reached under 11 CFR 111.18(c). be construed to prevent the introduction of evidence in the courts of the § 111.20 Public disclosure of Commis- United States which could properly be sion action (52 U.S.C. 30109(a)(4)). introduced pursuant to the Federal (a) If the Commission makes a find- Rules of Evidence or Federal Rules of ing of no reason to believe or no prob- Civil Procedure. able cause to believe or otherwise terminates its proceedings, it shall make § 111.22 Ex parte communications. public such action and the basis therefor no later than thirty (30) days from (a) In order to avoid the possibility of the date on which the required notifi- prejudice, real or apparent, to the pub- cations are sent to complainant and re- lic interest in enforcement actions spondent. pending before the Commission pursu- (b) If a conciliation agreement is fi- ant to 11 CFR part 111, except to the nalized, the Commission shall make extent required for the disposition of public such conciliation agreement ex parte matters as required by law forthwith. (for example, during the normal course (c) For any compliance matter in of an investigation or a conciliation ef- which a civil action is commenced, the fort), no interested person outside the Commission will make public the non- agency shall make or cause to be made exempt 52 U.S.C. 30109 investigatory to any Commissioner or any member of materials in the enforcement and liti- any Commissioner’s staff any ex parte gation files no later than thirty (30) communication relative to the factual days from the date on which the Com- or legal merits of any enforcement ac- mission sends the complainant and the tion, nor shall any Commissioner or respondent(s) the required notification member of any Commissioner’s staff of the final disposition of the civil ac- make or entertain any such ex parte tion. The final disposition may consist communications. of a judicial decision which is not re- (b) The prohibition of this regulation viewed by a higher court. shall apply from the time a complaint is filed with the Commission pursuant [45 FR 15120, Mar. 7, 1980, as amended at 65 FR 31794, May 19, 2000; 79 FR 77848, Dec. 29, to 11 CFR part 111 or from the time 2014] that the Commission determines on the basis of information ascertained in the § 111.21 Confidentiality (52 U.S.C. normal course of its supervisory re- 30109(a)(12)). sponsibilities that it has reason to be- (a) Except as provided in 11 CFR lieve that a violation has occurred or 111.20, no complaint filed with the may occur pursuant to 11 CFR part 111, Commission, nor any notification sent and remains in force until the Commis- by the Commission, nor any investiga- sion has finally concluded all action tion conducted by the Commission, nor with respect to the enforcement matter any findings made by the Commission in question. shall be made public by the Commis- (c) Nothing in this section shall be sion or by any person or entity without construed to prohibit contact between the written consent of the respondent a respondent or respondent’s attorney with respect to whom the complaint and any attorney or staff member of was filed, the notification sent, the in- the Office of General Counsel in the vestigation conducted, or the finding course of representing the Commission made. or the respondent with respect to an (b) Except as provided in 11 CFR enforcement proceeding or civil action. 111.20(b), no action by the Commission No statement made by such a Commis- or by any person, and no information sion attorney or staff member during

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any such communication shall bind or $65,000 or 1,000% of the amount of any estop the Commission in any way. contribution involved in the violation. (b) Any Commission member or em- § 111.23 Representation by counsel; no- ployee, or any other person, who in vio- tification. lation of 52 U.S.C. 30109(a)(12)(A) makes (a) If a respondent wishes to be rep- public any notification or investiga- resented by counsel with regard to any tion under 52 U.S.C. 30109 without re- matter pending before the Commission, ceiving the written consent of the per- respondent shall so advise the Commis- son receiving such notification, or the sion by sending a letter of representa- person with respect to whom such in- tion signed by the respondent, which vestigation is made, shall be fined not letter shall state the following: more than $3,200. Any such member, (1) The name, address, and telephone employee, or other person who know- number of the counsel; ingly and willfully violates this provi- (2) A statement authorizing such sion shall be fined not more than $7,500. counsel to receive any and all notifica- [62 FR 11317, Mar. 12, 1997; 62 FR 18167, Apr. tions and other communications from 14, 1997; 65 FR 31794, May 19, 2000; 67 FR 76977, the Commission on behalf of respond- Dec. 13, 2002; 70 FR 34635, June 15, 2005; 74 FR ent. 31347, July 1, 2009; 78 FR 44420, July 24, 2013; (b) Upon receipt of a letter of rep- 79 FR 77848, Dec. 29, 2014] resentation, the Commission shall have no contact with respondent except Subpart B—Administrative Fines through the designated counsel unless authorized in writing by respondent. SOURCE: 65 FR 31794, May 19, 2000, unless otherwise noted. § 111.24 Civil Penalties (52 U.S.C. 30109(a)(5), (6), (12), 28 U.S.C. 2461 nt.). § 111.30 When will subpart B apply? (a) Except as provided in 11 CFR part Subpart B applies to violations of the 111, subpart B and in paragraph (b) of reporting requirements of 52 U.S.C. this section, a civil penalty negotiated 30104(a) committed by political com- by the Commission or imposed by a mittees and their treasurers that re- court for a violation of the Act or late to the reporting periods that begin chapters 95 or 96 of title 26 (26 U.S.C.) on or after July 14, 2000, and that end shall be as follows: on or before the date specified by 52 (1) Except as provided in paragraph U.S.C. 30109(a)(4)(C)(v). This subpart, (a)(2) of this section, in the case of a however, does not apply to reports that violation of the Act or chapters 95 or 96 relate to reporting periods that end be- of title 26 (26 U.S.C.), the civil penalty tween January 1, 2014, and January 21, shall not exceed the greater of $7,500 or 2014. an amount equal to any contribution [79 FR 3303, Jan. 21, 2014, as amended at 79 or expenditure involved in the viola- FR 77848, Dec. 29, 2014] tion. (2)Knowing and willful violations. (i) In § 111.31 Does this subpart replace sub- the case of a knowing and willful viola- part A of this part for violations of tion of the Act or chapters 95 or 96 of the reporting requirements of 52 title 26 (26 U.S.C.), the civil penalty U.S.C. 30104(a)? shall not exceed the greater of $16,000 (a) No; §§ 111.1 through 111.8 and 111.20 or an amount equal to 200% of any con- through 111.24 shall apply to all com- tribution or expenditure involved in pliance matters. This subpart will the violation. apply, rather than §§ 111.9 through (ii) Notwithstanding paragraph 111.19, when the Commission, on the (a)(2)(i) of this section, in the case of a basis of information ascertained by the knowing and willful violation of 52 Commission in the normal course of U.S.C. 30122,the civil penalty shall not carrying out its supervisory respon- be less than 300% of the amount of any sibilities, and when appropriate, deter- contribution involved in the violation mines that the compliance matter and shall not exceed the greater of should be subject to this subpart. If the

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Commission determines that the viola- § 111.33 What are the respondent’s tion should not be subject to this sub- choices upon receiving the reason part, then the violation will be subject to believe finding and the proposed to all sections of subpart A of this part. civil money penalty? (b) Subpart B will apply to compli- The respondent must either send pay- ance matters resulting from a comment in the amount of the proposed plaint filed pursuant to 11 CFR 111.4 civil money penalty pursuant to 11 through 111.7 if the complaint alleges a CFR 111.34 or submit a written re- violation of 52 U.S.C. 30104(a). If the sponse pursuant to 11 CFR 111.35. complaint alleges violations of any § 111.34 If the respondent decides to other provision of any statute or regu- pay the civil money penalty and not lation over which the Commission has to challenge the reason to believe jurisdiction, subpart A will apply to finding, what should the respond- the alleged violations of these other ent do? provisions. (a) The respondent shall transmit payment in the amount of the civil [65 FR 31794, May 19, 2000, as amended at 79 money penalty to the Commission FR 77848, Dec. 29, 2014] within forty (40) days of the Commis- sion’s reason to believe finding. § 111.32 How will the Commission no- (b) Upon receipt of the respondent’s tify respondents of a reason to believe finding and a proposed civil payment, the Commission shall send money penalty? the respondent a final determination that the respondent has violated the If the Commission determines, by an statute or regulations and the amount affirmative vote of at least four (4) of of the civil money penalty and an ac- its members, that it has reason to be- knowledgment of the respondent’s pay- lieve that a respondent has violated 52 ment. U.S.C. 30104(a), the Chairman or Vice- Chairman shall notify such respondent § 111.35 If the respondent decides to of the Commission’s finding. The writ- challenge the alleged violation or proposed civil money penalty, what ten notification shall set forth the fol- should the respondent do? lowing: (a) To challenge a reason to believe (a) The alleged factual and legal finding or proposed civil money pen- basis supporting the finding including alty, the respondent must submit a the type of report that was due, the fil- written response to the Commission ing deadline, the actual date filed (if within forty (40) days of the Commis- filed), and the number of days the re- sion’s reason to believe finding. port was late (if filed); (b) The respondent’s written response (b) The applicable schedule of pen- must assert at least one of the fol- alties; lowing grounds for challenging the rea- (c) The number of times the respond- son to believe finding or proposed civil ent has been assessed a civil money money penalty: penalty under this subpart during the (1) The Commission’s reason to be- current two-year election cycle and the lieve finding is based on a factual error prior two-year election cycle; including, but not limited to, the com- (d) The amount of the proposed civil mittee was not required to file the re- money penalty based on the schedules port, or the committee timely filed the of penalties set forth in 11 CFR 111.43 report in accordance with 11 CFR or 111.44; and 100.19; (2) The Commission improperly cal- (e) An explanation of the respond- culated the civil money penalty; or ent’s right to challenge both the reason (3) The respondent used best efforts to believe finding and the proposed to file in a timely manner in that: civil money penalty. (i) The respondent was prevented [65 FR 31794, May 19, 2000, as amended at 79 from filing in a timely manner by rea- FR 77848, Dec. 29, 2014] sonably unforeseen circumstances that were beyond the control of the respondent; and

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(ii) The respondent filed no later cer. The reviewing officer will be enti- than 24 hours after the end of these cir- tled to draw an adverse inference from cumstances. the failure by the respondent to submit (c) Circumstances that will be con- the supplemental information. sidered reasonably unforeseen and be- (c) All documents required to be sub- yond the control of respondent include, mitted by the respondents pursuant to but are not limited to: this section and § 111.35 should be sub- (1) A failure of Commission committed in the form of affidavits or dec- puters or Commission-provided soft- larations. ware despite the respondent seeking (d) If the Commission staff, after the technical assistance from Commission respondent files a written response pur- personnel and resources; suant to § 111.35, forwards any addi- (2) A widespread disruption of infor- tional documents pertaining to the mation transmissions over the Internet matter to the reviewing officer for his not caused by any failure of the Com- or her examination, the reviewing offi- mission’s or respondent’s computer cer shall also furnish a copy of the doc- systems or Internet service provider; ument(s) to the respondents. and (3) Severe weather or other disaster- (e) Upon completion of the review, related incident. the reviewing officer shall forward a (d) Circumstances that will not be written recommendation to the Com- considered reasonably unforeseen and mission along with all documents re- beyond the control of respondent in- quired under this section and 11 CFR clude, but are not limited to: 111.32 and 111.35. (1) Negligence; (f) The reviewing office shall also for- (2) Delays caused by committee ven- ward a copy of the recommendation to dors or contractors; the respondent. The respondent may (3) Illness, inexperience, or unavail- file with the Commission Secretary a ability of the treasurer or other staff; written response to the recommenda- (4) Committee computer, software or tion within ten (10) days of transmittal Internet service provider failures; of the recommendation. This response (5) A committee’s failure to know fil- may not raise any arguments not ing dates; and raised in the respondent’s original (6) A committee’s failure to use filing written response or not directly re- software properly. sponsive to the reviewing officer’s rec- (e) Respondent’s written response ommendation. must detail the factual basis supporting its challenge and include sup- § 111.37 What will the Commission do porting documentation. once it receives the respondent’s written response and the reviewing [72 FR 14667, Mar. 29, 2007] officer’s recommendation? § 111.36 Who will review the respond- (a) If the Commission, after having ent’s written response? found reason to believe and after re- (a) A reviewing officer shall review viewing the respondent’s written re- the respondent’s written response. The sponse and the reviewing officer’s rec- reviewing officer shall be a person who ommendation, determines by an af- has not been involved in the reason to firmative vote of at least four (4) of its believe finding. members, that the respondent has vio- (b) The reviewing officer shall review lated 52 U.S.C. 30104(a) and the amount the reason to believe finding with sup- of the civil money penalty, the Com- porting documentation and the re- mission shall authorize the reviewing spondent’s written response with sup- officer to notify the respondent by let- porting documentation. The reviewing ter of its final determination. officer may request supplemental in- (b) If the Commission, after review- formation from the respondent and/or ing the reason to believe finding, the the Commission staff. The respondent respondent’s written response, and the shall submit the supplemental infor- reviewing officer’s written rec- mation to the reviewing officer within ommendation, determines by an af- a time specified by the reviewing offi- firmative vote of at least four (4) of its

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members, that no violation has oc- of the United States, the respondent curred (either because the Commission must remit payment of the civil money had based its reason to believe finding penalty within thirty (30) days of re- on a factual error or because the receipt of the Commission’s final deter- spondent used best efforts to file in a mination under 11 CFR 111.37. timely manner) or otherwise termi- (b) If the respondent submits a writ- nates its proceedings, the Commission ten petition to the district court of the shall authorize the reviewing officer to United States and, upon the final dis- notify the respondent by letter of its position of the civil action, is required final determination. to pay a civil money penalty, the re- (c) The Commission will modify the spondent shall remit payment of the proposed civil money penalty only if civil money penalty to the Commission the respondent is able to demonstrate within thirty (30) days of the final dis- that the amount of the proposed civil position of the civil action. The final money penalty was calculated on an in- disposition may consist of a judicial correct basis. decision which is not reviewed by a (d) When the Commission makes a higher court. final determination under this section, (c) Failure to pay the civil money the statement of reasons for the Com- penalty may result in the commence- mission action will, unless otherwise ment of collection action under 31 indicated by the Commission, consist U.S.C. 3701 et seq. (1996), or a civil suit of the reasons provided by the review- pursuant to 52 U.S.C. 30109(a)(6)(A), or ing officer for the recommendation, if any other legal action deemed nec- approved by the Commission, although essary by the Commission. statements setting forth additional or different reasons may also be issued. If [65 FR 31794, May 19, 2000, as amended at 79 the reviewing officer’s recommenda- FR 77848, Dec. 29, 2014] tion is modified or not approved, the Commission will indicate the grounds § 111.40 What happens if the respond- for its action and one or more state- ent does not pay the civil money ments of reasons may be issued. penalty pursuant to 11 CFR 111.34 and does not submit a written re- [65 FR 31794, May 19, 2000, as amended at 72 sponse to the reason to believe find- FR 14668, Mar. 29, 2007; 79 FR 77848, Dec. 29, ing pursuant to 11 CFR 111.35? 2014] (a) If the Commission, after the re- § 111.38 Can the respondent appeal the spondent has failed to pay the civil Commission’s final determination? money penalty and has failed to submit Yes; within thirty (30) days of receipt a written response, determines by an of the Commission’s final determina- affirmative vote of at least four (4) of tion under 11 CFR 111.37, the respond- its members that the respondent has ent may submit a written petition to violated 52 U.S.C. 30104(a) and deter- the district court of the United States mines the amount of the civil money for the district in which the respondent penalty, the respondent shall be noti- resides, or transacts business, request- fied by letter of its final determina- ing that the final determination be tion. modified or set aside. The respondent’s (b) The respondent shall transmit failure to raise an argument in a time- payment of the civil money penalty to ly fashion during the administrative the Commission within thirty (30) days process shall be deemed a waiver of the of receipt of the Commission’s final de- respondent’s right to present such ar- termination. gument in a petition to the district (c) Failure to pay the civil money court under 52 U.S.C. 30109. penalty may result in the commencement of collection action under 31 [65 FR 31794, May 19, 2000, as amended at 79 U.S.C. 3701 et seq. (1996), or a civil suit FR 77848, Dec. 29, 2014] pursuant to 52 U.S.C. 30109(a)(6)(A), or § 111.39 When must the respondent any other legal action deemed nec- pay the civil money penalty? essary by the Commission. (a) If the respondent does not submit [65 FR 31794, May 19, 2000, as amended at 79 a written petition to the district court FR 77848, Dec. 29, 2014]

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§ 111.41 [Reserved] (c) If a civil action is commenced, the Commission shall make the enforce- § 111.42 Will the enforcement file be ment file available pursuant to 11 CFR made available to the public? 111.20(c). (a) Yes; the Commission shall make § 111.43 What are the schedules of pen- the enforcement file available to the alties? public. (a) The civil money penalty for all (b) If neither the Commission nor the reports that are filed late or not filed, respondent commences a civil action, except election sensitive reports and the Commission shall make the en- pre-election reports under 11 CFR 104.5, forcement file available to the public shall be calculated in accordance with pursuant to 11 CFR 4.4(a)(3). the following schedule of penalties:

If the level of activity in And the report was filed late, the civil money Or the report was not filed, the civil money pen- the report was: penalty is: alty is:

$1–4,999.99 a ...... [$27.50 + ($5 × Number of days late)] × [1 + (.25 $275 × [1 + (.25 × Number of previous viola- × Number of previous violations)]. tions)]. $5,000–9,999.99 ...... [$55 + ($5 × Number of days late)] × [1 + (.25 × $330 × [1 + (.25 × Number of previous viola- Number of previous violations)]. tions)]. $10,000–24,999.99 ...... [$110 + ($5 × Number of days late)] × [1 + (.25 × $550 × [1 + (.25 × Number of previous viola- Number of previous violations)]. tions)]. $25,000–49,999.99 ...... [$200 + ($20 × Number of days late)] × [1 + (.25 $1090 × [1 + (.25 × Number of previous viola- × Number of previous violations)]. tions)]. $50,000–74,999.99 ...... [$330 + ($92.50 × Number of days late)] × [1 + $2970 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $75,000–99,999.99 ...... [$440 + ($110 × Number of days late)] × [1 + $3850 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $100,000–149,999.99 ..... [$660 + ($125 × Number of days late)] × [1 + $4950 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $150,000–199,999.99 ..... [$980 + ($150 × Number of days late)] × [1 + $6050 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $200,000–249,999.99 ..... [$1100 + ($175 × Number of days late)] × [1 + $7150 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $250,000–349,999.99 ..... [$1500 + ($200 × Number of days late)] × [1 + $9800 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $350,000–449,999.99 ..... [$2000 + ($200 × Number of days late)] × [1 + $10,900 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $450,000–549,999.99 ..... [$2750 + ($200 × Number of days late)] × [1 + $10,450 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $550,000–649,999.99 ..... [$3300 + ($200 × Number of days late)] × [1 + $11,000 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $650,000–749,999.99 ..... [$3850 + ($200 × Number of days late)] × [1 + $11,550 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $750,000–849,999.99 ..... [$4400 + ($200 × Number of days late)] × [1 + $12,100 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $850,000–949,999.99 ..... [$4950 + ($200 × Number of days late)] × [1 + $12,650 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $950,000 or over ...... [$5500 + ($200 × Number of days late)] × [1 + $13,200 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. a The civil money penalty for a respondent who does not have any previous violations will not exceed the level of activity in the report.

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

If the level of activity in And the report was filed late, the civil money Or the report was not filed, the civil money pen- the report was: penalty is: alty is:

$1–$4,999.99 a ...... [$55 + ($10 × Number of days late)] × [1 + (.25 × $550 × [1 + (.25 × Number of previous viola- Number of previous violations)]. tions)]. $5,000–$9,999.99 ...... [$110 + ($10 × Number of days late)] × [1 + (.25 $660 × [1 + (.25 × Number of previous viola- × Number of previous violations)]. tions)]. $10,000–24,999.99 ...... [$150 + ($10 × Number of days late)] × [1 + (.25 $1090 × [1 + (.25 × Number of previous viola- × Number of previous violations)]. tions)]. $25,000–49,999.99 ...... [$330 + ($27.50 × Number of days late)] × [1 + $1,400 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)].

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If the level of activity in And the report was filed late, the civil money Or the report was not filed, the civil money pen- the report was: penalty is: alty is:

$50,000–74,999.99 ...... [$495 + ($92.50 × Number of days late)] × [1 + $3300 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $75,000–99,999.99 ...... [$660 + ($110 × Number of days late)] × [1 + $4400 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $100,000–149,999.99 ..... [$1090 + ($125 × Number of days late)] × [1 + $5500 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $150,000–199,999.99 ..... [$1200 + ($150 × Number of days late)] × [1 + $6600 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $200,000–249,999.99 ..... [$1500 + ($175 × Number of days late)] × [1 + $9250 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $250,000–349,999.99 ..... [$2475 + ($200 × Number of days late)] × [1 + $10,900 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $350,000–449,999.99 ..... [$3300 + ($200 × Number of days late)] × [1 + $11,000 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $450,000–549,999.99 ..... [$4125 + ($200 × Number of days late)] × [1 + $12,100 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $550,000–649,999.99 ..... [$4950 + ($200 × Number of days late)] × [1 + $13,200 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $650,000–749,999.99 ..... [$5775 + ($200 × Number of days late)] × [1 + $14,300 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $750,000–849,999.99 ..... [$6600 + ($200 × Number of days late)] × [1 + $15,400 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $850,000–949,999.99 ..... [$7425 + ($200 × Number of days late)] × [1 + $16,500 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. $950,000 or over ...... [$9250 + ($200 × Number of days late)] × [1 + $17,600 × [1 + (.25 × Number of previous viola- (.25 × Number of previous violations)]. tions)]. a The civil money penalty for a respondent who does not have any previous violations will not exceed the level of activity in the report.

(c) If the respondent fails to file a re- activity for an authorized committee quired report and the Commission can- means total receipts and disbursements not calculate the level of activity reported in the prior two-year election under paragraph (d) of this section, cycle divided by the number of reports then the civil money penalty shall be filed covering the activity in the prior $6,050. two-year election cycle. (d) Definitions. For this section only, (ii)(A) For an unauthorized com- the following definitions will apply: mittee, estimated level of activity is (1) Election Sensitive Reports means calculated as follows: [(Total receipts third quarter reports due on October and disbursements reported in the cur- 15th before the general election (for all rent two-year cycle)—(Transfers re- committees required to file this report ceived from non-Federal account(s) as except committees of candidates who reported on Line 18(a) of FEC Form 3X do not participate in that general elec- Disbursements for the non-Federal tion); monthly reports due October share of operating expenditures attrib- 20th before the general election (for all utable to allocated Federal/non-Fed- committees required to file this report eral activity as reported on Line except committees of candidates who 21(a)(ii) of FEC Form 3X)] ÷ Number of do not participate in that general elec- reports filed to date covering the activ- tion); and pre-election reports for pri- ity in the current two-year election mary, general, and special elections cycle. under 11 CFR 104.5. (B) If the unauthorized committee (2) Estimated level of activity means: has not filed a report covering activity (i) For an authorized committee, in the current two-year election cycle, total receipts and disbursements reported in the current two-year election the estimated level of activity is cal- cycle divided by the number of reports culated as follows: [(Total receipts and filed to date covering the activity in disbursements reported in the prior the current two-year election cycle. If two-year election cycle)—(Transfers re- the respondent has not filed a report ceived from non-Federal account(s) as covering activity in the current two- reported on Line 18(a) of FEC Form 3X year election cycle, estimated level of Disbursements for the non-Federal

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share of operating expenditures attrib- to four (4) days before the special elec- utable to allocated Federal/non-Fed- tion for pre-special election reports or eral activity as reported on Line prior to four (4) days before the general 21(a)(ii) of FEC Form 3X)] ÷ Number of election for all other election sensitive reports filed covering the activity in reports. the prior two-year election cycle. (3) Level of activity means: [65 FR 31794, May 19, 2000, as amended at 68 FR 12577, Mar. 17, 2003; 70 FR 34636, June 15, (i) For an authorized committee, the 2005; 74 FR 31348, July 1, 2009; 74 FR 37161, total amount of receipts and disburse- July 28, 2009; 78 FR 44421, July 24, 2013] ments for the period covered by the late report. If the report is not filed, § 111.44 What is the schedule of pen- the level of activity is the estimated alties for 48-hour notices that are level of activity as set forth in para- not filed or are filed late? graph (d)(2)(i) of this section. (a) If the respondent fails to file (ii) For an unauthorized committee, timely a notice regarding contribu- the total amount of receipts and dis- tion(s) received after the 20th day but bursements for the period covered by more than 48 hours before the election the late report minus the total of: as required under 52 U.S.C. 30104(a)(6), Transfers received from non-Federal the civil money penalty will be cal- account(s) as reported on Line 18(a) of culated as follows: FEC Form 3X and disbursements for (1) Civil money penalty = $110 + (.10 × the non-Federal share of operating ex- amount of the contribution(s) not penditures attributable to allocated timely reported). Federal/non-Federal activity as reported on Line 21(a)(ii) of FEC Form 3X (2) The civil money penalty cal- for the period covered by the late re- culated in paragraph (a)(1) of this sec- port. If the report is not filed, the level tion shall be increased by twenty-five of activity is the estimated level of ac- percent (25%) for each prior violation. tivity as set forth in paragraph (b) For purposes of this section, prior (d)(2)(ii) of this section. violation means a final civil money (4) Number of previous violations means penalty that has been assessed against all prior final civil money penalties as- the respondent under this subpart in sessed under this subpart during the the current two-year election cycle or current two-year election cycle and the the prior two-year election cycle. prior two-year election cycle. [65 FR 31794, May 19, 2000, as amended at 70 (e) For purposes of the schedules of FR 34636, June 15, 2005; 74 FR 31349, July 1, penalties in paragraphs (a) and (b) of 2009; 79 FR 77848, Dec. 29, 2014] this section, (1) Reports that are not election sen- § 111.45 [Reserved] sitive reports are considered to be filed late if they are filed after their due § 111.46 How will the respondent be dates but within thirty (30) days of notified of actions taken by the their due dates. These reports are con- Commission and the reviewing offi- sidered to be not filed if they are filed cer? after thirty (30) days of their due dates If a statement designating counsel or not filed at all. has been filed in accordance with 11 (2) Election sensitive reports are con- CFR 111.23, all notifications and other sidered to be filed late if they are filed communications to a respondent pro- after their due dates but prior to four vided for in subpart B of this part will (4) days before the primary election for be sent to designated counsel. If a pre-primary reports, prior to four (4) statement designating counsel has not days before the special election for pre- been filed, all notifications and other special election reports, or prior to communications to a respondent pro- four (4) days before the general elec- vided for in subpart B of this part will tion for all other election sensitive re- be sent to respondent political com- ports. These reports are considered to mittee and its treasurer at the polit- be not filed if they are not filed prior ical committee’s address as listed in to four (4) days before the primary the most recent Statement of Organi- election for pre-primary reports, prior zation, or amendment thereto, filed

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with the Commission in accordance (5) Repayment of public funds under with 11 CFR 102.2. the Presidential Primary Matching Payment Account Act, 26 U.S.C. 9031 et [68 FR 12580, Mar. 17, 2003] seq. (b) The procedures covered by this Subpart C—Collection of Debts subpart do not apply to any of the fol- Arising From Enforcement and lowing debts: Administration of Campaign (1) Debts that result from adminis- Finance Laws trative activities of the Commission that are governed by 11 CFR part 8. SOURCE: 75 FR 19876, Apr. 16, 2010, unless (2) Debts involving criminal actions otherwise noted. of fraud, the presentation of a false claim, or misrepresentation on the part § 111.50 Purpose and scope. of the debtor or any other person hav- Subpart C prescribes standards and ing an interest in the claim. procedures under which the Commis- (3) Debts based in whole or in part on sion will collect and dispose of certain conduct in violation of the antitrust debts owed to the United States, as de- laws. scribed in 11 CFR 111.51. The regula- (4) Debts under the Internal Revenue tions in this subpart implement the Code of 1986. Debt Collection Improvement Act of (5) Debts between the Commission 1996, 31 U.S.C. 3701, 3711, and 3716–3720A, and another Federal agency. The Com- as amended; and the Federal Claims mission will attempt to resolve inter- Collection Standards, 31 CFR parts 900– agency claims by negotiation in ac- 904. The activities covered include: The cordance with Executive Order 12146, 3 collection of claims of any amount; CFR pp. 409–12 (1980 Comp.). compromising claims; suspending or (6) Debts that have become subject to terminating the collection of claims; salary offset under 5 U.S.C. 5514. and referring debts to the U.S. Depart- [75 FR 19876, Apr. 16, 2010, as amended at 79 ment of the Treasury for collection ac- FR 16663, Mar. 26, 2014; 79 FR 77848, Dec. 29, tion. 2014]

§ 111.51 Debts that are covered. § 111.52 Administrative collection of (a) The procedures of this subpart C claims. of part 111 apply to claims for payment (a) The Commission shall act to col- or debt arising from, or ancillary to, lect all claims or debts. These collec- any action undertaken by or on behalf tion activities will be undertaken of the Commission in furtherance of ef- promptly and follow up action will be forts to ensure compliance with the taken as appropriate in accordance Federal Election Campaign Act, 52 with 31 CFR 901.1. U.S.C. 30101 et seq., as amended, and to (b) The Commission may take any administer the Presidential Election and all appropriate collection actions Campaign Fund Act, 26 U.S.C. 9001 et authorized and required by the Debt seq., or the Presidential Primary Collection Act of 1982, as amended by Matching Payment Account Act, 26 the Debt Collection Improvement Act U.S.C. 9031 et seq., and Commission reg- of 1996, 31 U.S.C. 3701 et seq. The U.S. ulations, including: Department of the Treasury regula- (1) Negotiated civil penalties in en- tions at 31 CFR 285.2, 285.4, 285.7, and forcement matters and alternative dis- 285.11, and the Federal Claims Collec- pute resolution matters; tion Standards issued jointly by the (2) Civil money penalties assessed Department of Justice and the U.S. De- under the administrative fines pro- partment of the Treasury at 31 CFR gram; parts 900–904, also apply. The Commis- (3) Claims reduced to judgment in the sion has adopted these regulations by courts and that are no longer in litiga- cross-reference. tion; (c) The Commission will refer to the (4) Repayments of public funds under Dept. of Treasury all debt that has the Presidential Election Campaign been delinquent for more than 180 days, Fund Act, 26 U.S.C. 9001 et seq.; or and may refer to the Dept. of Treasury

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any debt that has been delinquent for costs on debts owed to the United 180 days or less. On behalf of the Com- States Government, pursuant to 31 mission, the U.S. Department of the U.S.C. 3717. Interest, penalties, and ad- Treasury will attempt to collect the ministrative costs will be assessed in debt, in accordance with the statutory accordance with 31 CFR 901.9. and regulatory requirements and au- (b) The Commission shall waive col- thorities applicable to the debt and ac- lection of interest and administrative tion. This may include referral to an- costs on a debt or any portion of the other debt collection center, or a pri- debt that is paid within thirty days vate collection contractor. See 31 CFR after the date on which the interest be- 285.12 (Transfer of debts to Treasury for gins to accrue. collection). This requirement does not (c) The Commission may waive col- apply to any debt that: lection of interest, penalties, and ad- (1) Is in litigation or foreclosure; ministrative costs if it: (2) Will be disposed of under an ap- (1) Determines that collection is proved asset sale program; against equity and good conscience or (3) Has been referred to a private col- not in the best interest of the United lection contractor for a period of time States, including when an administra- acceptable to the U.S. Department of tive offset or installment agreement is the Treasury; or in effect; or (4) Will be collected under internal (2) Determines that waiver is appro- offset procedures within three years priate under the criteria for com- after the debt first became delinquent. promise of debts set forth at 31 CFR (d) The U.S. Department of the 902.2(a). Treasury is authorized to charge a fee (d) The Commission is authorized to for services rendered regarding referred impose interest and related charges on or transferred debts. The Commission debts not subject to 31 U.S.C. 3717, in will add the fee to the debt as an ad- accordance with common law. ministrative cost, in accordance with 11 CFR 111.55. PART 112—ADVISORY OPINIONS § 111.53 Litigation by the Commission. (52 U.S.C. 30108) Nothing in this subpart C precludes Sec. the Commission from filing suit in the 112.1 Requests for advisory opinions (52 appropriate court to enforce compli- U.S.C. 30108(a)(1)). ance with a conciliation agreement 112.2 Public availability of requests (52 under 52 U.S.C. 30109(a)(5)(D), seek a U.S.C. 30108(d)). civil money penalty under 52 U.S.C. 112.3 Written comments on requests (52 U.S.C. 30108(d)). 30109(a)(6), petition the court for a con- 112.4 Issuance of advisory opinions (52 tempt order under 52 U.S.C. 30109(a)(11), U.S.C. 30108(a) and (b)). or otherwise exercise its authority to 112.5 Reliance on advisory opinions (52 enforce or administer the statutes U.S.C. 30108(c)). specified in 11 CFR 111.51(a). 112.6 Reconsideration of advisory opinions. [75 FR 19876, Apr. 16, 2010, as amended at 79 AUTHORITY: 52 U.S.C. 30108, 30111(a)(8). FR 77848, Dec. 29, 2014] SOURCE: 45 FR 15123, Mar. 7, 1980, unless otherwise noted. § 111.54 Bankruptcy claims. When the Commission learns that a § 112.1 Requests for advisory opinions bankruptcy petition has been filed by a (52 U.S.C. 30108(a)(1)). debtor, before proceeding with further (a) Any person may request in writ- collection action, the Commission will ing an advisory opinion concerning the take any necessary action in accord- application of the Act, chapters 95 or 96 ance with the provision of 31 CFR of the Internal Revenue Code of 1954, or 901.2(h). any regulation prescribed by the Com- mission. An authorized agent of the re- § 111.55 Interest, penalties, and admin- questing person may submit the advi- istrative costs. sory opinion request, but the agent (a) The Commission shall assess in- shall disclose the identity of his or her terest, penalties, and administrative principal.

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(b) The written advisory opinion re- lowing the date the request is made quest shall set forth a specific trans- public at the Commission. However, if action or activity that the requesting the 10th calendar day falls on a Satur- person plans to undertake or is pres- day, Sunday, or Federal holiday, the 10 ently undertaking and intends to un- day period ends at the close of the busi- dertake in the future. Requests pre- ness day next following the weekend or senting a general question of interpre- holiday. Additional time for submis- tation, or posing a hypothetical situa- sion of written comments may be tion, or regarding the activities of granted upon written request for an ex- third parties, do not qualify as advi- tension by the person who wishes to sory opinion requests. submit comments or may be granted (c) Advisory opinion requests shall by the Commission without an exten- include a complete description of all sion request. facts relevant to the specific trans- (c) Comments on advisory opinion re- action or activity with respect to quests should refer to the AOR number which the request is made. of the request, and statutory references (d) The Office of General Counsel should be to the United States Code ci- shall review all requests for advisory tations, rather than to Public Law ci- opinions submitted under 11 CFR 112.1. tations. If the Office of General Counsel deter- (d) Written comments and requests mines that a request for an advisory for additional time to comment shall opinion is incomplete or otherwise not be sent to the Federal Election Com- qualified under 11 CFR 112.1, it shall, mission, Office of General Counsel, 999 within 10 calendar days of receipt of E Street, NW., Washington, DC 20463. such request, notify the requesting per- (e) Before it issues an advisory opin- son and specify the deficiencies in the ion the Commission shall accept and request. consider all written comments sub- (e) Advisory opinion requests should mitted within the 10 day comment pe- be sent to the Federal Election Com- riod or any extension thereof. mission, Office of General Counsel, 999 [45 FR 15123, Mar. 7, 1980, as amended at 50 E Street, NW., Washington, DC 20463. FR 50778, Dec. 12, 1985] (f) Upon receipt by the Commission, each request which qualifies as an advi- § 112.4 Issuance of advisory opinions sory opinion request (AOR) under 11 (52 U.S.C. 30108(a) and (b)). CFR 112.1 shall be assigned an AOR (a) Within 60 calendar days after re- number for reference purposes. ceiving an advisory opinion request [45 FR 15123, Mar. 7, 1980, as amended at 50 that qualifies under 11 CFR 112.1, the FR 50778, Dec. 12, 1985] Commission shall issue to the requesting person a written advisory opinion § 112.2 Public availability of requests or shall issue a written response stat- (52 U.S.C. 30108(d)). ing that the Commission was unable to (a) Advisory opinion requests which approve an advisory opinion by the re- qualify under 11 CFR 112.1 shall be quired affirmative vote of 4 members. made public at the Commission (b) The 60 calendar day period of 11 promptly upon their receipt. CFR 112.4(a) is reduced to 20 calendar (b) A copy of the original request and days for an advisory opinion request any supplements thereto, shall be qualified under 11 CFR 112.1 provided available for public inspection and pur- the request: chase at the Public Disclosure Division (1) Is submitted by any candidate, in- of the Commission. cluding any authorized committee of the candidate (or agent of either), § 112.3 Written comments on requests within the 60 calendar days preceding (52 U.S.C. 30108(d)). the date of any election for Federal of- (a) Any interested person may sub- fice in which the candidate is seeking mit written comments concerning ad- nomination or election; and visory opinion requests made public at (2) Presents a specific transaction or the Commission. activity related to the election that (b) The written comments shall be may invoke the 20 day period if the submitted within 10 calendar days fol- connection is explained in the request.

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(c) The 60 day and 20 day periods re- (b) Notwithstanding any other provi- ferred to in 11 CFR 112.4 (a) and (b) sion of law, any person who relies upon only apply when the Commission has an advisory opinion in accordance with received a qualified and complete advi- 11 CFR 112.5(a) and who acts in good sory opinion request under 11 CFR faith in accordance with that advisory 112.1, and when the 60th or 20th day oc- opinion shall not, as a result of any curs on a Saturday, Sunday or Federal such act, be subject to any sanction holiday, the respective period ends at provided by the Federal Election Cam- the close of the business day next fol- paign Act of 1971, as amended, or by lowing the weekend or holiday. chapters 95 or 96 of the Internal Rev- (d) The Commission may issue advi- enue Code of 1954. sory opinions pertaining only to the Federal Election Campaign Act of 1971, § 112.6 Reconsideration of advisory as amended, chapters 95 or 96 of the In- opinions. ternal Revenue Code of 1954, or rules or (a) The Commission may reconsider regulations duly prescribed under those an advisory opinion previously issued if statutes. the person to whom the opinion was (e) Any rule of law which is not stat- issued submits a written request for re- ed in the Act or in chapters 95 or 96 of consideration within 30 calendar days the Internal Revenue Code of 1954, or in of receipt of the opinion and if, upon a regulation duly prescribed by the the motion of a Commissioner who Commission, may be initially proposed voted with the majority that originally only as a rule or regulation pursuant approved the opinion, the Commission to procedures established in 52 U.S.C. adopts the motion to reconsider by the 30111(d) or 26 U.S.C. 9009(c) and 9039(c) affirmative vote of 4 members. as applicable. (b) The Commission may reconsider (f) No opinion of an advisory nature an advisory opinion previously issued may be issued by the Commission or if, upon the motion of a Commissioner any of its employees except in accord- who voted with the majority that ance with 11 CFR part 112; however, originally approved the opinion and this limitation does not preclude dis- within 30 calendar days after the date tribution by the Commission of infor- the Commission approved the opinion, mation consistent with the Act and the Commission adopts the motion to chapters 95 or 96 of the Internal Rev- reconsider by the affirmative vote of 4 enue Code of 1954. members. (g) When issued by the Commission, (c) In the event an advisory opinion each advisory opinion or other re- is reconsidered pursuant to 11 CFR sponse under 11 CFR 112.4(a) shall be 112.6(b), the action taken in good faith made public and sent by mail, or per- reliance on that advisory opinion by sonally delivered to the person who re- the person to whom the opinion was quested the opinion. issued shall not result in any sanction provided by the Act or chapters 95 or 96 [45 FR 15123, Mar. 7, 1980, as amended at 79 FR 77849, Dec. 29, 2014] of the Internal Revenue Code of 1954. 11 CFR 112.6(c) shall not be effective after § 112.5 Reliance on advisory opinions the date when the person to whom the (52 U.S.C. 30108(c)). advisory opinion was issued has re- (a) An advisory opinion rendered by ceived actual notice of the Commis- the Commission under 11 CFR part 112 sion’s decision to reconsider that advi- may be relied upon by: sory opinion. (1) Any person involved in the spe- (d) Adoption of a motion to recon- cific transaction or activity with re- sider vacates the advisory opinion to spect to which such advisory opinion is which it relates. rendered, and (2) Any person involved in any spe- PART 113—PERMITTED AND PRO- cific transaction or activity which is HIBITED USES OF CAMPAIGN indistinguishable in all its material as- ACCOUNTS pects from the transaction or activity with respect to which such advisory Sec. opinion is rendered. 113.1 Definitions (52 U.S.C. 30114).

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113.2 Permissible non-campaign use of funds (g) Personal use. Personal use means (52 U.S.C. 30114). any use of funds in a campaign account 113.3 Deposits of funds donated to a Federal of a present or former candidate to ful- or State officeholder (52 U.S.C. 30102(h)). 113.4 Contribution and expenditure limita- fill a commitment, obligation or ex- tions (52 U.S.C. 30116). pense of any person that would exist ir- 113.5 Restrictions on use of campaign funds respective of the candidate’s campaign for flights on noncommercial aircraft (52 or duties as a Federal officeholder. U.S.C. 30114(c)). (1)(i) Personal use includes but is not AUTHORITY: 52 U.S.C. 30102(h), 30111(a)(8), limited to the use of funds in a cam- 30114, and 30116. paign account for any item listed in paragraphs (g)(1)(i)(A) through (J) of SOURCE: 45 FR 15124, Mar. 7, 1980, unless otherwise noted. this section: (A) Household food items or supplies. § 113.1 Definitions (52 U.S.C. 30114). (B) Funeral, cremation or burial ex- When used in this part— penses except those incurred for a can- (a) Funds donated. Funds donated didate (as defined in 11 CFR 100.3) or an means all funds, including, but not lim- employee or volunteer of an authorized ited to, gifts, loans, advances, credits committee whose death arises out of, or deposits of money which are donated or in the course of, campaign activity. for the purpose of supporting the ac- (C) Clothing, other than items of de tivities of a Federal or State office- minimis value that are used in the cam- holder; but does not mean funds appro- paign, such as campaign ‘‘T-shirts’’ or priated by Congress, a State legisla- caps with campaign slogans. ture, or another similar public appro- (D) Tuition payments, other than priating body, or personal funds of the those associated with training cam- officeholder donated to an account con- paign staff. taining only those personal funds. (E) Mortgage, rent or utility pay- (b) Office account. Office account ments— means an account established for the (1) For any part of any personal resi- purposes of supporting the activities of dence of the candidate or a member of a Federal or State officeholder which the candidate’s family; or contains campaign funds and funds do- (2) For real or personal property that nated, but does not include an account is owned by the candidate or a member used exclusively for funds appropriated of the candidate’s family and used for by Congress, a State legislature, or an- campaign purposes, to the extent the other similar public appropriating payments exceed the fair market value body, or an account of the officeholder of the property usage. which contains only the personal funds (F) Admission to a sporting event, of the officeholder. concert, theater or other form of enter- (c) Federal officeholder. Federal office- tainment, unless part of a specific cam- holder means an individual elected to paign or officeholder activity. or serving in the office of President or (G) Dues, fees or gratuities at a coun- Vice President of the United States; or try club, health club, recreational fa- a Senator or a Representative in, or cility or other nonpolitical organiza- Delegate or Resident Commissioner to, tion, unless they are part of the costs the Congress of the United States. of a specific fundraising event that (d) State officeholder. State officeholder takes place on the organization’s prem- means an individual elected to or serv- ises. ing in any elected public office within (H) Salary payments to a member of a State of the United States, the Dis- the candidate’s family, unless the fam- trict of Columbia, the Commonwealth ily member is providing bona fide serv- of Puerto Rico or any subdivision ices to the campaign. If a family mem- thereof. ber provides bona fide services to the (e) [Reserved] campaign, any salary payment in ex- (f) Qualified Member. Qualified Member cess of the fair market value of the means an individual who was serving services provided is personal use. as a Senator or Representative in, or (I) Salary payments by a candidate’s Delegate or Resident Commissioner to, principal campaign to a candidate in Congress, on January 8, 1980. excess of the lesser of: the minimum

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salary paid to a Federal officeholder personal use. Examples of such other holding the Federal office that the can- uses include: didate seeks; or the earned income that (A) Legal expenses; the candidate received during the year (B) Meal expenses; prior to becoming a candidate. Any (C) Travel expenses, including sub- earned income that a candidate re- sistence expenses incurred during trav- ceives from salaries or wages from any el. If a committee uses campaign funds other source shall count against the to pay expenses associated with travel foregoing limit of the minimum salary that involves both personal activities paid to a Federal officeholder holding and campaign or officeholder-related the Federal office that the candidate activities, the incremental expenses seeks. The candidate must provide in- that result from the personal activities come tax records from the relevant are personal use, unless the person(s) years and other evidence of earned in- benefiting from this use reimburse(s) come upon the request of the Commis- the campaign account within thirty sion. Salary shall not be paid to a can- days for the amount of the incremental didate before the filing deadline for ac- expenses, and cess to the primary election ballot for (D) Vehicle expenses, unless they are the Federal office that the candidate a de minimis amount. If a committee seeks, as determined by State law, or uses campaign funds to pay expenses in those states that do not conduct pri- associated with a vehicle that is used maries, on January 1 of each even- for both personal activities beyond a de numbered year. See 11 CFR 100.24(a)(1)(i). If the candidate wins the minimis amount and campaign or office- primary election, his or her principal holder-related activities, the portion of campaign committee may pay him or the vehicle expenses associated with her a salary from campaign funds the personal activities is personal use, through the date of the general elec- unless the person(s) using the vehicle tion, up to and including the date of for personal activities reimburse(s) the any general election runoff. If the can- campaign account within thirty days didate loses the primary, withdraws for the expenses associated with the from the race, or otherwise ceases to be personal activities. a candidate, no salary payments may (2) Charitable donations. Donations of be paid beyond the date he or she is no campaign funds or assets to an organi- longer a candidate. In odd-numbered zation described in section 170(c) of years in which a special election for a Title 26 of the United States Code are Federal office occurs, the principal not personal use, unless the candidate campaign committee of a candidate for receives compensation from the organi- that office may pay him or her a salary zation before the organization has ex- from campaign funds starting on the pended the entire amount donated for date the special election is set and end- purposes unrelated to his or her per- ing on the day of the special election. sonal benefit. See 11 CFR 100.24(a)(1)(ii). During the (3) Transfers of campaign assets. The time period in which a principal cam- transfer of a campaign committee paign committee may pay a salary to a asset is not personal use so long as the candidate under this paragraph, such transfer is for fair market value. Any payment must be computed on a pro- depreciation that takes place before rata basis. A Federal officeholder, as the transfer must be allocated between defined in 11 CFR 100.5(f)(1), must not the committee and the purchaser based receive salary payments as a candidate on the useful life of the asset. from campaign funds. (4) Gifts. Gifts of nominal value and (J) A vacation. donations of a nominal amount made (ii) The Commission will determine, on a special occasion such as a holiday, on a case-by-case basis, whether other graduation, marriage, retirement, or uses of funds in a campaign account death are not personal use, unless fulfill a commitment, obligation or ex- made to a member of the candidate’s pense that would exist irrespective of family. the candidate’s campaign or duties as a (5) Political or officially connected ex- Federal officeholder, and therefore are penses. The use of campaign funds for

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an expense that would be a political ex- (7) Members of the candidate’s family. pense under the rules of the United For the purposes of paragraph (g) of States House of Representatives or an this section, the candidate’s family in- officially connected expense under the cludes: rules of the United States Senate is not (i) The spouse of the candidate; personal use to the extent that the ex- (ii) Any child, step-child, parent, pense is an expenditure under subpart grandparent, sibling, half-sibling or D of part 100 or an ordinary and nec- step-sibling of the candidate or the essary expense incurred in connection candidate’s spouse; with the duties of a holder of Federal (iii) The spouse of any child, step- office. Any use of funds that would be child, parent, grandparent, sibling, personal use under paragraph (g)(1) of half-sibling or step-sibling of the can- this section will not be considered an didate; and expenditure under subpart D of part 100 (iv) A person who shares a residence or an ordinary and necessary expense with the candidate. incurred in connection with the duties (8) Recordkeeping. For those uses of of a holder of Federal office. campaign funds described in para- (6) Third party payments. Notwith- graphs (g)(1)(i) and (g)(1)(ii) of this sec- standing that the use of funds for a tion that involve both personal use and particular expense would be a personal either campaign or office-holder use, a use under this section, payment of that contemporaneous log or other record expense by any person other than the must be kept to document the dates candidate or the campaign committee and expenses related to the personal shall be a contribution under subpart B use of the campaign funds. The log of part 100 to the candidate unless the must be updated whenever campaign payment would have been made irre- funds are used for personal expenses, as spective of the candidacy. Examples of described in paragraph (g)(1) of this payments considered to be irrespective section, rather than for campaign or of the candidacy include, but are not office-holder expenses. The log or other limited to, situations where— record must also be maintained and (i) The payment is a donation to a preserved for 3 years after the report legal expense trust fund established in disclosing the disbursement is filed, accordance with the rules of the United pursuant to 11 CFR 102.9 and 104.14(b). States Senate or the United States [45 FR 15124, Mar. 7, 1980, as amended at 56 House of Representatives; FR 34126, July 25, 1991; 60 FR 7874, Feb. 9, (ii) The payment is made from funds 1995; 67 FR 38361, June 4, 2002; 67 FR 76978, that are the candidate’s personal funds Dec. 13, 2002; 73 FR 79602, Dec. 30, 2008; 75 FR as defined in 11 CFR 100.33, including 32, Jan. 4, 2010; 79 FR 77849, Dec. 29, 2014] an account jointly held by the candidate and a member of the candidate’s § 113.2 Permissible non-campaign use family; of funds (52 U.S.C. 30114). (iii) Payments for that expense were In addition to defraying expenses in made by the person making the pay- connection with a campaign for federal ment before the candidate became a office, funds in a campaign account or candidate. Payments that are com- an account described in 11 CFR 113.3: pensation shall be considered contribu- (a) May be used to defray any ordi- tions unless— nary and necessary expenses incurred (A) The compensation results from in connection with the recipient’s du- bona fide employment that is genuinely ties as a holder of Federal office, if ap- independent of the candidacy; plicable, including: (B) The compensation is exclusively (1) The costs of travel by the recipi- in consideration of services provided by ent Federal officeholder and an accom- the employee as part of this employ- panying spouse to participate in a ment; and function directly connected to bona fide (C) The compensation does not ex- official responsibilities, such as a fact- ceed the amount of compensation finding meeting or an event at which which would be paid to any other simi- the officeholder’s services are provided larly qualified person for the same through a speech or appearance in an work over the same period of time. official capacity; and

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(2) The costs of winding down the of- (B) The Member may add the value of fice of a former Federal officeholder for debts and loans reported as owed to the a period of 6 months after he or she Member’s authorized committee(s) as leaves office; or of November 30, 1989, and itemized on (b) May be contributed to any organi- the committee(s)’ year end reports for zation described in section 170(c) of 1989, to the unobligated balance, pro- Title 26, of the United States Code; or vided that such receivables are actu- (c) May be transferred without limi- ally collected by the committee(s) tation to any national, State, or local prior to their termination. committee of any political party; or (C) The Member may add to the un- (d) May be donated to State and local obligated balance the value of vendor candidates subject to the provisions of credits and deposit refunds to which State law; or (e) May be used for any other lawful authorized campaign committee(s) are purpose, unless such use is personal use entitled, if these receivables are under 11 CFR 113.1(g). itemized on Schedule C or D of the (f)(1) Except as limited by paragraph committee(s)’ 1989 year end reports or (f)(5) of this section, a qualified Mem- in amendment(s) thereto. ber who serves in the 102d or an earlier (2) If the unobligated balance subse- Congress may convert to personal use quently falls below its November 30, no more than the unobligated balance 1989, level, a qualified Member may use of excess funds as of November 30, 1989. contributions lawfully received or This unobligated balance shall be cal- other lawful committee income re- culated under either paragraph (f)(1)(i) ceived after that date to restore the ac- or (ii) of this section. count up to that level. (i) Cash assets the Member may con- (3) A qualified Member may convert vert any excess campaign or donated committee assets which were not held funds in an amount up to the Member’s on November 30, 1989, to personal use; authorized committee(s)’ cash on hand, however, the fair market value of such determined under 11 CFR 104.3(a)(1), as assets at the time of conversion shall of November 30, 1989, less the com- be counted against the unobligated bal- mittee(s)’ total outstanding debts as of ance. that date. (4) Under no circumstances may an (ii) Cash Plus Nonliquid Assets. (A) The Member may convert unliquidated amount greater than the unobligated committee assets held by his or her au- balance on November 30, 1989, be con- thorized committee(s) on November 30, verted to personal use. Should money 1989; or the value of such assets may be from subsequent contributions, other added to the value of the committee(s)’ committee income, and/or the sale of cash assets under paragraph (f)(1)(i) of campaign assets exceed the amount this section to determine the amount needed to restore the unobligated bal- which is eligible for conversion. In ei- ance to its November 30, 1989, level, ther case, prior to conversion, the com- such additional funds shall not be con- mittee shall amend its 1989 year end re- verted to personal use but may be used ports to indicate, as memo entries to for the purposes set forth in paragraphs Schedule A, the assets to be converted. (a), (b), and (c) of this section. These amendments shall list each (5) 103d Congress or later Congress: A asset, give its date of acquisition, its qualified Member who serves in the fair market value as of November 30, 103d Congress or a later Congress may 1989, and a brief narrative description not convert to personal use any cam- of how this value was ascertained. The paign or donated funds, as of the first committee shall also disclose the dis- day of such service. position made of each such asset, in- (g) Nothing in this section modifies cluding its fair market value on the or supersedes other Federal statutory date of sale or other disposition, in its termination report, unless the asset restrictions or relevant State laws that was sold or otherwise disposed of dur- may apply to the use of campaign or ing an earlier period and included in the report covering that period.

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donated funds by candidates or Federal (2) Noncommercial travel as provided officeholders. in 11 CFR 100.93(a)(3)(v), and the pro rata share per campaign traveler of the [45 FR 15124, Mar. 7, 1980, as amended at 56 normal and usual charter fare or rental FR 34126, July 25, 1991; 60 FR 7875, Feb. 9, 1995; 67 FR 76979, Dec. 13, 2002; 72 FR 56247, charge for travel on a comparable air- Oct. 3, 2007] craft of comparable size, as provided in 11 CFR 100.93(c), is paid by the can- § 113.3 Deposits of funds donated to a didate, the authorized committee, or Federal or State officeholder (52 other political committee on whose be- U.S.C. 30102(h)). half the travel is conducted, to the All funds donated to a federal office- owner, lessee, or other person who pro- holder, or State officeholder who is a vides the aircraft within seven cal- candidate for federal office, shall be de- endar days after the date the flight posited into one of the following ac- began, except as provided in 11 CFR counts: 100.93(b)(3); or (a) An account of the officeholder’s (3) Provided by the Federal govern- principal campaign committee or other ment or by a State or local govern- authorized committee pursuant to 11 ment. CFR part 103; (b) House candidates and their leader- (b) An account to which only funds ship PACs. Notwithstanding any other donated to an individual to support his provision of the Act or Commission or her activities as a holder of federal regulations, a candidate for the office office are deposited (including an office of Representative in, or Delegate or account). Resident Commissioner to, the Con- gress, and any authorized committee or § 113.4 Contribution and expenditure leadership PAC of such candidate, shall limitations (52 U.S.C. 30116). not make any expenditures, or receive any in-kind contribution, for travel on (a) Any contributions to, or expendi- an aircraft unless the flight is: tures from an office account which are (1) Commercial travel as provided in made for the purpose of influencing a 11 CFR 100.93(a)(3)(iv); or federal election shall be subject to 52 (2) Provided by the Federal govern- U.S.C. 30116 and 11 CFR part 110 of ment or by a State or local govern- these regulations. ment. (b) If any treasury funds of a corpora- (c) Exception for aircraft owned or tion or labor organization are donated leased by candidates and immediate fam- to an office account, no funds from ily members of candidates. (1) Paragraphs that office account may be transferred (a) and (b) of this section do not apply to a political committee account or to flights on aircraft owned or leased otherwise used in connection with a by the candidate, or by an immediate federal election. family member of the candidate, pro- [45 FR 15124, Mar. 7, 1980, as amended at 79 vided that the candidate does not use FR 77849, Dec. 29, 2014] the aircraft more than the candidate’s or immediate family member’s propor- § 113.5 Restrictions on use of cam- tional share of ownership, as defined by paign funds for flights on non- 11 CFR 100.93(g)(3), allows. commercial aircraft (52 U.S.C. (2) A candidate, or an immediate 30114(c)). family member of the candidate, will (a) Presidential, vice-presidential and be considered to own or lease an air- Senate candidates. Notwithstanding any craft under the conditions described in other provision of the Act or Commis- 11 CFR 100.93(g)(2). sion regulations, a presidential, vice- (3) An ‘‘immediate family member’’ presidential, or Senate candidate, and is defined in 11 CFR 100.93(g)(4). any authorized committee of such can- (d) In-kind contribution. Except as didate, shall not make any expenditure provided in 11 CFR 100.79, the unreim- for travel on an aircraft unless the bursed value of transportation provided flight is: to any campaign traveler is an in-kind (1) Commercial travel as provided in contribution from the service provider 11 CFR 100.93(a)(3)(iv); to the candidate or political committee

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on whose behalf, or with whom, the any of the offices referred to in 11 CFR campaign traveler traveled. Such con- 114.2 (a) or (b) as applicable. tributions are subject to the reporting (2) The terms contribution and expend- requirements, limitations and prohibi- iture shall not include— tions of the Act. (i) Communications by a corporation to its stockholders and executive or ad- [74 FR 63967, Dec. 7, 2009, as amended at 79 FR 77849, Dec. 29, 2014] ministrative personnel and their families or by a labor organization to its members and executive or administra- PART 114—CORPORATE AND tive personnel, and their families, on LABOR ORGANIZATION ACTIVITY any subject; (ii) Registration and get-out-the-vote Sec. campaigns by a corporation aimed at 114.1 Definitions. its stockholders and executive or ad- 114.2 Prohibitions on contributions, expenditures and electioneering communica- ministrative personnel, and their fami- tions. lies, or by a labor organization aimed 114.3 Disbursements for communications to at its members and executive or ad- the restricted class in connection with a ministrative personnel, and their fami- Federal election. lies, as described in 11 CFR 114.4 Disbursements for communications by 114.3(c)(4)(ii); corporations and labor organizations be- (iii) The establishment, administra- yond the restricted class in connection tion, and solicitation of contributions with a Federal election. 114.5 Separate segregated funds. to a separate segregated fund to be uti- 114.6 Twice yearly solicitations. lized for political purposes by a cor- 114.7 Membership organizations, coopera- poration, labor organization, member- tives, or corporations without capital ship organization, cooperative, or cor- stock. poration without capital stock; 114.8 Trade associations. (iv) [Reserved] 114.9 Use of corporate or labor organization (v) The sale of any food or beverage facilities. by a corporate vendor for use in a can- 114.10 Corporations and labor organizations making independent expenditures and didate’s campaign or for use by a polit- electioneering communications. ical committee of a political party at a 114.11 Employee participation plans. charge less than the normal or com- 114.12 Incorporation of political commit- parable commercial rate, if the charge tees; payment of fringe benefits. is at least equal to the costs of such 114.13 Use of meeting rooms. food or beverage to the vendor, to the 114.14–114.15 [Reserved] extent that: The aggregate value of AUTHORITY: 52 U.S.C. 30101(8), 30101(9), such discount by the vendor on behalf 30102, 30104, 30107(a)(8), 30111(a)(8), 30118. of a single candidate does not exceed $1,000 with respect to any single elec- § 114.1 Definitions. tion; and on behalf of all political com- (a) For purposes of part 114— mittees of each political party does not (1) The terms contribution and expend- exceed $2,000 in a calendar year. iture shall include any direct or indi- (vi) The payment for legal or ac- rect payment, distribution, loan, ad- counting services rendered to or on be- vance, deposit, or gift of money, or any half of any political committee of a po- services, or anything of value (except a litical party other than services attrib- loan of money by a State bank, a feder- utable to activities which directly fur- ally chartered depository institution ther the election of a designated can- (including a national bank) or a deposi- didate or candidates for Federal office tory institution whose deposits and ac- if the corporation or labor organization counts are insured by the Federal De- paying for the services is the regular posit Insurance Corporation or the Na- employer of the individual rendering tional Credit Union Administration, if the services. This exclusion shall not such loan is made in accordance with be applicable if additional employees 11 CFR 100.82(a) through (d)) to any are hired for the purpose of rendering candidate, political party or com- services or if additional employees are mittee, organization, or any other per- hired in order to make regular employ- son in connection with any election to ees available;

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(vii) The payment for legal or ac- other executives, and plant, division, counting services rendered to or on be- and section managers; and half of an authorized committee of a (ii) Individuals following the recog- candidate or any other political com- nized professions, such as lawyers and mittee solely for the purpose of ensur- engineers. ing compliance with this Act or chap- (2) This definition does not include— ter 95 or 96 of the Internal Revenue (i) Professionals who are represented Code of 1954 if the corporation or labor by a labor organization; organization paying for the services is (ii) Salaried foremen and other sala- the regular employer of the individual ried lower level supervisors having di- rendering the services, but amounts rect supervision over hourly employ- paid or incurred for these services shall ees; be reported in accordance with part (iii) Former or retired personnel who 104. This exclusion shall not be applica- are not stockholders; or ble if additional employees are hired (iv) Individuals who may be paid by for the purpose of rendering services or the corporation or labor organization, if additional employees are hired in such as consultants, but who are not order to make regular employees avail- employees, within the meaning of 26 able; CFR 31.3401(c)–1, of the corporation or (viii) Activity permitted under 11 labor organization for the purpose of CFR 9008.9, 9008.52 and 9008.53 with re- income withholding tax on employee spect to a presidential nominating con- wages under Internal Revenue Code of vention; 1954, section 3402. (ix) Donations to a State or local (3) Individuals on commission may be party committee used for the purchase considered executive or administrative or construction of its office building personnel if they have policymaking, are subject to 11 CFR 300.35. No excep- managerial, professional, or super- tion applies to contributions or dona- visory responsibility and if the individ- tions to a national party committee uals are employees, within the mean- that are made or used for the purchase ing of 26 CFR 31.3401(c)–1 of the cor- or construction of any office building poration for the purpose of income or facility; or withholding tax on employee wages (x) Any activity that is specifically under the Internal Revenue Code of permitted by part 114, but this excep- 1954, section 3402. tion does not apply to activities per- (4) The Fair Labor Standards Act, 29 mitted by 11 CFR 114.3(c)(4), 114.4(a), U.S.C. 201, et seq. and the regulations (c)(1)–(6), and (d), and 114.10(a), other issued pursuant to that Act, 29 CFR than as provided specifically in those part 541, may serve as a guideline in de- sections. termining whether individuals have (b) Establishment, administration, and policymaking, managerial, profes- solicitation costs means the cost of of- sional, or supervisory responsibilities. fice space, phones, salaries, utilities, (d) Labor organization means any or- supplies, legal and accounting fees, ganization of any kind, or any agency fund-raising and other expenses in- or employee representative committee curred in setting up and running a sep- or plan, in which employees participate arate segregated fund established by a and which exists for the purpose, in corporation, labor organization, mem- whole or in part, of dealing with em- bership organization, cooperative, or ployers concerning grievances, labor corporation without capital stock. disputes, wages, rates of pay, hours of (c) Executive or administrative per- employment, or conditions of work. sonnel means individuals employed by a (e)(1) For purposes of this part mem- corporation or labor organization who bership organization means a trade asso- are paid on a salary rather than hourly ciation, cooperative, corporation with- basis and who have policymaking, out capital stock, or a local, national, managerial, professional, or super- or international labor organization visory responsibilities. that: (1) This definition includes— (i) Is composed of members, some or (i) The individuals who run the cor- all of whom are vested with the power poration’s business such as officers, and authority to operate or administer

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the organization, pursuant to the orga- (3) Notwithstanding the requirements nization’s articles, bylaws, constitu- of paragraph (e)(2) of this section, the tion or other formal organizational Commission may determine, on a case- documents; by-case basis, that persons who do not (ii) Expressly states the qualifica- precisely meet the requirements of the tions and requirements for membership general rule, but have a relatively en- in its articles, bylaws, constitution or during and independently significant other formal organizational docu- financial or organizational attachment ments; to the organization, may be considered (iii) Makes its articles, bylaws, con- members for purposes of this section. stitution, or other formal organiza- For example, student members who tional documents available to its mem- pay a lower amount of dues while in bers upon request; school, long term dues paying members (iv) Expressly solicits persons to be- who qualify for lifetime membership come members; status with little or no dues obligation, (v) Expressly acknowledges the ac- and retired members of the organiza- ceptance of membership, such as by tion may be considered members for sending a membership card or includ- purposes of these rules. ing the member’s name on a member- (4) Notwithstanding the requirements ship newsletter list; and of paragraphs (e)(2)(i) through (iii) of (vi) Is not organized primarily for the this section, members of a local union purpose of influencing the nomination are considered to be members of any for election, or election, of any indi- national or international union of vidual to Federal office. which the local union is a part and of (2) For purposes of this part, the any federation with which the local, term members includes all persons who national, or international union is af- are currently satisfying the require- filiated. ments for membership in a membership (5) In the case of a membership orga- organization, affirmatively accept the nization which has a national federa- membership organization’s invitation tion structure or has several levels, in- to become a member, and either: cluding, for example, national, state, (i) Have some significant financial regional and/or local affiliates, a per- attachment to the membership organi- son who qualifies as a member of any zation, such as a significant invest- entity within the federation or of any ment or ownership stake; or affiliate by meeting the requirements (ii) Pay membership dues at least an- of paragraphs (e)(2)(i), (ii), or (iii) of nually, of a specific amount predeter- this section shall also qualify as a mined by the organization; or member of all affiliates for purposes of (iii) Have a significant organizational this part. The factors set forth at 11 attachment to the membership organi- CFR 100.5 (g)(2), (3) and (4) shall be used zation which includes: affirmation of to determine whether entities are af- membership on at least an annual filiated for purposes of this paragraph. basis; and direct participatory rights in (6) The status of a membership orga- the governance of the organization. nization, and of members, for purposes For example, such rights could include of this part, shall be determined pursu- the right to vote directly or indirectly ant to paragraph (e)(1) of this section for at least one individual on the mem- and not by provisions of state law gov- bership organization’s highest governing trade associations, cooperatives, erning board; the right to vote directly corporations without capital stock, or for organization officers; the right to labor organizations. vote on policy questions where the (f) Method of facilitating the making of highest governing body of the member- contributions means the manner in ship organization is obligated to abide which the contributions are received or by the results; the right to approve the collected such as, but not limited to, organization’s annual budget; or the payroll deduction or checkoff systems, right to participate directly in similar other periodic payment plans, or re- aspects of the organization’s govern- turn envelopes enclosed in a solicita- ance. tion request.

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(g) Method of soliciting voluntary con- § 114.2 Prohibitions on contributions, tributions means the manner in which expenditures and electioneering the solicitation is undertaken includ- communications. ing, but not limited to, mailings, oral (a) National banks and corporations requests for contributions, and hand organized by authority of any law of distribution of pamphlets. Congress are prohibited from making a (h) Stockholder means a person who contribution, as defined in 11 CFR has a vested beneficial interest in 114.1(a), in connection with any elec- stock, has the power to direct how that tion to any political office, including stock shall be voted, if it is voting local, State and Federal offices, or in stock, and has the right to receive divi- connection with any primary election dends. or political convention or caucus held to select candidates for any political (i) Voluntary contributions are con- office, including any local, State or tributions which have been obtained by Federal office. National banks and cor- the separate segregated fund of a corporations organized by authority of poration or labor organization in a any law of Congress are prohibited manner which is in compliance with from making expenditures as defined in § 114.5(a) and which is in accordance 11 CFR 114.1(a) for communications to with other provisions of the Act. those outside the restricted class ex- (j) Restricted class. A corporation’s re- pressly advocating the election or de- stricted class is its stockholders and feat of one or more clearly identified executive or administrative personnel, candidate(s) or the candidates of a and their families, and the executive clearly identified political party, with and administrative personnel of its respect to an election to any political subsidiaries, branches, divisions, and office, including any local, State, or departments and their families. A labor Federal office. organization’s restricted class is its (1) Such national banks and corpora- members and executive or administra- tions may engage in the activities permitted by 11 CFR part 114, except to tive personnel, and their families. For the extent that such activity con- communications under 11 CFR 114.3, stitutes a contribution, expenditure, or the restricted class of an incorporated electioneering communication or is membership organization, incorporated foreclosed by provisions of law other trade association, incorporated cooper- than the Act. ative or corporation without capital (2) The provisions of 11 CFR part 114 stock is its members and executive or apply to the activities of a national administrative personnel, and their bank, or a corporation organized by families. (The solicitable class of a any law of Congress, in connection membership organization, cooperative, with local, State and Federal elections. corporation without capital stock or (b) Any corporation whatever or any trade association, as described in 11 labor organization is prohibited from CFR 114.7 and 114.8, may include some making a contribution as defined in 11 persons who are not considered part of CFR part 100, subpart B. Any corpora- the organization’s restricted class, and tion whatever or any labor organiza- may exclude some persons who are in tion is prohibited from making a con- the restricted class.) tribution as defined in 11 CFR 114.1(a) in connection with any Federal elec- (52 U.S.C. 30101(8)(B)(iii), 30102(c)(3), tion. 30107(a)(8), 30111(a)(8), 30118) NOTE TO PARAGRAPH (b): Pursuant to [41 FR 35955, Aug. 25, 1976, as amended at 44 SpeechNow.org v. FEC, 599 F.3d 686 (D.C. Cir. FR 63045, Nov. 1, 1979; 45 FR 15125, Mar. 7, 2010) (en banc), and Carey v. FEC, 791 F. Supp. 1980; 45 FR 21210, Apr. 1, 1980; 48 FR 50508, 2d 121 (D.D.C. 2011), corporations and labor Nov. 2, 1983; 57 FR 1640, Jan. 15, 1992; 58 FR organizations may make contributions to 45775, Aug. 30, 1993; 59 FR 33615, June 29, 1994; non-connected political committees that 60 FR 64273, Dec. 14, 1995; 64 FR 41273, July 30, make only independent expenditures, or to 1999; 67 FR 49120, July 29, 2002; 67 FR 78681, separate accounts maintained by non-con- Dec. 26, 2002; 79 FR 77849, Dec. 29, 2014; 80 FR nected political committees for making only 62817, Oct. 21, 2014] independent expenditures, notwithstanding 11 CFR 114.2(b) and 11 CFR 114.10(a). The

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Commission has not conducted a rulemaking ices in the ordinary course of its busi- in response to these cases. ness as a commercial vendor in accord- (c) Disbursements by corporations ance with 11 CFR part 116 at the usual and labor organizations for the elec- and normal charge. tion-related activities described in 11 (2) Examples of facilitating the mak- CFR 114.3 and 114.4 will not cause those ing of contributions include but are not activities to be contributions when co- limited to— ordinated with any candidate, can- (i) Fundraising activities by corpora- didate’s agent, candidate’s authorized tions (except commercial vendors) or committee(s) or any party committee labor organizations that involve— to the extent permitted in those sec- (A) Officials or employees of the cor- tions. Coordination beyond that de- poration or labor organization ordering scribed in 11 CFR 114.3 and 114.4 shall or directing subordinates or support not cause subsequent activities di- staff (who therefore are not acting as rected at the restricted class to be con- volunteers) to plan, organize or carry sidered contributions. However, such out the fundraising project as a part of coordination may be considered evi- their work responsibilities using cor- dence that could negate the independ- porate or labor organization resources, ence of subsequent communications to unless the corporation or labor organi- those outside the restricted class by zation receives advance payment for the corporation, labor organization or the fair market value of such services; its separate segregated fund, and could (B) Failure to reimburse a corpora- result in an in-kind contribution. See 11 tion or labor organization within a CFR 100.16 regarding independent ex- commercially reasonable time for the penditures and coordination with can- use of corporate facilities described in didates. 11 CFR 114.9(d) in connection with such (d) A candidate, political committee, fundraising activities; or other person is prohibited from knowingly accepting or receiving any (C) Using a corporate or labor organi- contribution prohibited by this section. zation list of customers, clients, ven- (e) No officer or director of any cor- dors or others who are not in the re- poration or any national bank, and no stricted class to solicit contributions officer of any labor organization shall or distribute invitations to the fund- consent to any contribution or expend- raiser, unless the corporation or labor iture by the corporation, national organization receives advance payment bank, or labor organization prohibited for the fair market value of the list; by this section. (D) Using meeting rooms that are not (f) Facilitating the making of contribu- customarily made available to clubs, tions. (1) Corporations and labor organi- civic or community organizations or zations (including officers, directors or other groups; or other representatives acting as agents (E) Providing catering or other food of corporations and labor organiza- services operated or obtained by the tions) are prohibited from facilitating corporation or labor organization, un- the making of contributions to can- less the corporation or labor organiza- didates or political committees, other tion receives advance payment for the than to the separate segregated funds fair market value of the services; of the corporations and labor organiza- (ii) Providing materials for the pur- tions. Facilitation means using cor- pose of transmitting or delivering con- porate or labor organization resources tributions, such as stamps, envelopes or facilities to engage in fundraising addressed to a candidate or political activities in connection with any fed- committee other than the corpora- eral election, such as activities which tion’s or labor organization’s separate go beyond the limited exemptions set segregated fund, or other similar items forth in 11 CFR part 100, subparts B and which would assist in transmitting or C, part 100, subparts D and E, 114.9(a) delivering contributions, but not in- through (c) and 114.13. A corporation cluding providing the address of the does not facilitate the making of a con- candidate or political committee; tribution to a candidate or political (iii) Soliciting contributions ear- committee if it provides goods or serv- marked for a candidate that are to be

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collected and forwarded by the corpora- tive personnel to the separate seg- tion’s or labor organizations’s separate regated fund of a trade association of segregated fund, except to the extent which the corporation is a member, in- such contributions also are treated as cluding collection through a payroll contributions to and by the separate deduction or check-off system, pursu- segregated fund; or ant to 11 CFR 114.8(e)(4). (iv) Using coercion, such as the [60 FR 64274, Dec. 14, 1995, as amended at 67 threat of a detrimental job action, the FR 65211, Oct. 23, 2002; 67 FR 78681, Dec. 26, threat of any other financial reprisal, 2002; 70 FR 41944, July 21, 2005; 72 FR 72913, or the threat of force, to urge any indi- Dec. 26, 2007; 79 FR 62817, Oct. 21, 2014] vidual to make a contribution or engage in fundraising activities on behalf § 114.3 Disbursements for communica- of a candidate or political committee. tions to the restricted class in con- (3) Facilitating the making of connection with a Federal election. tributions does not include the fol- (a) General. (1) Corporations and lowing activities if conducted by a sep- labor organizations may make commu- arate segregated fund— nications on any subject, including (i) Any activity specifically per- communications containing express admitted under 11 CFR 110.1, 110.2, or vocacy, to their restricted class or any 114.5 through 114.8, including soliciting part of that class. Corporations and contributions to a candidate or polit- labor organizations may also make the ical committee, and making in kind communications permitted under 11 contributions to a candidate or polit- CFR 114.4 to their restricted class or ical committee; and any part of that class. The activities (ii) Collecting and forwarding con- permitted under this section may in- tributions earmarked to a candidate in volve election-related coordination accordance with 11 CFR 110.6. with candidates and political commit- (4) Facilitating the making of con- tees. See 11 CFR 100.16 and 114.2(c) re- tributions also does not include the fol- garding independent expenditures and lowing activities if conducted by a cor- coordination with candidates. poration or labor organization— (2) Incorporated membership organi- (i) Enrolling members of a corpora- zations, incorporated trade association’s or labor organization’s restricted tions, incorporated cooperatives and class in a payroll deduction plan or corporations without capital stock check-off system which deducts con- may make communications to their re- tributions from dividend or payroll stricted class, or any part of that class checks to make contributions to the as permitted in paragraphs (a)(1) and corporation’s or labor organization’s (c) of this section. separate segregated fund or an em- (b) Reporting communications con- ployee participation plan pursuant to taining express advocacy to the restricted 11 CFR 114.11; class. Disbursements for communica- (ii) Soliciting contributions to be tions expressly advocating the election sent directly to candidates if the solici- or defeat of one or more clearly identi- tation is directed to the restricted fied candidate(s) made by a corpora- class, see 11 CFR 114.1(a)(2)(i); and tion, including a corporation described (iii) Soliciting contributions ear- in paragraph (a)(2) of this section, or marked for a candidate that are to be labor organization to its restricted collected and forwarded by the corpora- class shall be reported in accordance tion’s or labor organization’s separate with 11 CFR 100.134(a) and 104.6. segregated fund, to the extent such (c) Communications containing express contributions also are treated as con- advocacy. Communications containing tributions to and by the separate seg- express advocacy which may be made regated fund. to the restricted class include, but are (5) Facilitating the making of con- not limited to, the examples set forth tributions also does not include the in paragraphs (c)(1) through (c)(4) of provision of incidental services by a this section. corporation to collect and forward con- (1) Publications. Printed material ex- tributions from its employee stock- pressly advocating the election or de- holders and executive and administra- feat of one or more clearly identified

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candidate(s) or candidates of a clearly paign or party. The incidental solicita- identified political party may be dis- tion of persons outside the corpora- tributed by a corporation or by a labor tion’s or labor organization’s restricted organization to its restricted class, class who may be present at the meet- provided that: ing as permitted by this section will (i) The material is produced at the not be a violation of 11 CFR part 114. expense of the corporation or labor or- The candidate’s representative or party ganization; and representative (other than an officer, (ii) The material constitutes a com- director or other representative of a munication of the views of the corpora- corporation or official, member or em- tion or the labor organization, and is ployee of a labor organization) or the not the republication or reproduction, candidate, may accept contributions in whole or in part, of any broadcast, before, during or after the appearance transcript or tape or any written, at the meeting, convention or other graphic, or other form of campaign ma- function of the corporation or labor or- terials prepared by the candidate, his ganization. or her campaign committees, or their (iii) The corporation or labor organi- authorized agents. A corporation or zation may suggest that members of its labor organization may, under this sec- restricted class contribute to the can- tion, use brief quotations from speech- didate or party committee, but the col- es or other materials of a candidate lection of contributions by any officer, that demonstrate the candidate’s posi- director or other representative of the tion as part of the corporation’s or corporation or labor organization be- labor organization’s expression of its fore, during, or after the appearance own views. while at the meeting, is an example of (2) Candidate and party appearances. a prohibited facilitation of contribu- (i) A corporation may allow a can- tions under 11 CFR 114.2(f). didate, candidate’s representative or (iv) If the corporation or labor orga- party representative to address its re- nization permits more than one can- stricted class at a meeting, convention didate for the same office, or more or other function of the corporation, than one candidate’s representative or but is not required to do so. A labor or- party representative, to address its re- ganization may allow a candidate or stricted class, and permits the news party representative to address its re- media to cover or carry an appearance stricted class at a meeting, convention, by one candidate or candidate’s rep- or other function of the labor organiza- resentative or party representative, tion, but is not required to do so. A the corporation or labor organization corporation or labor organization may shall also permit the news media to bar other candidates for the same of- cover or carry the appearances by the fice or a different office and their rep- other candidate(s) for that office, or resentatives, and representatives of the other candidates’ representatives other parties addressing the restricted or party representatives. If the cor- class. A corporation or labor organiza- poration or labor organization permits tion may allow the presence of employ- a representative of the news media to ees outside the restricted class of the cover or carry a candidate or can- corporation or labor organization who didate’s representative or party rep- are necessary to administer the meet- resentative appearance, the corpora- ing, other guests of the corporation or tion or labor organization shall provide labor organization who are being hon- all other representatives of the news ored or speaking or participating in the media with equal access for covering or event, and representatives of the news carrying that appearance. Equal access media. is provided by— (ii) The candidate, candidate’s rep- (A) Providing advance information resentative or party representative regarding the appearance to the rep- may ask for contributions to his or her resentatives of the news media whom campaign or party, or ask that con- the corporation or labor organization tributions to the separate segregated customarily contacts and other rep- fund of the corporation or labor organi- resentatives of the news media upon re- zation be designated for his or her cam- quest; and

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(B) Allowing all representatives of § 114.4 Disbursements for communica- the news media to cover or carry the tions by corporations and labor or- appearance, through the use of pooling ganizations beyond the restricted arrangements if necessary. class in connection with a Federal election. (3) Phone banks. A corporation or a labor organization may establish and (a) General. A corporation or labor or- operate phone banks to communicate ganization may communicate beyond with its restricted class, urging them the restricted class in accordance with to register and/or vote for a particular this section. Communications that a candidate or candidates, or to register corporation or labor organization may with a particular political party. make only to its employees (including its restricted class) and their families, (4) Registration and get-out-the-vote but not to the general public, are set drives. (i) A corporation or labor orga- forth in paragraph (b) of this section. nization may conduct voter registra- Any communications that a corporation and get-out-the-vote drives aimed tion or labor organization may make at its restricted class, except as pro- to the general public under paragraph vided in paragraph (c)(4)(iii) of this sec- (c) of this section may also be made to tion. Voter registration and get-out- the corporation’s or labor organiza- the-vote drives include providing trans- tion’s restricted class and to other em- portation to the place of registration ployees and their families. Commu- and to the polls. Such drives may in- nications that a corporation or labor clude communications containing ex- organization may make only to its re- press advocacy, such as urging individ- stricted class are set forth at 11 CFR uals to register with a particular party 114.3. The activities described in para- or to vote for a particular candidate or graphs (b) and (c) of this section may candidates. be coordinated with candidates and po- (ii) Disbursements for a voter reg- litical committees only to the extent istration or get-out-the-vote drive con- permitted by this section. For the oth- ducted under paragraph (c)(4)(i) of this erwise applicable regulations regarding section are not contributions or ex- independent expenditures and coordi- penditures if the drive is nonpartisan. nation with candidates, see 11 CFR See 52 U.S.C. 30118(b)(2)(B). A drive is 100.16, 109.21, and 114.2(c). Voter reg- nonpartisan if it is conducted so that istration and get-out-the-vote drives as information and other assistance re- described in paragraph (d) of this sec- garding registering or voting, including tion must not include coordinated ex- transportation and other services of- penditures as defined in 11 CFR 109.20, fered, is not withheld or refused on the coordinated communications as defined basis of support for or opposition to in 11 CFR 109.21, or contributions as de- particular candidates or a particular fined in 11 CFR part 100, subpart B. See political party. also note to 11 CFR 114.2(b), 114.10(a). (iii) A corporation or labor organiza- Incorporated membership organization may make disbursements to con- tions, incorporated trade associations, duct voter registration and get-out- incorporated cooperatives, and cor- the-vote drives that are aimed at its porations without capital stock will be restricted class and that do not qualify treated as corporations for the purpose of this section. as nonpartisan under paragraph (b) Communications by a corporation or (c)(4)(ii) of this section, provided that labor organization to employees beyond its the disbursements do not constitute restricted class—(1) Candidate and party coordinated expenditures as defined in appearances on corporate premises or at a 11 CFR 109.20, coordinated communica- meeting, convention or other function. tions as defined in 11 CFR 109.21, or Corporations may permit candidates, contributions as defined in 11 CFR part candidates’ representatives or rep- 100, subpart B. See also note to 11 CFR resentatives of political parties on cor- 114.2(b), 114.10(a). porate premises or at a meeting, con- [60 FR 64275, Dec. 14, 1995, as amended at 67 vention, or other function of the cor- FR 78681, Dec. 26, 2002; 79 FR 77849, Dec. 29, poration to address or meet its re- 2014; 79 FR 62817, Oct. 21, 2014] stricted class and other employees of

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the corporation and their families, in audience. A corporation, its restricted accordance with the conditions set class, or other employees of the cor- forth in paragraphs (b)(1)(i) through poration or its separate segregated (b)(1)(viii) of this section. Other guests fund shall not, either orally or in writ- of the corporation who are being hon- ing, solicit or direct or control con- ored or speaking or participating in the tributions by members of the audience event and representatives of the news to any candidate or party in conjunc- media may be present. A corporation tion with any appearance by any can- may bar all candidates, candidates’ didate or party representative under representatives and representatives of this section, and shall not facilitate political parties from addressing or the making of contributions to any meeting its restricted class and other such candidate or party (see 11 CFR employees of the corporation and their 114.2(f)); families on corporate premises or at (v) A corporation or its separate seg- any meeting, convention or other func- regated fund shall not, in conjunction tion of the corporation. with any candidate, candidate rep- (i) If a candidate for the House or resentative or party representative ap- Senate or a candidate’s representative pearance under this section, expressly is permitted to address or meet em- advocate the election or defeat of any ployees, all candidates for that seat clearly identified candidate(s) or can- who request to appear must be given a didates of a clearly identified political similar opportunity to appear; party and shall not promote or encour- (ii) If a Presidential or Vice Presi- age express advocacy by employees; dential candidate or candidate’s rep- (vi) No candidate, candidate’s representative is permitted to address or resentative or party representative meet employees, all candidates for that shall be provided with more time or a office who are seeking the nomination substantially better location than or election, and who meet pre-estab- other candidates, candidates’ rep- lished objective criteria under 11 CFR resentatives or party representatives 110.13(c), and who request to appear who appear, unless the corporation is must be given a similar opportunity to able to demonstrate that it is clearly appear; impractical to provide all candidates, (iii) If representatives of a political candidates’ representatives and party party are permitted to address or meet representatives with similar times or employees, representatives of all polit- locations; ical parties which had a candidate or (vii) Coordination with each can- candidates on the ballot in the last didate, candidate’s agent, and can- general election or which are actively didate’s authorized committee(s) may engaged in placing or will have a can- include discussions of the structure, didate or candidates on the ballot in format and timing of the candidate ap- the next general election and who re- pearance and the candidate’s positions quest to appear must be given a similar on issues, but shall not include discus- opportunity to appear; sions of the candidate’s plans, projects, (iv) The candidate’s representative or or needs relating to the campaign; and party representative (other than an of- (viii) Representatives of the news ficer, director or other representative media may be allowed to be present of a corporation) or the candidate, may during a candidate, candidate rep- ask for contributions to his or her cam- resentative or party representative ap- paign or party, or ask that contribu- pearance under this section, in accord- tions to the separate segregated fund of ance with the procedures set forth at 11 the corporation be designated for his or CFR 114.3(c)(2)(iv). her campaign or party. The candidate, (2) Candidate and party appearances on candidate’s representative or party labor organization premises or at a meet- representative shall not accept con- ing, convention or other function. A labor tributions before, during or after the organization may permit candidates, appearance while at the meeting, con- candidates’ representatives or rep- vention or other function of the cor- resentatives of political parties on the poration, but may leave campaign ma- labor organization’s premises or at a terials or envelopes for members of the meeting, convention, or other function

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of the labor organization to address or (1) General. A corporation or labor or- meet its restricted class and other em- ganization may make independent ex- ployees of the labor organization, and penditures or electioneering commu- their families, in accordance with the nications pursuant to 11 CFR 114.10. conditions set forth in paragraphs This section addresses specific commu- (b)(1) (i) through (iii), (vi) through nications, described in paragraphs (viii), and paragraphs (b)(2) (i) and (ii) (c)(2) through (c)(7) of this section, that of this section. Other guests of the a corporation or labor organization labor organization who are being hon- may make to the general public. The ored or speaking or participating in the general public includes anyone who is event and representatives of the news not in the corporation’s or labor orga- media may be present. A labor organi- nization’s restricted class. The prepa- zation may bar all candidates, can- ration, contents, and distribution of didates’ representatives and represent- any of the communications described atives of political parties from address- in paragraphs (2) through (6) below ing or meeting its restricted class and must not include coordinated expendi- other employees of the labor organiza- tures as defined in 11 CFR 109.20, co- tion and their families on the labor or- ordinated communications as defined ganization’s premises or at any meet- in 11 CFR 109.21, or contributions as de- ing, convention or other function of fined in 11 CFR part 100, subpart B. See the labor organization. also note to 11 CFR 114.2(b), 114.10(a). (i) The candidate’s representative or (2) Voter registration and get-out-the- party representative (other than an of- vote communications. (i) A corporation ficial, member or employee of a labor or labor organization may make voter organization) or the candidate, may registration and get-out-the-vote com- ask for contributions to his or her cam- munications to the general public. paign or party, or ask that contribu- (ii) Disbursements for the activity tions to the separate segregated fund of described in paragraph (c)(2)(i) of this the labor organization be designated section are not contributions or ex- for his or her campaign or party. The penditures, provided that: candidate, candidate’s representative or party representative shall not ac- (A) The voter registration and get- cept contributions before, during or out-the-vote communications to the after the appearance while at the meet- general public do not expressly advo- ing, convention or other function of cate the election or defeat of any clear- the labor organization, but may leave ly identified candidate(s) or candidates campaign materials or envelopes for of a clearly identified political party; members of the audience. No official, and member, or employee of a labor organi- (B) The preparation and distribution zation or its separate segregated fund of voter registration and get-out-the- shall, either orally or in writing, so- vote communications is not coordi- licit or direct or control contributions nated with any candidate(s) or political by members of the audience to any party. candidate or party representative (3) Official registration and voting in- under this section, and shall not facili- formation. (i) A corporation or labor or- tate the making of contributions to ganization may distribute to the gen- any such candidate or party. See 11 eral public, or reprint in whole and dis- CFR 114.2(f). tribute to the general public, any reg- (ii) A labor organization or its sepa- istration or voting information, such rate segregated fund shall not, in con- as instructional materials, that has junction with any candidate or party been produced by the official election representative appearance under this administrators. section, expressly advocate the elec- (ii) A corporation or labor organization or defeat of any clearly identified tion may distribute official registra- candidate(s), and shall not promote or tion-by-mail forms to the general pub- encourage express advocacy by its lic. A corporation or labor organization members or employees. may distribute absentee ballots to the (c) Communications by a corporation or general public if permitted by the ap- labor organization to the general public— plicable State law.

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(iii) A corporation or labor organiza- quest or suggestion of the candidates, tion may donate funds to State or local the candidates’ committees or agents government agencies responsible for regarding the preparation, contents the administration of elections to help and distribution of the voter guide, and defray the costs of printing or distrib- no portion of the voter guide expressly uting voter registration or voting in- advocates the election or defeat of one formation and forms. or more clearly identified candidate(s) (iv) Disbursements for the activity or candidates of any clearly identified described in paragraphs (c)(3)(i) political party; or through (iii) of this section are not (B)(1) The corporation or labor orga- contributions or expenditures, provided nization does not act in cooperation, that: consultation, or concert with or at the (A) The corporation or labor organi- request or suggestion of the can- zation does not, in connection with any didates, the candidates’ committees or such activity, expressly advocate the agents regarding the preparation, con- election or defeat of any clearly identi- tents and distribution of the voter fied candidate(s) or candidates of a guide; clearly identified political party and (2) All of the candidates for a par- does not encourage registration with ticular seat or office are provided an any particular political party; and equal opportunity to respond, except (B) The reproduction and distribution that in the case of Presidential and of registration or voting information Vice Presidential candidates the cor- and forms is not coordinated with any poration or labor organization may candidate(s) or political party. choose to direct the questions only to (4) Voting records. (i) A corporation or those candidates who— labor organization may prepare and (i) Are seeking the nomination of a distribute to the general public the particular political party in a con- voting records of Members of Congress. tested primary election; or (ii) Disbursements for the activity described in paragraph (c)(4)(i) of this (ii) Appear on the general election section are not contributions or ex- ballot in the state(s) where the voter penditures, provided that: guide is distributed or appear on the (A) The voting records of Members of general election ballot in enough states Congress and all communications dis- to win a majority of the electoral tributed with it do not expressly advo- votes; cate the election or defeat of any clear- (3) No candidate receives greater ly identified candidate(s) or candidates prominence in the voter guide than of a clearly identified political party; other participating candidates, or sub- and stantially more space for responses; (B) The decision on content and the (4) The voter guide and its accom- distribution of voting records is not co- panying materials do not contain an ordinated with any candidate, group of electioneering message; and candidates, or political party. (5) The voter guide and its accom- (5) Voter guides. (i) A corporation or panying materials do not score or rate labor organization may prepare and the candidates’ responses in such a way distribute to the general public voter as to convey an electioneering mes- guides, including voter guides obtained sage. from a nonprofit organization that is (6) Endorsements. (i) A corporation or described in 26 U.S.C. 501(c)(3) or (c)(4). labor organization may endorse a can- (ii) Disbursements for the activity didate, and may communicate the en- described in paragraph (c)(5)(i) of this dorsement to the restricted class and section are not contributions or ex- the general public. The Internal Rev- penditures, provided that the voter enue Code and regulations promulgated guides comply with either paragraph thereunder should be consulted regard- (c)(5)(ii)(A) or (c)(5)(ii)(B)(1) through (5) ing restrictions or prohibitions on en- of this section: dorsements by nonprofit corporations (A) The corporation or labor organi- described in 26 U.S.C. 501(c)(3). zation does not act in cooperation, con- (ii) Disbursements for announce- sultation, or concert with or at the re- ments of endorsements to the general

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public are not contributions or expend- speeches, question and answer sessions, itures, provided that: or similar communications in an aca- (A) The public announcement is not demic setting, and makes reasonable coordinated with a candidate, a can- efforts to ensure that the appearances didate’s authorized committee, or their are not conducted as campaign rallies agents; and or events; and (B) Disbursements for any press re- (B) The educational institution does lease or press conference to announce not, in conjunction with the appear- the endorsement are de minimis. Such ance, expressly advocate the election disbursements shall be considered de or defeat of any clearly identified can- minimis if the press release and notice didate(s) or candidates of a clearly of the press conference are distributed identified political party, and does not only to the representatives of the news favor any one candidate or political media that the corporation or labor or- party over any other in allowing such ganization customarily contacts when appearances. issuing non-political press releases or (d) Voter registration and get-out-the- holding press conferences for other pur- vote drives—(1) Voter registration and poses. get-out-the-vote drives permitted. A cor- (iii) Disbursements for announce- poration or labor organization may ments of endorsements to the re- support or conduct voter registration stricted class may be coordinated pur- and get-out-the-vote drives that are suant to 114.3(a) and are not contribu- aimed at employees outside its re- tions or expenditures provided that no stricted class and the general public. more than a de minimis number of cop- Voter registration and get-out-the-vote ies of the publication that includes the drives include providing transportation endorsement are circulated beyond the to the polls or to the place of registra- restricted class. tion. (7) Candidate appearances on edu- (2) Disbursements for certain voter reg- cational institution premises—(i) Rental istration and get-out-the-vote drives not of facilities at usual and normal charge. expenditures. Voter registration or get- Any incorporated nonprofit edu- out-the-vote drives that are conducted cational institution exempt from fed- in accordance with paragraphs (d)(2)(i) eral taxation under 26 U.S.C. 501(c)(3), through (d)(2)(v) of this section are not such as a school, college or university, expenditures. may make its facilities available to (i) The corporation or labor organiza- any candidate or political committee tion shall not make any communica- in the ordinary course of business and tion expressly advocating the election at the usual and normal charge. In this or defeat of any clearly identified can- event, the requirements of paragraph didate(s) or candidates of a clearly (c)(7)(ii) of this section are not applica- identified political party as part of the ble. voter registration or get-out-the-vote (ii) Use of facilities at no charge or at drive. less than the usual and normal charge. (ii) The voter registration drive shall An incorporated nonprofit educational not be directed primarily to individ- institution exempt from federal tax- uals previously registered with, or ination under 26 U.S.C. 501(c)(3), such as tending to register with, the political a school, college or university, may party favored by the corporation or sponsor appearances by candidates, labor organization. The get-out-the- candidates’ representatives or rep- vote drive shall not be directed pri- resentatives of political parties at marily to individuals currently reg- which such individuals address or meet istered with the political party favored the institution’s academic community by the corporation or labor organiza- or the general public (whichever is in- tion. vited) on the educational institution’s (iii) These services shall be made premises at no charge or at less than available without regard to the voter’s the usual and normal charge, if: political preference. Information and (A) The educational institution other assistance regarding registering makes reasonable efforts to ensure or voting, including transportation and that the appearances constitute other services offered, shall not be

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withheld or refused on the basis of sup- held in accordance with 11 CFR 110.13 port for or opposition to particular and 114.4(f). candidates or a particular political [60 FR 64276, Dec. 14, 1995, as amended at 61 party. FR 18051, Apr. 24, 1996; 67 FR 78681, Dec. 26, (iv) Individuals conducting the voter 2002; 68 FR 457, Jan. 3, 2003; 72 FR 72913, Dec. registration or get-out-the-vote drive 26, 2007; 79 FR 62817, Oct. 21, 2014] shall not be paid on the basis of the number of individuals registered or § 114.5 Separate segregated funds. transported who support one or more (a) Voluntary contributions to a sepa- particular candidates or political rate segregated fund. (1) A separate seg- party. regated fund is prohibited from making (v) The corporation or labor organi- a contribution or expenditure by uti- zation shall notify those receiving in- lizing money or anything of value se- formation or assistance of the require- cured by physical force, job discrimina- ments of paragraph (d)(2)(iii) of this tion, financial reprisals, or the threat section. The notification shall be made of force, job discrimination, or finan- in writing at the time of the registra- cial reprisal; or by dues, fees, or other tion or get-out-the-vote drive. monies required as a condition of membership in a labor organization or as a (e) Incorporated membership organiza- condition of employment or by monies tions, incorporated trade associations, in- obtained in any commercial trans- corporated cooperatives and corporations action. For purposes of this section, without capital stock. An incorporated fees or monies paid as a condition of membership organization, incorporated acquiring or retaining membership or trade association, incorporated cooper- employment are monies required as a ative or corporation without capital condition of membership or employ- stock may permit candidates, can- ment even though they are refundable didates’ representatives or representa- upon request of the payor. tives of political parties to address or (2) A guideline for contributions may meet members and employees of the be suggested by a corporation or a organization, and their families, on the labor organization, or the separate seg- organization’s premises or at a meet- regated fund of either, provided that ing, convention or other function of the person soliciting or the solicitation the organization, in accordance with informs the persons being solicited— the conditions set forth in paragraphs (i) That the guidelines are merely (b)(1) (i) through (viii) of this section. suggestions; and (f) Candidate debates. (1) A nonprofit (ii) That an individual is free to con- organization described in 11 CFR tribute more or less than the guide- 110.13(a)(1) may use its own funds and lines suggest and the corporation or may accept funds donated by corpora- labor organization will not favor or dis- tions or labor organizations under advantage anyone by reason of the paragraph (f)(3) of this section to de- amount of their contribution or their fray costs incurred in staging can- decision not to contribute. didate debates held in accordance with A corporation or labor organization or 11 CFR 110.13. the separate segregated fund of either (2) A broadcaster (including a cable may not enforce any guideline for con- television operator, programmer or tributions. producer), bona fide newspaper, maga- (3) Any person soliciting an employee zine or other periodical publication or member for a contribution to a sepa- may use its own funds to defray costs rate segregated fund must inform such employee or member of the political incurred in staging public candidate purposes of the fund at the time of the debates held in accordance with 11 CFR solicitation. 110.13. (4) Any persons soliciting an em- (3) A corporation or labor organiza- ployee or member for a contribution to tion may donate funds to nonprofit or- a separate segregated fund must inform ganizations qualified under 11 CFR the employee or member at the time of 110.13(a)(1) to stage candidate debates such solicitation of his or her right to

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refuse to so contribute without any re- expense was paid by the separate seg- prisal. regated fund. (5) Any written solicitation for a con- (c) Membership in separate segregated tribution to a separate segregated fund funds. (1) A separate segregated fund which is addressed to an employee or established by a corporation, labor or- member must contain statements ganization, membership organization, which comply with the requirements of cooperative, or corporation without paragraphs (a) (3) and (4) of this sec- capital stock may provide that persons tion, and if a guideline is suggested, who contribute a certain amount to its statements which comply with the re- separate segregated fund will become quirements of paragraph (a)(2) of this members of its separate segregated fund, section. so long as— (b) Use of treasury monies. Corpora- (i) The fund accepts contributions of tions, labor organizations, membership all amounts, subject to the limitations organizations, cooperatives, or cor- of part 110; porations without capital stock may (ii) Subject to paragraph (c)(1)(iii) of use general treasury monies, including this section, nothing of value may be monies obtained in commercial trans- given in return for or in the course of actions and dues monies or member- membership; ship fees, for the establishment, admin- (iii) The fund may use membership istration, and solicitation of contribu- status for intangible privileges such as tions to its separate segregated fund. A allowing members only to choose the corporation, labor organization, membership organization, cooperative, or candidates to whom the fund will con- corporation without capital stock may tribute. not use the establishment, administra- (2) The fact that the separate seg- tion, and solicitation process as a regated fund of a corporation, labor or- means of exchanging treasury monies ganization, membership organization, for voluntary contributions. cooperative, or corporation without (1) A contributor may not be paid for capital stock is a membership group does his or her contribution through a not provide the corporation, labor or- bonus, expense account, or other form ganization, membership organization, of direct or indirect compensation. cooperative, or corporation without (2) A corporation, labor organization, capital stock with any greater right of membership organization, cooperative, communication or solicitation than or corporation without capital stock the corporation, labor organization, may, subject to the provisions of 39 membership organization, cooperative, U.S.C. 3005 and chapter 61, title 18, or corporation without capital stock is United States Code, utilize a raffle or otherwise granted under this part. other fundraising device which in- (d) Control of funds. A corporation, volves a prize, so long as State law per- membership organization, cooperative, mits and the prize is not disproportion- corporation without capital stock, or ately valuable. Dances, parties, and labor organization may exercise con- other types of entertainment may also trol over its separate segregated fund. be used as fundraising devices. When (e) Disclosure. Separate segregated using raffles or entertainment to raise funds are subject to the following dis- funds, a reasonable practice to follow is closure requirements: for the separate segregated fund to re- (1) A corporation or labor organiza- imburse the corporation or labor orga- tion is not required to report any pay- nization for costs which exceed one- ment made or obligation incurred third of the money contributed. which is not a contribution or expendi- (3) If the separate segregated fund ture, as defined in § 114.1(a), except pays any solicitation or other adminis- those reporting requirements specifi- trative expense from its own account, cally set forth in this section. which expense could be paid for as an (2) A membership organization or administrative expense by the col- corporation is not required to report lecting agent, the collecting agent may the cost of any communication to its reimburse the separate segregated fund members or stockholders or executive no later than 30 calendar days after the or administrative personnel, if such

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membership organization or corpora- to determine whether an organization tion is not organized primarily for the is an affiliate of a corporation. purpose of influencing the nomination (2) A labor organization, or a sepa- for election, or election, of any person rate segregated fund established by a to Federal office, except that— labor organization is prohibited from (i) The costs incurred by a member- soliciting contributions to such a fund ship organization, including a labor or- from any person other than its mem- ganization, or by a corporation, di- bers and executive or administrative rectly attributable to a communication personnel, and their families. expressly advocating the election or (h) Accidental or inadvertent solicita- defeat of a clearly identified candidate tion. Accidental or inadvertent solici- (other than a communication primarily tation by a corporation or labor orga- devoted to subjects other than the ex- nization, or the separate segregated press advocacy of the election or defeat fund of either, of persons apart from of a clearly identified candidate) shall, and beyond those whom it is permitted if those costs exceed $2,000 per election, to solicit will not be deemed a viola- be reported in accordance with 11 CFR tion, provided that such corporation or 100.134(a); and labor organization or separate seg- (ii) The amounts paid or incurred for regated fund has used its best efforts to legal or accounting services rendered comply with the limitations regarding to or on behalf of a candidate or polit- the persons it may solicit and that the ical committee solely for the purpose method of solicitation is corrected of ensuring compliance with the provi- forthwith after the discovery of such sions of the Act or chapter 95 or 96 of erroneous solicitation. the Internal Revenue Code of 1954 paid (i) Communications paid for with vol- by a corporation or labor organization untary contributions. A separate seg- which is the regular employer of the regated fund may, using voluntary con- individual rendering such services, tributions, communicate with the gen- shall be reported in accordance with eral public, except that such commu- the provisions of part 104. (3) A separate segregated fund is sub- nications may not solicit contributions ject to all other disclosure require- to a separate segregated fund estab- ments of political committees as set lished by a corporation, labor organiza- forth in part 104. tion, membership organization, cooper- (f) Contribution limits. Separate seg- ative, or corporation without capital regated funds are subject to the con- stock, unless such solicitation is per- tribution limitations for political committed under paragraph (g) of this sec- mittees set forth in part 110. (See par- tion. ticularly § 110.3). (j) Acceptance of contributions. A sepa- (g) Solicitations. Except as specifically rate segregated fund may accept con- provided in §§ 114.6, 114.7, and 114.8, a tributions from persons otherwise per- corporation and/or its separate seg- mitted by law to make contributions. regated fund or a labor organization (k) Availability of methods. Any cor- and/or its separate segregated fund is poration, including its subsidiaries, subject to the following limitations on branches, divisions, and affiliates, that solicitations: uses a method of soliciting voluntary (1) A corporation or a separate seg- contributions or facilitating the mak- regated fund established by a corpora- ing of voluntary contributions from its tion is prohibited from soliciting con- stockholders or executive or adminis- tributions to such fund from any per- trative personnel and their families, son other than its stockholders and shall make that method available to a their families and its executive or ad- labor organization representing any ministrative personnel and their fami- members working for the corporation, lies. A corporation may solicit the ex- its subsidiaries, branches, divisions, ecutive or administrative personnel of and affiliates for soliciting voluntary its subsidiaries, branches, divisions, contributions or facilitating the mak- and affiliates and their families. For ing of voluntary contributions from its purposes of this section, the factors set members and their families. Such forth at 11 CFR 100.5(g)(4) shall be used method shall be made available on the

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written request of the labor organiza- (4) If a corporation uses no method to tion and at a cost sufficient only to re- solicit voluntary contributions or to imburse the corporation for the ex- facilitate the making of voluntary con- penses incurred thereby. For example— tributions from stockholders or execu- (1) If a corporation, including its sub- tive or administrative personnel, it is sidiaries, branches, divisions, or affili- not required by law to make any meth- ates utilizes a payroll deduction plan, od available to the labor organization check-off system, or other plan which for its members. The corporation and deducts contributions from the divi- the labor organization may agree upon dend or payroll checks of stockholders making any lawful method available or executive or administrative per- even though such agreement is not re- sonnel, the corporation shall, upon quired by the Act. written request of the labor organiza- (5) The availability of methods of tion, make that method available to twice yearly solicitations is subject to members of the labor organization the provisions of § 114.6(e). working for the corporation, its sub- (l) Methods permitted by law to labor sidiaries, branches, divisions, or affili- organizations. Notwithstanding any ates, who wish to contribute to the sep- other law, any method of soliciting vol- arate segregated fund of the labor orga- untary contributions or of facilitating nization representing any members the making of voluntary contributions working for the corporation, or any of to a separate segregated fund estab- its subsidiaries, branches, divisions, or lished by a corporation, permitted by affiliates. The corporation shall make law to corporations with regard to the payroll deduction plan available to stockholders and executive or adminis- the labor organization at a cost suffi- trative personnel, shall also be per- cient only to reimburse the corpora- mitted to labor organizations with re- tion for the actual expenses incurred gard to their members and executive or thereby. administrative personnel. (2) If a corporation uses a computer (52 U.S.C. 30118, 30107(a)(8)) for addressing envelopes or labels for a [41 FR 35955, Aug. 25, 1976, as amended at 45 solicitation to its stockholders or exec- FR 21210, Apr. 1, 1980; 48 FR 26303, June 7, utive or administrative personnel, the 1983; 48 FR 50508, Nov. 2, 1983; 54 FR 34114, corporation shall, upon written re- Aug. 17, 1989; 54 FR 48580, Nov. 24, 1989; 67 FR quest, program the computer to enable 78681, Dec. 26, 2002] the labor organization to solicit its members. The corporation shall charge § 114.6 Twice yearly solicitations. the labor organization a cost sufficient (a) A corporation and/or its separate only to reimburse the corporation for segregated fund may make a total of the actual expenses incurred in pro- two written solicitations for contribu- gramming the computers and the allo- tions to its separate segregated fund cated cost of employee time relating to per calendar year of its employees the work, and the materials used. other than stockholders, executive or (3) If a corporation uses corporate fa- administrative personnel, and their cilities, such as a company dining room families. Employees as used in this sec- or cafeteria, for meetings of stock- tion does not include former or retired holders or executive or administrative employees who are not stockholders. personnel at which solicitations are Nothing in this paragraph shall limit made, the corporation shall upon writ- the number of solicitations a corpora- ten request of the labor organization tion may make of its stockholders and allow that labor organization to use ex- executive or administrative personnel isting corporate facilities for meetings under § 114.5(g). to solicit its members. The labor orga- (b) A labor organization and/or its nization shall be required to reimburse separate segregated fund may make a the corporation for any actual expenses total of two written solicitations per incurred thereby, such as any increase calendar year of employees who are not in the overhead to the corporation and members of the labor organization, ex- any cost involved in setting up the fa- ecutive or administrative personnel, or cilities. stockholders (and their families) of a

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corporation in which the labor organi- (ii) Provide the fund with the identi- zation represents members working for fication of any person who makes a sin- the corporation. Nothing in this para- gle contribution of more than $50 and graph shall limit the number of solici- the identification of any person who tations a labor organization may make makes multiple contributions aggre- of its members under § 114.5(g). gating more than $200. The custodian (c) Written solicitation. A solicitation must provide this information within a under this section may be made only reasonable time prior to the reporting by mail addressed to stockholders, ex- date of the fund under part 104; ecutive or administrative personnel, or (iii) Periodically forward all funds in employees at their residences. All writ- the separate account, by check drawn ten solicitations must inform the re- on that account, to the separate seg- cipient— regated fund; and (1) Of the existence of the custodial (iv) Treat all funds which appear to arrangement described hereinafter; be illegal in accordance with the provi- (2) That the corporation, labor orga- sions of § 103.3(b). nization, or the separate segregated (3) The custodian shall not— fund of either cannot be informed of (i) Make the records of persons mak- persons who do not make contribu- ing a single contribution of $50 or less, tions; and or multiple contributions aggregating (3) That persons who, in a calendar $200 or less, in a calendar year, avail- year make a single contribution of $50 able to any person other than rep- or less, or multiple contributions aggregating $200 or less may maintain resentatives of the Federal Election their anonymity by returning their Commission or the Secretary of the contributions to the custodian. Senate, as appropriate, and law en- (d) The custodial arrangement. In order forcement officials or judicial bodies. to maintain the anonymity of persons (ii) Provide the corporation or labor who do not wish to contribute and of organization or the separate segregated persons who wish to respond with a sin- fund of either with any information gle contribution of $50 or less, or mul- pertaining to persons who, in a cal- tiple contributions aggregating $200 or endar year, make a single contribution less in a calendar year, and to satisfy of $50 or less or multiple contributions the recordkeeping provisions, the cor- aggregating $200 or less except that the poration, labor organization, or sepa- custodian may forward to the corpora- rate segregated fund of either shall es- tion, labor organization or separate tablish a custodial arrangement for segregated fund of either the total collecting the contributions under this number of contributions received; or section. (iii) Provide the corporation, labor (1) The custodian for a separate seg- organization, or the separate segregated fund established by a corpora- regated fund of either with any infor- tion shall not be a stockholder, officer, mation pertaining to persons who have executive or administrative personnel, not contributed. or employee of the corporation, or an (4) The corporation, labor organiza- officer, or employee of its separate seg- tion, or the separate segregated fund of regated fund. The custodian for a sepa- either shall provide the custodian with rate segregated fund established by a a list of all contributions, indicating labor organization shall not be a mem- the contributor’s identification and ber, officer or employee of the labor organization or its separate segregated amount contributed, which have been fund. made directly to the separate seg- (2) The custodian shall keep the regated fund by any person within the records of contributions received in ac- group of persons solicited under this cordance with the requirements of part section. 102 and shall also— (5) Notwithstanding the prohibitions (i) Establish a separate account and of paragraph (d)(1) of this section, the deposit contributions in accordance custodian may be employed by the sep- with the provisions of part 103; arate segregated fund as its treasurer

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and may handle all of its contribution during the calendar year, the cor- tions, provided that the custodian pre- poration is not required to make any serves the anonymity of the contribu- method or any names and addresses tors as required by this section. The available to any labor organization. custodian shall file the required re- (4) The corporation shall notify the ports with the Federal Election Com- labor organization of its intention to mission or the Secretary of the Senate, make a solicitation under this section as appropriate. A custodian who serves during a calendar year and of the as treasurer is subject to all of the du- method it will use, within a reasonable ties, responsibilities, and liabilities of time prior to the solicitation, in order a treasurer under the Act, and may not to allow the labor organization oppor- participate in the decision making tunity to make a similar solicitation. process whereby the separate seg- (5) If there are several labor organiza- regated fund makes contributions and tions representing members employed expenditures. at a single corporation, its subsidi- (e) Availability of methods. (1) A cor- aries, branches, divisions, or affiliates, poration or labor organization or the the labor organizations, either sin- separate segregated fund of either may gularly or jointly, may not make a not use a payroll deduction plan, a combined total of more than two writ- check-off system, or other plan which ten solicitations per calendar year. A deducts contributions from an employ- written solicitation may contain a re- ee’s paycheck as a method of facili- quest for contributions to each sepa- tating the making of contributions rate fund established by the various under this section. labor organizations making the com- (2) The twice yearly solicitation may bined mailing. only be used by a corporation or labor (52 U.S.C. 30101(8)(B)(iii), 30102(c)(3), organization to solicit contributions to 30111(a)(8)) its separate segregated fund and may [41 FR 35955, Aug. 25, 1976, as amended at 45 not be used for any other purpose. FR 15125, Mar. 7, 1980; 61 FR 3550, Feb. 1, 1996] (3) A corporation is required to make available to a labor organization rep- § 114.7 Membership organizations, co- resenting any members working for the operatives, or corporations without corporation or its subsidiaries, capital stock. branches, divisions, or affiliates the (a) Membership organizations, co- method which the corporation uses to operatives, or corporations without solicit employees under this section capital stock, or separate segregated during any calendar year. funds established by such persons may (i) If the corporation uses a method solicit contributions to the fund from to solicit any employees under this sec- members and executive or administration, the corporation is required to tive personnel, and their families, of make that method available to the the organization, cooperative, or cor- labor organization to solicit the em- poration without capital stock. ployees of the corporation who are not (b) Nothing in this section waives the represented by that labor organization, prohibition on contributions to the and the executive or administrative separate segregated fund by corpora- personnel and the stockholders of the tions, national banks, or labor organi- corporation and their families. zations which are members of a mem- (ii) If the corporation does not wish bership organization, cooperative, or to disclose the names and addresses of corporation without capital stock. stockholders or employees, the cor- (c) A trade association whose mem- poration shall make the names and ad- bership is made up in whole or in part dresses of stockholders and employees of corporations is subject to the provi- available to an independent mailing sions of § 114.8 when soliciting any service which shall be retained to stockholders or executive or adminis- make the mailing for both the corpora- trative personnel of member corporation and the labor organization for any tions. A trade association which is a mailings under this section. membership organization may solicit (iii) If the corporation makes no so- its noncorporate members under the licitation of employees under this sec- provisions of this section.

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(d) The question of whether a profes- the limitations in 11 CFR 110.1 and sional organization is a corporation is 110.2. determined by the law of the State in (2) A cooperative as described in which the professional organization ex- paragraph (k)(1) of this section may ists. make communications to its members (e) There is no limitation upon the under the provisions of 11 CFR 114.3. number of times an organization under (52 U.S.C. 30118, 30107(a)(8)) this section may solicit its members and executive or administrative per- [41 FR 35955, Aug. 25, 1976, as amended at 48 sonnel, and their families. FR 50508, Nov. 2, 1983; 58 FR 45775, Aug. 30, 1993] (f) There is no limitation under this section on the method of solicitation § 114.8 Trade associations. or the method of facilitating the mak- (a) Definition. A trade association is ing of voluntary contributions which generally a membership organization may be used. of persons engaging in a similar or re- (g) A membership organization, coop- lated line of commerce, organized to erative, or corporation without capital promote and improve business condi- stock and the separate segregated tions in that line of commerce and not funds of the organizations are subject to engage in a regular business of a to the provisions in § 114.5(a). kind ordinarily carried on for profit, (h) A membership organization, coop- and no part of the net earnings of erative, or corporation without capital which inures to the benefit of any stock may communicate with its mem- member. bers and executive or administrative (b) Prohibition. Nothing in this sec- personnel, and their families, under the tion waives the prohibition on con- provisions of § 114.3. tributions by corporations which are (i) A mutual life insurance company members of a trade association. may solicit its policyholders if the pol- (c) Limitations. A trade association or icyholders are members within the or- a separate segregated fund established ganizational structure. by a trade association may solicit con- (j) A membership organization, in- tributions from the stockholders and cluding a trade association, coopera- executive or administrative personnel tive, or corporation without capital of the member corporations of such stock or a separate segregated fund es- trade association and the families of tablished by such organization may not such stockholders and personnel if— solicit contributions from the separate (1) The member corporation involved segregated funds established by its has separately and specifically ap- members. The separate segregated fund proved the solicitations; and established by a membership organiza- (2) The member corporation has not tion, including a trade association, co- approved a solicitation by any other operative, or corporation without cap- trade association for the same calendar ital stock may, however, accept unso- year. licited contributions from the separate (d) Separate and specific approval. (1) segregated funds established by its The member corporation must know- members. ingly and specifically approve any so- (k)(1) A federated cooperative as de- licitation for a trade association, fined in the Agricultural Marketing whether the solicitation is done by the Act of 1929, 12 U.S.C. 1141j, or a rural trade association, its separate seg- cooperative eligible for assistance regated fund, or the corporation or any under chapter 31 or title 7 of the United of its personnel, for contributions to States Code, may solicit the members the trade association’s separate seg- of the cooperative’s regional, state or regated fund. local affiliates, provided that all of the (2) A copy of each approved request political committees established, fi- received by a trade association or its nanced, maintained or controlled by separate segregated fund shall be main- the cooperative and its regional, State tained by the trade association or its or local affiliates are considered one fund for three years from the year for political committee for the purposes of which the approval is given.

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(3) The request for approval may con- (e) Solicitation. (1) After a trade asso- tain a copy of solicitation materials ciation has obtained the approval re- which will be used if approval is grant- quired in paragraph (c) of this section, ed. Such a mailing must specifically there is no limit on the number of indicate the requirement of approval times the trade association or its sepa- and the limitation of paragraph (c)(2) rate segregated fund may solicit the of this section, and approval must be persons approved by the member cor- granted to the trade association or its poration during the calendar year to separate segregated fund prior to the which the approval applies. The mem- time any solicitation is made of the ber corporation may, however, in its stockholders or executive or adminis- approval limit the number of times so- trative personnel by the trade associa- licitations may be made. tion, its separate segregated fund, or (2) A member corporation which by the corporation for contributions to grants permission to a trade associa- the separate segregated fund of the tion to solicit is in no way restricted in trade association. (The request for ap- its rights under § 114.5(g) to solicit its proval may be sent to the representa- stockholders or executive or adminis- tives of the corporation with whom the trative personnel and their families for trade association normally conducts contributions to the corporation’s own the association’s activities.) separate segregated fund. (4) A separate authorization specifi- (3) There is no limitation on the cally allowing a trade association to method of soliciting voluntary con- solicit its corporate member’s stock- tributions or the method of facilitating holders, and executive or administra- the making of voluntary contributions tive personnel applies through the cal- which a trade association may use. endar year for which it is designated. A (4) A corporation may provide inci- separate authorization by the cor- dental services to collect and forward porate member must be designated for contributions from its employee stock- each year during which the solicitation holders and executive and administra- is to occur. This authorization may be tive personnel to the separate seg- requested and may also be received regated fund of a trade association of prior to the calendar year in which the which the corporation is a member, in- solicitation is to occur. cluding a payroll deduction or check- (5) In its request to a member cor- off system, upon written request of the poration, a trade association may indi- trade association. Any corporation cate that it intends to solicit, for ex- that provides such incidental services, ample, a limited class of the executive and the corporation’s subsidiaries, or administrative personnel of the branches, divisions, and affiliates, shall member corporation, or only the execu- make those incidental services avail- tive or administrative personnel but able to a labor organization rep- not the stockholders of the member resenting any members working for the corporation. Moreover, in its approval, corporation or the corporation’s sub- a member corporation may similarly sidiaries, branches, divisions, or affili- limit any solicitation by the trade as- ates, upon written request of the labor sociation or its separate segregated organization and at a cost sufficient fund. In any event, a member corpora- only to reimburse the corporation or tion, once it has approved any solicita- the corporation’s subsidiaries, tion—even to a limited extent—of its branches, divisions, and affiliates, for personnel or stockholders by a trade the expenses incurred thereby. association or its separate segregated (5) A trade association and/or its sep- fund, is precluded from approving any arate segregated fund is subject to the such solicitation by another trade as- provisions of § 114.5(a). sociation or its separate segregated (f) Solicitation of a subsidiary corpora- fund and the corporation and its per- tion. If a parent corporation is a mem- sonnel are precluded from soliciting ber of the trade association but its sub- the corporation’s executive or adminis- sidiary is not, the trade association or trative personnel or stockholders on its separate segregated fund may only behalf of another trade association or solicit the parent’s executive or admin- its separate segregated fund. istrative personnel and their families

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and the parent’s stockholders and their with the representatives of the cor- families; it may not solicit the subsidi- poration with whom the trade associa- ary’s executive or administrative per- tion normally conducts the associa- sonnel or stockholders or their fami- tion’s activities. lies. If a subsidiary is a member of the (i) Trade association employees. (1) A trade association but the parent cor- trade association may communicate poration is not, the trade association with its executive or administrative or its separate segregated fund may personnel and their families under the only solicit the subsidiary’s executive provisions of § 114.3; a trade association or administrative personnel and their may communicate with its other em- families and the subsidiary’s stock- ployees under the provisions of § 114.4. holders and their families; it may not (2) A trade association may solicit its solicit the parent’s executive or admin- executive or administrative personnel istrative personnel or stockholders or and their families under the provisions their families. If both parent and sub- of § 114.5(g); a trade association may so- sidiary are members of the trade asso- licit its other employees under the pro- ciation, the executive or administra- visions of § 114.6. tive personnel and their families and (52 U.S.C. 30118, 30107(a)(8)) the stockholders and their families of each may be solicited. [41 FR 35955, Aug. 25, 1976, as amended at 48 (g) Federations of trade associations. (1) FR 48650, Oct. 20, 1983; 48 FR 50508, Nov. 2, 1983; 54 FR 10622, Mar. 15, 1989; 54 FR 27154, A federation of trade associations is an June 28, 1989, 54 FR 34114, Aug. 17, 1989; 54 FR organization representing trade asso- 48580, Nov. 24, 1989; 55 FR 2281, Jan. 23, 1990; ciations involved in the same or allied 70 FR 41944, July 21, 2005] line of commerce. Such a federation may, subject to the following limita- § 114.9 Use of corporate or labor orga- tions, solicit the members of the fed- nization facilities. eration’s regional, State or local affili- (a) Use of corporate facilities for indi- ates or members, provided that all of vidual volunteer activity by stockholders the political committees established, and employees. (1) Stockholders and em- financed, maintained or controlled by ployees of the corporation may, subject the federation and its regional, State, to the rules and practices of the cor- or local affiliates or members are con- poration and 11 CFR 100.54, make occa- sidered one political committee for the sional, isolated, or incidental use of the purposes of the limitations in §§ 110.1 facilities of a corporation for indi- and 110.2. The factors set forth at vidual volunteer activity in connection § 100.5(g)(4) shall be used to determine with a Federal election and will be re- whether an entity is a regional, State quired to reimburse the corporation or local affiliate of a federation of only to the extent that the overhead or trade associations. operating costs of the corporation are (i) The federation and its member as- increased. A corporation may not con- sociations may engage in a joint solici- dition the availability of its facilities tation; or on their being used for political activ- (ii) The member association may del- ity, or on support for or opposition to egate its solicitation rights to the fed- any particular candidate or political eration. party. As used in this paragraph, occa- (2) A federation is subject to the pro- sional, isolated, or incidental use gen- visions of this section when soliciting erally means— the stockholders and executive or ad- (i) When used by employees during ministrative personnel of the corporate working hours, an amount of activity members of its member associations. which does not prevent the employee (h) Communications other than solicita- from completing the normal amount of tions. A trade association may make work which that employee usually car- communications, other than solicita- ries out during such work period; or tions, to its members and their fami- (ii) When used by stockholders other lies under the provisions of § 114.3. than employees during the working pe- When making communications to a riod, such use does not interfere with member which is a corporation, the the corporation in carrying out its nor- trade association may communicate mal activities.

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(2) Safe harbor. For the purposes of candidate or political party. As used in paragraph (a)(1) of this section, the fol- this paragraph, occasional, isolated, or lowing shall be considered occasional, incidental use generally means— isolated, or incidental use of corporate (i) When used by employees during facilities: working hours, an amount of activity (i) Any individual volunteer activity during any particular work period that does not exceed one hour per week which does not prevent the employee or four hours per month, regardless of from completing the normal amount of whether the activity is undertaken work which that employee usually car- during or after normal working hours; ries out during such work period; or or (ii) When used by members other (ii) Any such activity that con- than employees during the working pe- stitutes voluntary individual Internet riod, such use does not interfere with activities (as defined in 11 CFR 100.94), the labor organization in carrying out in excess of one hour per week or four its normal activities. hours per month, regardless of whether (2) Safe harbor. For the purposes of the activity is undertaken during or paragraph (b)(1) of this section, the fol- after normal working hours, provided lowing shall be considered occasional, that: isolated, or incidental use of labor or- (A) As specified in 11 CFR 100.54, the ganization facilities: activity does not prevent the employee (i) Any individual volunteer activity from completing the normal amount of that does not exceed one hour per week work for which the employee is paid or or four hours per month, regardless of is expected to perform; whether the activity is undertaken (B) The activity does not increase the during or after normal working hours; overhead or operating costs of the cor- or poration; and (C) The activity is not performed (ii) Any such activity that con- under coercion. stitutes voluntary individual Internet (3) A stockholder or employee who activities (as defined in 11 CFR 100.94), makes more than occasional, isolated, in excess of one hour per week or four or incidental use of a corporation’s fa- hours per month, regardless of whether cilities for individual volunteer activi- the activity is undertaken during or ties in connection with a Federal elec- after normal working hours, provided tion is required to reimburse the cor- that: poration within a commercially rea- (A) As specified in 11 CFR 100.54, the sonable time for the normal and usual activity does not prevent the employee rental charge, as defined in 11 CFR from completing the normal amount of 100.52(d)(2), for the use of such facili- work for which the employee is paid or ties. is expected to perform; (b) Use of labor organization facilities (B) The activity does not increase the for individual volunteer activity by offi- overhead or operating costs of the cials, members, and employees. (1) The of- labor organization; and ficials, members, and employees of a (C) The activity is not performed labor organization may, subject to the under coercion. rules and practices of the labor organi- (3) The officials, members, and em- zation and 11 CFR 100.54, make occa- ployees who make more than occasional, isolated, or incidental use of the sional, isolated, or incidental use of a facilities of a labor organization for in- labor organization’s facilities for indi- dividual volunteer activity in connec- vidual volunteer activities in connection with a Federal election and will be tion with a Federal election are re- required to reimburse the labor organi- quired to reimburse the labor organiza- zation only to the extent that the over- tion within a commercially reasonable head or operating costs of the labor or- time for the normal and usual rental ganization are increased. A labor orga- charge, as defined in 11 CFR nization may not condition the avail- 100.52(d)(2), for the use of such facili- ability of its facilities on their being ties. used for political activity, or on sup- (c) Use of corporate or labor organiza- port for or opposition to any particular tion facilities to produce materials. Any

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person who uses the facilities of a cor- Commission has not conducted a rulemaking poration or labor organization to in response to these cases. produce materials in connection with a (b) Reporting independent expenditures Federal election is required to reim- and electioneering communications. (1) burse the corporation or labor organi- Corporations and labor organizations zation within a commercially reason- that make independent expenditures able time for the normal and usual aggregating in excess of $250 with re- charge for producing such materials in spect to a given election in a calendar the commercial market. year shall file reports as required by 11 (d) Use or rental of corporate or labor CFR part 114, 104.4(a), and 109.10(b)–(e). organization facilities by other persons. Persons, other than those specifically (2) Corporations and labor organiza- mentioned in paragraphs (a) and (b) of tions that make electioneering com- this section, who make any use of cor- munications aggregating in excess of porate or labor organization facilities, $10,000 in a calendar year shall file the such as by using telephones or type- statements required by 11 CFR writers or borrowing office furniture, 104.20(b). for activity in connection with a Fed- (c) Non-authorization notice. Corpora- eral election are required to reimburse tions or labor organizations making the corporation or labor organization independent expenditures or election- within a commercially reasonable time eering communications shall comply in the amount of the normal and usual with the requirements of 11 CFR 110.11. rental charge, as defined in 11 CFR (d) Segregated bank account. A cor- 100.52(d)(2), for the use of the facilities. poration or labor organization may, (e) Nothing in this section shall be but is not required to, establish a seg- construed to alter the provisions in 11 regated bank account into which it de- CFR Part 114 regarding communica- posits only funds donated or otherwise tions to and beyond a restricted class. provided by persons other than national banks, corporations organized [41 FR 35955, Aug. 25, 1976, as amended at 45 FR 21210, Apr. 1, 1980; 67 FR 78681, 78682, Dec. by authority of any law of Congress, or 26, 2002; 68 FR 69595, Dec. 15, 2003; 71 FR 18614, foreign nationals (as defined in 11 CFR Apr. 4, 2006] 110.20(a)(3)), as described in 11 CFR 104.20(c)(7), from which it makes dis- § 114.10 Corporations and labor orga- bursements for electioneering commu- nizations making independent ex- nications. penditures and electioneering communications. (e) Activities prohibited by the Internal Revenue Code. Nothing in this section (a) General. Corporations and labor shall be construed to authorize any or- organizations may make independent ganization exempt from taxation under expenditures, as defined in 11 CFR 26 U.S.C. 501(a) to carry out any activ- 100.16, and electioneering communica- ity that it is prohibited from under- tions, as defined in 11 CFR 100.29. Cor- taking by the Internal Revenue Code, porations and labor organizations are 26 U.S.C. 501, et seq. prohibited from making coordinated expenditures as defined in 11 CFR [79 FR 62819, Oct. 21, 2014] 109.20, coordinated communications as defined in 11 CFR 109.21, or contribu- § 114.11 Employee participation plans. tions as defined in 11 CFR part 100, sub- (a) A corporation may establish and part B. administer an employee participation NOTE TO PARAGRAPH (a): Pursuant to plan (i.e., a trustee plan) which is a po- SpeechNow.org v. FEC, 599 F.3d 686 (D.C. Cir. litical giving program in which a cor- 2010) (en banc), and Carey v. FEC, 791 F. Supp. poration pays the cost of establishing 2d 121 (D.D.C. 2011), corporations and labor and administering separate bank ac- organizations may make contributions to counts for any employee who wishes to non-connected political committees that participate. The cost of administering make only independent expenditures, or to separate accounts maintained by non-con- and establishing includes the payment nected political committees for making only of costs for a payroll deduction or independent expenditures, notwithstanding check-off plan and the cost of main- 11 CFR 114.2(b) and 11 CFR 114.10(a). The taining the separate bank accounts.

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(1) The employees must exercise com- § 114.12 Incorporation of political complete control and discretion over the mittees; payment of fringe benefits. disbursement of the monies in their ac- (a) An organization may incorporate counts. and not be subject to the provisions of (2) The trustee, bank, or other ad- this part if the organization incor- ministrator shall not provide the cor- porates for liability purposes only, and poration or its separate segregated if the organization is a political com- fund any report of the source or recipi- mittee as defined in 11 CFR 100.5. Not- ent of any contribution(s) or dona- withstanding the corporate status of tion(s) into or out of any account or of the political committee, the treasurer the amount any employee has in an ac- of an incorporated political committee count. remains personally responsible for car- (3) The trustee, bank, or other ad- rying out their respective duties under ministrator may provide the corpora- the Act. tion or its separate segregated fund (b) [Reserved] with a periodic report limited to infor- (c)(1) A corporation or labor organi- mation about the total number of em- zation may not pay the employer’s ployees in the program, the total num- share of the cost of fringe benefits, ber of funds in all the accounts com- such as health and life insurance and bined, and the total amount of con- retirement, for employees or members tributions made to all candidates and on leave-without-pay to participate in committees combined. political campaigns of Federal can- (4) No stockholder, director, or em- didates. The separate segregated fund ployee of the corporation or its sepa- of a corporation or a labor organization rate segregated fund may exert pres- may pay the employer’s share of fringe sure of any kind to induce participa- benefits, and such payment would be a tion in the program. contribution in-kind to the candidate. (5) No stockholder, director, or em- An employee or member may, out of ployee of the corporation or its sepa- unreimbursed personal funds, assure rate segregated fund may exercise any the continuity of his or her fringe ben- direction or control, either oral or efits during absence from work for po- written, over contributions by partici- litical campaigning, and such payment pants in the program to any candidate, would not be a contribution in-kind. group of candidates, political party, or (2) Service credit for periods of leave- other person. without-pay is not considered com- (b) An employee participation plan pensation for purposes of this section if must be made available to all employ- the employer normally gives identical ees including members of a labor orga- treatment to employees placed on nization who are employees of the cor- leave-without-pay for nonpolitical pur- poration. Communications about par- poses. ticipation in the plan may be conducted by either the corporation or the [41 FR 35955, Aug. 25, 1976, as amended at 45 labor organization or both. FR 21210, Apr. 1, 1980; 60 FR 31382, June 15, 1995; 60 FR 64279, Dec. 14, 1995; 79 FR 16663, (c) A labor organization may estab- Mar. 26, 2014] lish and administer an employee participation plan subject to the above § 114.13 Use of meeting rooms. provisions, except that the cost shall Notwithstanding any other provi- be borne by the labor organization. sions of part 114, a corporation or labor (d) The method used to transmit em- organization which customarily makes ployee or member contributions to the its meeting rooms available to clubs, candidate or political committee may civic or community organizations, or not in any manner identify the cor- other groups may make such facilities poration or labor organization which available to a political committee or established the employee particiption candidate if the meeting rooms are plan. made available to any candidate or po- [41 FR 35955, Aug. 25, 1976] litical committee upon request and on

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the same terms given to other groups (1) A sole source, negotiated, or ad- using the meeting rooms. vertised procurement conducted by the United States or any of its agencies; [60 FR 64279, Dec. 14, 1995] (2) A written (except as otherwise authorized) contract, between any person §§ 114.14–114.15 [Reserved] and the United States or any of its departments or agencies, for the fur- PART 115—FEDERAL nishing of personal property, real prop- CONTRACTORS erty, or personal services; and (3) Any modification of a contract. Sec. (d) The basic contractual relation- 115.1 Definitions. ship must be with the United States or 115.2 Prohibition. any department or agency thereof. A 115.3 Corporations, labor organizations, person who contracts with a State or membership organizations, cooperatives, local jurisdiction or entity other than and corporations without capital stock. the United States or any department 115.4 Partnerships. or agency thereof is not subject to this 115.5 Individuals and sole proprietors. part, even if the State or local jurisdic- 115.6 Employee contributions or expendi- tion or entity is funded in whole or in tures. part from funds appropriated by the AUTHORITY: 52 U.S.C. 30107(a)(8), 30111(a)(8), Congress. The third party beneficiary and 30119. of a Federal contract is not subject to SOURCE: 41 FR 35963, Aug. 25, 1976, unless the prohibitions of this part. otherwise noted. (e) The term labor organization has the meaning given it by § 114.1(a). § 115.1 Definitions. [41 FR 35963, Aug. 25, 1976, as amended at 45 (a) A Federal contractor means a per- FR 21210, Apr. 1, 1980] son, as defined in 11 CFR 100.10 who— (1) Enters into any contract with the § 115.2 Prohibition. United States or any department or (a) It shall be unlawful for a Federal agency thereof either for— contractor, as defined in § 115.1(a), to (i) The rendition of personal services; make, either directly or indirectly, any or contribution or expenditure of money (ii) Furnishing any material, sup- or other thing of value, or to promise plies, or equipment; or expressly or impliedly to make any (iii) Selling any land or buildings; such contribution or expenditure to (2) If the payment for the perform- any political party, committee, or can- ance of the contract or payment for the didate for Federal office or to any per- material, supplies, equipment, land, or son for any political purpose or use. building is to be made in whole or in This prohibition does not apply to con- part from funds appropriated by the tributions or expenditures in connec- Congress. tion with State or local elections. (b) This prohibition runs for the time (b) The period during which a person period set forth in § 115.1(b). is prohibited from making a contribu- (c) It shall be unlawful for any person tion or expenditure is the time between knowingly to solicit any such contribu- the earlier of the commencement of ne- tion from a Federal contractor. gotiations or when the requests for proposals are sent out, and the later § 115.3 Corporations, labor organiza- of— tions, membership organizations, (1) The completion of performance cooperatives, and corporations under; or without capital stock. (2) The termination of negotiations (a) Corporations, labor organizations, for, the contract or furnishing of mate- membership organizations, coopera- rial, supplies, equipment, land, or tives, and corporations without capital buildings, or the rendition of personal stock to which this part applies may services. expend treasury monies to establish, (c) For purposes of this part, a con- administer, and solicit contributions to tract includes any separate segregated fund subject to

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the provisions of part 114. Each specific PART 116—DEBTS OWED BY CAN- prohibition, allowance, and duty appli- DIDATES AND POLITICAL COM- cable to a corporation, labor organiza- MITTEES tion, or separate segregated fund under part 114 applies to a corporation, labor Sec. organization, or separate segregated 116.1 Definitions. fund to which this part applies. 116.2 Debts owed by terminating commit- (b) The question of whether a profes- tees, ongoing committees, and authorized committees. sional organization is a corporation is 116.3 Extensions of credit by commercial determined by the law of the State in vendors. which the professional organization ex- 116.4 Forgiveness or settlement of debts ists. owed to commercial vendors. 116.5 Advances by committee staff and § 115.4 Partnerships. other individuals. 116.6 Salary payments owed to employees. (a) The assets of a partnership which 116.7 Debt settlement plans filed by termi- is a Federal contractor may not be nating committees; Commission review. used to make contributions or expendi- 116.8 Creditor forgiveness of debts owed by tures in connection with Federal elec- ongoing committees; Commission review. 116.9 Creditors that cannot be found or that tions. are out of business. (b) Individual partners may make 116.10 Disputed debts. contributions or expenditures in their 116.11 Restriction on an authorized commit- own names from their personal assets. tee’s repayment of personal loans exceed- (c) Nothing in this part prohibits an ing $250,000 made by the candidate to the authorized committee. employee of a partnership which is a 116.12 Repayment of candidate loans of Federal contractor from making con- $250,000 or less. tributions or expenditures from his or AUTHORITY: 52 U.S.C. 30103(d), 30104(b)(8), her personal assets. 30111(a)(8), 30116, 30118, and 30141. § 115.5 Individuals and sole propri- SOURCE: 55 FR 26386, June 27, 1990, unless etors. otherwise noted. Individuals or sole proprietors who § 116.1 Definitions. are Federal contractors are prohibited (a) Terminating committee. For pur- from making contributions or expendi- poses of this part, terminating committee tures from their business, personal, or means any political committee that is other funds under their dominion or winding down its political activities in control. The spouse of an individual or preparation for filing a termination re- sole proprietor who is a Federal con- port, and that would be able to termi- tractor is not prohibited from making nate under 11 CFR 102.3 except that it a personal contribution or expenditure has outstanding debts or obligations. A in his or her name. political committee will be considered to be winding down its political activi- § 115.6 Employee contributions or ex- ties if it has ceased to make or accept penditures. contributions and expenditures, other Nothing in this part shall prohibit than contributions accepted for debt the stockholders, officers, or employ- retirement purposes and expenditures ees of a corporation, the employees, of- representing payments of debts or obli- ficers, or members of an unincor- gations previously incurred or payments for the costs associated with the porated association, cooperative, mem- termination of political activity, such bership organization, labor organiza- as the costs of complying with the post tion, or other group or organization election requirements of the Act, if ap- which is a Federal contractor from plicable, and other necessary adminis- making contributions or expenditures trative costs associated with winding from their personal assets. down a campaign or winding down committee activities, including office space rental, staff salaries and office supplies.

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(b) Ongoing committee. For purposes of set forth in this part, and whether or this part, ongoing committee means any not the proposed debt settlement plan political committee that has not ter- would result in an apparent violation minated and does not qualify as a ter- of the Act or the Commission’s regula- minating committee. tions. (c) Commercial vendor. For purposes of (b) Ongoing committees. Ongoing com- this part, commercial vendor means any mittees shall not settle any out- persons providing goods or services to a standing debts for less than the entire candidate or political committee whose amount owed, but may request a Com- usual and normal business involves the mission determination that such debts sale, rental, lease or provision of those are not payable under 11 CFR 116.9, and goods or services. may resolve disputed debts under 11 (d) Disputed debt. For purposes of this CFR 116.10. Creditors may forgive debts part, disputed debt means an actual or owed by ongoing committees under the potential debt or obligation owed by a limited circumstances provided in 11 political committee, including an obli- CFR 116.8. gation arising from a written contract, (c) Authorized committees. (1) An au- promise or agreement to make an ex- thorized committee shall not settle penditure, where there is a bona fide any outstanding debts for less than the disagreement between the creditor and entire amount owed if any other au- the political committee as to the exist- thorized committee of the same can- ence or amount of the obligation owed didate has permissible funds available by the political committee. to pay part or all of the amount out- (e) Extension of credit. For purposes of standing. Except as provided in para- this part, extension of credit includes graph (c)(3), of this section, an author- but is not limited to: ized committee shall not terminate (1) Any agreement between the cred- under 11 CFR 102.3 if— itor and political committee that full (i) It has any outstanding debts or payment is not due until after the obligations; or creditor provides goods or services to (ii) It has any funds or assets avail- the political committee; able to pay part or all of the out- (2) Any agreement between the cred- standing debts or obligations owed by itor and the political committee that another authorized committee of the the political committee will have addi- same candidate and that other author- tional time to pay the creditor beyond ized committee is unable to pay such the previously agreed to due date; and debts or obligations. (3) The failure of the political com- (2) No transfers of funds may be made mittee to make full payment to the from a candidate’s authorized com- creditor by a previously agreed to due mittee to another authorized com- date. mittee of the same candidate if the (f) Creditor. For purposes of this part, transferor committee has net debts creditor means any person or entity to outstanding at the time of the transfer whom a debt is owed. under the formula described in 11 CFR [55 FR 26386, June 27, 1990; 55 FR 34007, Aug. 110.1(b)(3)(ii). 20, 1990] (3) An authorized committee that qualifies as a terminating committee § 116.2 Debts owed by terminating may assign debts to another authorized committees, ongoing committees, committee of the same candidate to and authorized committees. the extent permitted under applicable (a) Terminating committees. A termi- state law provided that the authorized nating committee may settle out- committee assigning the debts has no standing debts provided that the termi- cash on hand or assets available to pay nating committee files a debt settle- any part of the outstanding debts, and ment plan and the requirements of 11 provided that the authorized com- CFR 116.7 are satisfied. The Commis- mittee assigning the debts was not or- sion will review each debt settlement ganized to further the candidate’s cam- plan filed to determine whether or not paign in an election not yet held. If a the terminating committee appears to Presidential candidate elects to receive have complied with the requirements federal funds pursuant to 11 CFR part

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9001 et seq. or 11 CFR part 9031 et seq., credit to nonpolitical debtors that are the authorized committee(s) of the of similar risk and size of obligation. Presidential candidate shall not assign (b) Incorporated vendor. A corporation debts or receive assigned debts until in its capacity as a commercial vendor after the authorized committee(s) or may extend credit to a candidate, a po- the Presidential candidate has made litical committee or another person on all required repayments pursuant to 11 behalf of a candidate or political com- CFR parts 9007 and 9038 and has paid all mittee provided that the credit is ex- civil penalties pursuant to 52 U.S.C. tended in the ordinary course of the 30109. An authorized committee that corporation’s business and the terms has assigned all its outstanding debts are substantially similar to extensions may terminate if— of credit to nonpolitical debtors that (i) The authorized committee that are of similar risk and size of obliga- has assigned the debts otherwise quali- tion. fies for termination under 11 CFR 102.3; and (c) Ordinary course of business. In de- (ii) The authorized committee that termining whether credit was extended received the assigned debts notifies the in the ordinary course of business, the Commission in writing that it has as- Commission will consider— sumed the obligation to pay the entire (1) Whether the commercial vendor amount owed and that it has assumed followed its established procedures and the obligation to report the debts, and its past practice in approving the ex- any contributions received for retire- tension of credit; ment of the assigned debts, in accord- (2) Whether the commercial vendor ance with 11 CFR part 104. The assigned received prompt payment in full if it debts shall be disclosed on a separate previously extended credit to the same schedule of debts and obligations at- candidate or political committee; and tached to the authorized committee’s (3) Whether the extension of credit reports. Contributions received for re- conformed to the usual and normal tirement of the assigned debts shall be practice in the commercial vendor’s disclosed on a separate schedule of re- trade or industry. ceipts attached to the authorized com- (d) Extension of credit by regulated in- mittee’s reports. See 11 CFR 110.1 (b)(3) dustries. The Commission may rely on and (b)(4) and 110.2 (b)(3) and (b)(4). The the regulations prescribed by the Fed- authorized committee that has as- eral Communications Commission, the signed the debts shall notify each cred- Interstate Commerce Commission, and itor in writing of the assignment no the Department of Transportation on later than thirty days before the as- behalf of the Civil Aeronautics Board, signment takes effect and shall include issued pursuant to 52 U.S.C. 30141 and the name and address of the authorized any other regulations prescribed by committee that will receive the as- other Federal agencies to determine signed debts. whether extensions of credit by the en- [55 FR 26386, June 27, 1990, as amended at 79 tities regulated by those Federal agen- FR 77849, Dec. 29, 2014] cies were made in the ordinary course of business. § 116.3 Extensions of credit by commercial vendors. [55 FR 26386, June 27, 1990, as amended at 79 (a) Unincorporated vendor. A commer- FR 77849, Dec. 29, 2014] cial vendor that is not a corporation may extend credit to a candidate, a po- § 116.4 Forgiveness or settlement of debts owed to commercial vendors. litical committee or another person on behalf of a candidate or political com- (a) Unincorporated vendor. A commer- mittee. An extension of credit will not cial vendor that is not a corporation be considered a contribution to the may forgive or settle a debt incurred candidate or political committee pro- by a candidate, a political committee vided that the credit is extended in the or another person on behalf of a can- ordinary course of the commercial ven- didate or political committee for less dor’s business and the terms are sub- than the entire amount owed on the stantially similar to extensions of debt. The amount forgiven will not be

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considered a contribution by the com- (3) The commercial vendor has pur- mercial vendor to the candidate or po- sued its remedies as vigorously as it litical committee if— would pursue its remedies against a (1) The amount forgiven is exempted nonpolitical debtor in similar cir- from the definition of contribution in cumstances. Such remedies may in- 11 CFR part 100, subpart C; or clude, but are not limited to, the fol- (2) The commercial vendor has treat- lowing— ed the debt in a commercially reason- (i) Oral and written requests for payable manner and the requirements of 11 ment; CFR 116.7 or 116.8, as appropriate, are (ii) Withholding delivery of addi- satisfied. tional goods or services until overdue (b) Incorporated vendor. A corporation debts are satisfied; may not forgive or settle a debt in- (iii) Imposition of additional charges curred by a candidate, a political com- or penalties for late payment; mittee or another person on behalf of a (iv) Referral of overdue debts to a candidate or political committee for commercial debt collection service; less than the entire amount owed on and the debt unless— (v) Litigation. (1) The amount forgiven is exempted (e) Settlement or forgiveness not re- from the definition of contribution in quired. The provisions of this part shall 11 CFR part 100, subpart C; or not be construed to require a commer- (2) The corporation has treated the cial vendor to forgive or settle the debt debt in a commercially reasonable for less than the entire amount owed. manner and the requirements of 11 (f) Reporting. The political committee CFR 116.7 or 116.8, as appropriate, are shall continue to report the debt in ac- satisfied. cordance with 11 CFR 104.3(d) and 104.11 (c) Reasonable efforts by a political until the Commission has completed a committee. A debt or obligation owed by review of the debt settlement plan pur- a candidate or a political committee suant to 11 CFR 116.7(f) or until the may be totally forgiven (see 11 CFR Commission has completed a review of 116.8), or settled (see 11 CFR 116.7), pro- the request to forgive the debt pursu- vided that— ant to 11 CFR 116.8, or until the polit- (1) The amount forgiven is exempted ical committee pays the debt, which- from the definition of contribution in ever occurs first. 11 CFR part 100, subpart C; or [55 FR 26386, June 27, 1990, as amended at 67 (2) The candidate and the political FR 78682, Dec. 26, 2002] committee have undertaken all reasonable efforts to satisfy the outstanding § 116.5 Advances by committee staff debt and the requirements of 11 CFR and other individuals. 116.7 or 116.8, as appropriate, including (a) Scope. This section applies to indi- the submission of the information spec- viduals who are not acting as commer- ified in those sections and Commission cial vendors. Individuals who are act- review, are satisfied. ing as commercial vendors shall follow (d) Commercially reasonable. The Com- the requirements of 11 CFR 116.3 and mission will determine that a debt set- 116.4. tlement between a political committee (b) Treatment as contributions. The and a commercial vendor is commer- payment by an individual from his or cially reasonable if— her personal funds, including a per- (1) The initial extension of credit was sonal credit card, for the costs incurred made in accordance with 11 CFR 116.3; in providing goods or services to, or ob- (2) The candidate or political com- taining goods or services that are used mittee has undertaken all reasonable by or on behalf of, a candidate or a po- efforts to satisfy the outstanding debt. litical committee is a contribution un- Such efforts may include, but are not less the payment is exempted from the limited to, the following— definition of contribution under 11 CFR (i) Engaging in fundraising efforts; 100.79. If the payment is not exempted (ii) Reducing overhead and adminis- under 11 CFR 100.79, it shall be consid- trative costs; and ered a contribution by the individual (iii) Liquidating assets; and unless—

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(1) The payment is for the individ- the political committee pays the debt, ual’s transportation expenses incurred whichever occurs first. while traveling on behalf of a candidate or political committee of a po- [55 FR 26386, June 27, 1990, as amended at 56 FR 35911, July 29, 1991; 67 FR 78682, Dec. 26, litical party or for usual and normal 2002] subsistence expenses incurred by an individual, other than a volunteer, while § 116.6 Salary payments owed to em- traveling on behalf of a candidate or ployees. political committee of a political (a) Treatment as debts or volunteer party; and services. If a political committee does (2) The individual is reimbursed with- not pay an employee for services ren- in sixty days after the closing date of dered to the political committee in ac- the billing statement on which the cordance with an employment contract charges first appear if the payment was or a formal or informal agreement to made using a personal credit card, or do so, the unpaid amount either may within thirty days after the date on be treated as a debt owed by the polit- which the expenses were incurred if a ical committee to the employee or, personal credit card was not used. For provided that the employee signs a purposes of this section, the closing written statement agreeing to be con- date shall be the date indicated on the sidered a volunteer, converted to a vol- billing statement which serves as the unteer services arrangement under 11 cutoff date for determining which CFR 100.74. The unpaid amount shall charges are included on that billing not be treated as a contribution under statement. In addition, ‘‘subsistence 11 CFR part 100, subparts B and C. expenses’’ include only expenditures (b) Settlement or forgiveness of the debt. for personal living expenses related to If the unpaid amount is treated as a a particular individual traveling on debt, the employee and the political committee business, such as food or committee may agree to a settlement lodging. of the debt for less than the entire (c) Treatment as debts. A political amount owed pursuant to 11 CFR 116.7. committee shall treat the obligation The provisions of this part shall not be arising from a payment described in construed to require the employee to paragraph (b) of this section as an out- settle the debt for less than the entire standing debt until reimbursed. amount owed. (d) Settlement or forgiveness of the debt. The individual and the political com- (c) Reporting. If the unpaid amount is mittee may agree to the total forgive- treated as a debt, the political com- ness of the debt (See 11 CFR 116.8) or a mittee shall continue to report the settlement of the debt for less than the debt in accordance with 11 CFR 104.3(d) entire amount owed (See 11 CFR 116.7), and 104.11 until the Commission has provided that the requirements of 11 completed a review of the debt settle- CFR 116.7 or 116.8, as appropriate, in- ment plan pursuant to 11 CFR 116.7(f) cluding the submission of the informa- or until the employee agrees to be con- tion specified in these sections and sidered a volunteer, or until the polit- Commission review, are satisfied. The ical committee pays the debt, which- provisions of this part shall not be con- ever occurs first. strued to require the individual to for- [55 FR 26386, June 27, 1990, as amended at 67 give or settle the debt for less than the FR 78682, Dec. 26, 2002] entire amount owed. (e) Reporting. The political com- § 116.7 Debt settlement plans filed by mittee shall continue to report the ob- terminating committees; Commis- ligation arising from the payment as a sion review. debt in accordance with 11 CFR 104.3(d) (a) Procedures for filing debt settlement and 104.11 until the Commission has plans. Every terminating committee as completed a review of the debt settle- defined in 11 CFR 116.1(a) shall file at ment plan pursuant to 11 CFR 116.7(f) least one debt settlement plan with the or until the Commission has completed Commission prior to filing its termi- a review of the request to forgive the nation report under 11 CFR 102.3. The debt pursuant to 11 CFR 116.8, or until terminating committee shall file a

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debt settlement plan after the credi- (d) Reporting. The terminating com- tors included in the debt settlement mittee shall continue to report each plan have agreed to the settlement or outstanding debt or obligation included forgiveness of the particular debt(s) in a debt settlement plan in accordance owed to each of them. The terminating with 11 CFR 104.3(d) and 104.11 until the committee shall not make any pay- Commission has completed a review of ments to the creditors included in the the debt settlement plan pursuant to debt settlement plan until completion paragraph (f) of this section. The ter- of Commission review. The Commis- minating committee shall continue to sion encourages terminating commit- report all remaining debts and obliga- tees to include as many debt settle- tions not included in the debt settlement agreements as possible in a debt ment plan in accordance with 11 CFR settlement plan. The terminating com- 104.3 and 104.11. mittee shall not file its termination re- (e) Contents of debt settlement plans. (1) port under 11 CFR 102.3 and shall not The debt settlement plan shall provide terminate until each debt or obligation the following information on each debt owed either: covered by the plan— (1) Has been paid in full; (i) The terms of the initial extension (2) Has been settled and the require- of credit and a description of the terms ments of this section, including Com- under which the creditor has extended mission review, have been satisfied; credit to nonpolitical debtors of simi- (3) Has been forgiven by the creditor lar risk and size of obligation; and the requirements of 11 CFR 116.8, (ii) A description of the efforts made including Commission review, have by the candidate or the terminating been satisfied; committee to satisfy the debt; (4) Has been determined not to be (iii) A description of the remedies payable pursuant to 11 CFR 116.9; or pursued by the creditor to obtain pay- (5) Has been otherwise extinguished ment of the debt and a comparison to or discharged. the remedies customarily pursued by (b) Debts subject to settlement. Debts the creditor in similar circumstances and obligations subject to the debt set- involving nonpolitical debtors; and tlement and Commission review re- (iv) The terms of the debt settlement quirements and procedures set forth in and a comparison to the terms of the this section include: creditor’s other debt settlements in- (1) Amounts owed to commercial ven- volving nonpolitical debtors in similar dors (See 11 CFR 116.3 and 116.4); circumstances, if any. (2) Debts arising from advances by (2) Each debt settlement plan filed committee staff and other individuals under this section shall include a (See 11 CFR 116.5); signed statement from each creditor (3) Salary owed to committee em- covered indicating agreement to the ployees (See 11 CFR 116.6); and terms of the settlement of the debt (4) Debts arising from loans from po- owed to that creditor. litical committees or individuals, in- (3) The debt settlement plan shall including candidates, to the extent per- clude a statement as to whether the mitted under 11 CFR part 110. terminating committee has sufficient (c) Debts that shall not be settled; Dis- cash on hand to pay the total amount puted debts. (1) Debts and obligations indicated in the debt settlement plan, that shall not be forgiven or settled for and if not, a statement as to what steps less than the entire amount owed in- the terminating committee will take clude repayment obligations pursuant to obtain the funds needed to make the to 11 CFR 9007.2, 9008.10, 9008.11, 9038.2 payments. or 9038.3 of funds received from the (4) If a debt settlement plan does not Presidential Election Campaign Fund include settlements for all of the ter- or the Presidential Primary Matching minating committee’s outstanding Payment Account. debts and obligations, the debt settle- (2) Disputed debts are not subject to ment plan shall include a separate list the debt settlement and Commission of all of the terminating committee’s review requirements and procedures. remaining debts and obligations, in- (See CFR 116.10). cluding debts that are not subject to

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debt settlement as set forth in para- (4) The total amount of debts and ob- graph (c) of this section. The debt set- ligations owed by the terminating com- tlement plan shall indicate— mittee to all creditors, compared to (i) Whether the terminating com- the total amount of cash on hand and mittee intends to pay the entire other amounts available to pay those amount still owed on each remaining debts and obligations; debt or obligation or to settle such (5) The year to date expenditures and debts and obligations, and if settle- receipts of the terminating committee; ment is contemplated, the terms that and were or will be offered to the cred- (6) Whether the total percentage that itor(s); and was or will be repaid on any loans (ii) Whether the terminating com- made by the candidate to the termi- mittee has sufficient cash on hand to nating committee is comparable to the pay such remaining debts and obliga- total percentage that was or will be tions, or to pay a lesser portion of such paid to other creditors. amounts, and if not, what steps the ter- (g) Debts dischargeable in bankruptcy. minating committee will take to ob- If a terminating committee is released tain the funds needed to make such from debts or obligations pursuant to a payments. discharge under 11 U.S.C. chapter 7, the (5) If the terminating committee ex- terminating committee’s debt settle- pects to have residual funds or assets ment plan shall include a copy of the after disposing of all its outstanding order issued by the Bankruptcy Court debts and obligations, the debt settle- of the United States so indicating, and ment plan shall include a statement as a list of all debts and obligations from to the purpose for which such residual which the terminating committee is funds or assets will be used. See 11 CFR released, in lieu of the information 110.1(b)(3)(iii) regarding contributions specified in paragraphs (e)(1), (e)(2), received to pay net debts outstanding and (e)(3) of this section. owed by authorized committees. (6) The political committee filing the § 116.8 Creditor forgiveness of debts debt settlement plan shall demonstrate owed by ongoing committees; Com- in the debt settlement plan that such mission review. political committee qualifies as a ter- (a) General requirements. A creditor minating committee under 11 CFR may forgive the outstanding balance of 116.1(a) and shall state when the polit- a debt owed by an ongoing committee ical committee expects to file a termi- if the creditor and the ongoing com- nation report under 11 CFR 102.3. mittee have satisfied the requirements (7) Upon the Commission’s request, of 11 CFR 116.3 or 116.5, as appropriate, the candidate, the terminating com- regarding extensions of credit by committee or the creditor shall provide mercial vendors and advances by com- such additional information as the mittee staff and other individuals, and Commission may require to review the the debt has been outstanding for at debt settlement plan. The Commission least twenty-four months, and— may also require the submission of ad- (1) The creditor has exercised reason- ditional debt settlement agreements able diligence in attempting to locate prior to Commission review of the debt the ongoing committee and has been settlement plan. unable to do so; or (f) Commission review of debt settlement (2) The ongoing committee— plans. In reviewing the debt settlement (i) Does not have sufficient cash on plan, the Commission will consider— hand to pay the creditor; (1) The information provided by the (ii) Has receipts of less than $1000 terminating committee and the credi- during the previous twenty-four tors under this section; months; (2) The amount of each debt that re- (iii) Has disbursements of less than mains unpaid and the length of time $1000 during the previous twenty-four each debt has been overdue; months; and (3) The amount and percentage of (iv) Owes debts to other creditors of each debt that would be forgiven under such magnitude that the creditor could the plan; reasonably conclude that the ongoing

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committee will not pay this particular (2) The political committee has exer- debt. cised reasonable diligence in attempt- (b) Procedures for forgiving debts. A ing to locate the creditor and has been creditor that intends to forgive a debt unable to do so. Reasonable diligence in owed by an ongoing committee shall attempting to locate the creditor means notify the Commission by letter of its the political committee has attempted intent. The letter shall demonstrate to ascertain the current address and that the requirements set forth in telephone number, and has attempted paragraph (a) of this section are satis- to contact the creditor by registered or fied. The letter shall provide the fol- certified mail, and either in person or lowing information— by telephone. (1) The terms of the initial extension (b) Terminating committees. If the po- of credit and a description of the terms litical committee making the request under which the creditor has extended is a terminating committee, the termi- credit to nonpolitical debtors of simi- nating committee shall include the re- lar risk and size of obligation; quest in a debt settlement plan filed (2) A description of the efforts made with the Commission, and shall dem- by the candidate or the ongoing com- onstrate that the requirements of 11 mittee to satisfy the debt; CFR 116.3, 116.5 or 116.6, as appropriate, (3) A description of the remedies pur- and 116.9(a) are satisfied. The termi- sued by the creditor to obtain payment nating committee shall continue to of the debt and a comparison to the disclose the debt on its schedules of remedies customarily pursued by the outstanding debts and obligations until creditor in similar circumstances in- the Commission has completed its re- volving nonpolitical debtors; and view of the debt settlement plan pursu- (4) An indication that the creditor ant to 11 CFR 116.7(f) and has deter- has forgiven other debts involving non- mined that the debt is not payable for political debtors in similar cir- purposes of the Act. cumstances, if any. (c) Commission review. Upon the Com- (c) Ongoing committees. If the political mission’s request, the ongoing com- committee making the request is an mittee or the creditor shall provide ongoing committee, the ongoing com- such additional information as the mittee shall make the request in writ- Commission may require to review the ing and shall demonstrate that the re- creditor’s request. The Commission quirements of 11 CFR 116.3, 116.5 or will review each request to forgive a 116.6, as appropriate, and 116.9(a) are debt to determine whether the can- satisfied. The Commission will review didate, the ongoing committee, and the the request to determine whether the creditor have complied with the re- ongoing committee and the creditor quirements of 11 CFR part 116, and have complied with the requirements whether or not the forgiveness of the of 11 CFR part 116, and to determine debt would result in an apparent viola- whether reporting the debt as not pay- tion of the Act or the Commission’s able would result in an apparent viola- regulations. tion of the Act or the Commission’s regulations. The ongoing committee § 116.9 Creditors that cannot be found shall continue to disclose the debt on or that are out of business. its schedules of outstanding debts and (a) General requirements. A political obligations until the Commission has committee may request that the Com- completed its review of the request and mission determine that a debt owed to has determined that the debt is not a creditor is not payable for purposes payable for purposes of the Act. of the Act if the debt has been out- (d) Reporting. Upon notification that standing for at least twenty-four the Commission has determined that months, and the requirements of para- the debt is not payable for purposes of graph (b) or (c) of this section, as ap- the Act, the political committee may propriate, have been satisfied, and— list the debt as not payable on the next (1) The creditor has gone out of busi- due report. Notwithstanding 11 CFR ness and no other entity has a right to 104.11, the debt does not have to be in- be paid the amount owed; or cluded in subsequent reports unless the

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status of the debt changes. The pres- didate’s campaign for election. Per- ence of a debt that the Commission has sonal loans also include loans made to determined is not payable shall not bar a candidate’s authorized committee the political committee from termi- that are endorsed or guaranteed by the nating its registration pursuant to 11 candidate or that are secured by the CFR 102.3. candidate’s personal funds. (b) For personal loans that, in the ag- § 116.10 Disputed debts. gregate, exceed $250,000 in connection (a) Reporting disputed debts. A polit- with an election, the authorized com- ical committee shall report a disputed mittee: debt in accordance with 11 CFR 104.3(d) (1) May repay the entire amount of and 104.11 if the creditor has provided the personal loans using contributions something of value to the political to the candidate or the candidate’s au- committee. Until the dispute is re- thorized committee provided that solved, the political committee shall those contributions were made on the disclose on the appropriate reports any day of the election or before; amounts paid to the creditor, any amount the political committee admits (2) May repay up to $250,000 of the it owes and the amount the creditor personal loans from contributions claims is owed. The political com- made to the candidate or the can- mittee may also note on the appro- didate’s authorized committee after priate reports that the disclosure of the date of the election; and the disputed debt does not constitute (3) Must not repay, directly or indian admission of liability or a waiver of rectly, the aggregate amount of the any claims the political committee personal loans that exceeds $250,000, may have against the creditor. (See also from contributions to the candidate or 11 CFR 9035.1(a)(2) regarding the effect the candidate’s authorized committee of disputed debts on a candidate’s ex- if those contributions were made after penditure limitations under 11 CFR the date of the election. part 9035.) (c) If the aggregate outstanding bal- (b) Disputed debts owed by terminating ance of the personal loans exceeds committees. If a terminating committee $250,000 after the election, the author- and a creditor have been unable to re- ized political committee must comply solve a disputed debt, and the termi- with the following conditions: nating committee files a debt settle- (1) If the authorized committee uses ment plan covering other debts or the amount of cash on hand as of the other creditors, the terminating committee shall include in the debt settle- day after the election to repay all or ment plan a brief description as to the part of the personal loans, it must do nature of the dispute and the status of so within 20 days of the election. the terminating committee’s efforts to (2) Within 20 days of the election resolve the dispute. The debt settle- date, the authorized committee must ment plan need not include a signed af- treat the portion of the aggregate out- fidavit from the creditor involved in standing balance of the personal loans the dispute pursuant to 11 CFR that exceeds $250,000 minus the amount 116.7(e)(2). of cash on hand as of the day after the election used to repay the loan as a § 116.11 Restriction on an authorized contribution by the candidate. committee’s repayment of personal (3) The candidate’s principal cam- loans exceeding $250,000 made by the candidate to the authorized paign committee must report the committee. transactions in paragraphs (c)(1) and (c)(2) of this section in the first report (a) For purposes of this part, personal loans mean a loan or loans, including scheduled to be filed after the election advances, made by a candidate, using pursuant to 11 CFR 104.5(a) or (b). personal funds, as defined in 11 CFR (d) This section applies separately to 100.33, to his or her authorized com- each election. mittee where the proceeds of the loan [68 FR 3996, Jan. 27, 2003] were used in connection with the can-

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§ 116.12 Repayment of candidate loans committee at any time before, on, or of $250,000 or less. after the date of the election. (a) A candidate’s authorized com- (b) This section applies separately to mittee may repay to the candidate a each election. personal loan, as defined in 11 CFR (c) Nothing in this section shall su- 116.11(a), of up to $250,000 where the persede 11 CFR 9035.2 regarding the proceeds of the loan were used in con- limitations on expenditures from per- nection with the candidate’s campaign sonal funds or family funds of a presi- for election. The repayment may be dential candidate who accepts match- made from contributions to the can- ing funds. didate or the candidate’s authorized [68 FR 3996, Jan. 27, 2003]

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PART 200—PETITIONS FOR (2) Identify itself as a petition for the RULEMAKING issuance, amendment, or repeal of a rule; Sec. (3) Identify the specific section(s) of 200.1 Purpose of scope. the regulations to be affected; 200.2 Procedural requirements. (4) Set forth the factual and legal 200.3 Processing of petitions. grounds on which the petitioner relies, 200.4 Disposition of petitions. in support of the proposed action; and 200.5 Agency considerations. (5) Be addressed and submitted to the 200.6 Administrative record. Federal Election Commission, Office of AUTHORITY: 52 U.S.C. 30107(a)(8), 52 U.S.C. General Counsel, 999 E Street, NW., 30111(a)(8); 5 U.S.C. 553(e). Washington, DC 20463. SOURCE: 57 FR 34510, Aug. 5, 1992, unless (c) The petition may include draft otherwise noted. regulatory language that would effec- tuate the petitioner’s proposal. § 200.1 Purpose and scope. (d) The Commission may, in its dis- This part prescribes the procedures cretion, treat a document that fails to for the submission, consideration, and conform to the format requirements of disposition of petitions filed with the paragraph (b) of this section as a basis Federal Election Commission. It estab- for a sua sponte rulemaking. For exam- lishes the conditions under which the ple, the Commission may consider Commission may identify and respond whether to initiate a rulemaking to petitions for rulemaking, and in- project addressing issues raised in an forms the public of the procedures the advisory opinion request submitted agency follows in response to such peti- under 11 CFR 112.1 or in a complaint tions. filed under 11 CFR 111.4. However, the Commission need not follow the proce- [57 FR 34510, Aug. 5, 1992; 57 FR 39743, Sept. dures of 11 CFR 200.3 in these instances. 1, 1992] [57 FR 34510, Aug. 5, 1992, as amended at 79 § 200.2 Procedural requirements. FR 77849, Dec. 29, 2014] (a) Any interested person may file with the Commission a written peti- § 200.3 Processing of petitions. tion for the issuance, amendment, or (a) If a document qualifies as a peti- repeal of a rule implementing any of tion under 11 CFR 200.2, the Commis- the following statutes: sion, upon the recommendation of the (1) The Federal Election Campaign Office of General Counsel, will— Act of 1971, as amended, 52 U.S.C. 30101 (1) Publish a Notice of Availability in et seq.; the FEDERAL REGISTER, stating that (2) The Presidential Election Cam- the petition is available for public in- paign Fund Act, as amended, 26 U.S.C. spection in the Commission’s Public 9001 et seq.; Records Office and that statements in (3) The Presidential Primary Match- support of or in opposition to the peti- ing Payment Account Act, as amended, tion may be filed within a stated period 26 U.S.C. 9031 et seq.; after publication of the notice; (4) The Freedom of Information Act, (2) Send a letter to the Commissioner 5 U.S.C. 552; or of Internal Revenue, pursuant to 52 (5) Any other law that the Commis- U.S.C. 30111(f), seeking the IRS’s com- sion is required to implement and ad- ments on the petition; and minister. (3) Send a letter to the petitioner, ac- (b) The petition shall— knowledging receipt of the petition and (1) Include the name and address of informing the petitioner of the above the petitioner or agent. An authorized actions. agent of the petitioner may submit the (b) If the petition does not comply petition, but the agent shall disclose with the requirements of 11 CFR the identity of his or her principal; 200.2(b), the Office of General Counsel

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may notify the petitioner of the nature will not be limited to, the following of any discrepancies. considerations— (c) If the Commission decides that a (a) The Commission’s statutory au- Notice of Inquiry, Advance Notice of thority; Proposed Rulemaking, or a public hear- (b) Policy considerations; ing on the petition would contribute to (c) The desirability of proceeding on its determination whether to com- a case-by-case-basis; mence a rulemaking proceeding, it will (d) The necessity or desirability of publish an appropriate notice in the statutory revision; FEDERAL REGISTER, to advise inter- (e) Available agency resources. ested persons and to invite their participation. § 200.6 Administrative record. (d) The Commission will not consider (a) The agency record for the petition the merits of the petition before the process consists of the following: expiration of the comment period on (1) The petition, including all attach- the Notice of Availability. ments on which it relies, filed by the (e) The Commission will consider all petitioner. comments filed within the comment (2) Written comments on the petition period prescribed in the relevant FED- which have been circulated to and con- ERAL REGISTER notice. The Commission sidered by the Commission, including may, at its discretion, consider com- attachments submitted as a part of the ments received after the close of the comments. comment period. (3) Agenda documents, in the form [57 FR 34510, Aug. 5, 1992, as amended at 79 they are circulated to and considered FR 77849, Dec. 29, 2014] by the Commission in the course of the petition process. § 200.4 Disposition of petitions. (4) All notices published in the FED- (a) After considering the comments ERAL REGISTER, including the Notice of that have been filed within the com- Availability and Notice of Disposition. ment period(s) and any other informa- If a Notice of Inquiry or Advance No- tion relevant to the subject matter of tice of Proposed Rulemaking was pub- the petition, the Commission will de- lished it will also be included. cide whether to initiate a rulemaking (5) The transcripts or audio tapes of based on the filed petition. any public hearing(s) on the petition. (b) If the Commission decides not to (6) All correspondence between the initiate a rulemaking, it will give no- Commission and the petitioner, other tice of this action by publishing a No- commentators and state or federal tice of Disposition in the FEDERAL agencies pertaining to Commission REGISTER and sending a letter to the consideration of the petition. petitioner. The Notice of Disposition (7) The Commission’s decision on the will include a brief statement of the petition, including all documents iden- grounds for the Commission’s decision, tified or filed by the Commission as except in an action affirming a prior part of the record relied on in reaching denial. its final decision. (c) The Commission may reconsider a (b) The administrative record speci- petition for rulemaking previously de- fied in paragraph (a) of this section is nied if the petitioner submits a written the exclusive record for the Commis- request for reconsideration within 30 sion’s decision. calendar days after the date of the denial and if, upon the motion of a Com- PART 201—EX PARTE missioner who voted with the majority COMMUNICATIONS that originally denied the petition, the Commission adopts the motion to re- Sec. consider by the affirmative vote of four 201.1 Purpose and scope. members. 201.2 Definitions. 201.3 Public funding, audits and litigation: § 200.5 Agency considerations. Ex parte contacts prohibited. 201.4 Rulemaking proceedings and advisory The Commission’s decision on the pe- opinions: Ex parte contacts reported. tition for rulemaking may include, but 201.5 Sanctions.

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AUTHORITY: 52 U.S.C. 30107(a)(8), 30108, (d) Commissioner’s staff means all in- 30111(a)(8), and 30111(b); 26 U.S.C. 9007, 9008, dividuals working under the personal 9009(b), 9038, and 9039(b). supervision of a Commissioner includ- SOURCE: 58 FR 59645, Nov. 10, 1993, unless ing executive assistants and executive otherwise noted. secretaries. § 201.1 Purpose and scope. [58 FR 59645, Nov. 10, 1993, as amended at 75 FR 32, Jan. 4, 2010; 79 FR 77849, Dec. 29, 2014] This part prescribes procedures for handling ex parte communications § 201.3 Public funding, audits and liti- made in connection with public fund- gation: Ex parte contacts prohib- ing, Commission audits, litigation, ited. rulemaking proceedings and the advi- (a) In order to avoid the possibility of sory opinion process. Rules governing prejudice, real or apparent, to the pub- such communications made in connec- lic interest in Commission decision- tion with Commission enforcement ac- making during the public funding proc- tions are found at 11 CFR 111.22, while ess, in audits undertaken by the Com- provisions setting forth employee re- mission, and in any litigation to which sponsibilities under the Commission’s the Commission is a party, no person Standards of Conduct rules are found outside the agency shall make or cause at 11 CFR 7.8. to be made to any Commissioner or [58 FR 59645, Nov. 10, 1993, as amended at 76 any member of any Commissioner’s FR 70331, Nov. 14, 2011] staff any ex parte communication regarding any candidate or committee’s § 201.2 Definitions. eligibility for or entitlement to public As used in this part: funding; any audit; or any pending or (a) Ex parte communication means any prospective Commission decision re- written or oral communication by any garding litigation, including whether person outside the agency to any Com- to initiate, settle, appeal, or seek cer- missioner or any member of a Commis- tiorari, or any other decision con- sioner’s staff which imparts informa- cerning a litigation matter; nor shall tion or argument regarding prospective any Commissioner or member of any Commission action or potential action Commissioner’s staff entertain any concerning: such ex parte communications. (1) Any candidate or committee ap- (b) The requirements of this section plying for or participating in the public apply: funding process, or (1) In the case of public funding, from (2) Any ongoing audit, or the time a primary election candidate (3) Any pending litigation matter, or submits to the Commission the letter (4) Any pending rulemaking, or required by 11 CFR 9033.1(a), Presi- (5) Any pending advisory opinion re- dential and Vice Presidential can- quest. didates submit to the Commission the (b) Ex parte communications does letter required by 11 CFR 9003.1, or a not include the following communica- committee seeking convention funding tions. registers with the Commission as re- (1) Statements by any person pub- quired by 11 CFR 9008.12(a)(1) or licly made in a public forum; or 9008.12(b)(1), until the start of the audit (2) Statements or inquiries by any process. person limited to the procedural status (2)(i) In the case of an audit under- of an open proceeding involving an ap- taken pursuant to 26 U.S.C. 9007 (a) and plication for public funding, a rule- (b), 9008 (g) and (h), or 9038 (a) and (b), making, an advisory opinion request, from the date of the Commission’s let- an audit being conducted pursuant to ter to a presidential campaign com- 26 U.S.C. 9007 (a) and (b), 9008 (g) and mittee, a convention committee, or a (h), or 9038 (a) and (b), or a litigation host committee asking that it make a matter. pre-inventory check of its records, (c) Commissioner means an individual prior to the commencement of audit appointed to the Federal Election Com- fieldwork by the Commission, through mission pursuant to 52 U.S.C. 30106(a). the end of the audit process; and

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(ii) In the case of an audit under- § 201.4 Rulemaking proceedings and taken pursuant to 52 U.S.C. 30111(b), advisory opinions: Ex parte con- from the date the Commission’s staff tacts reported. circulates a document for Commission (a) A Commissioner or member of a approval containing a proposed referral Commissioner’s staff who receives an to undertake an audit, until the Com- ex parte communication concerning mission publicly issues the final audit any rulemaking or advisory opinion report. during the period described in para- (c)(1) A Commissioner or member of a graph (b) of this section shall, as soon Commissioner’s staff who receives an after the communication as is reason- oral ex parte communication con- ably possible but no later than three cerning any matters addressed in para- business days after the communication graph (a) or (b) of this section shall at- unless special circumstances make this tempt to prevent the communication. impracticable, or prior to the next If unsuccessful in preventing the com- Commission discussion of the matter, munication, the Commissioner or staff whichever is earlier, provide a copy of member shall advise the person mak- a written communication or a written ing the communication that he or she summary of an oral communication to will not consider the communication the Commission Secretary for place- and shall, as soon after the commu- ment in the public file of the rule- nication as is reasonably possible but making or advisory opinion. The Com- no later than three business days after missioner or staff member shall advise the communication, unless special cir- any person making an oral communica- cumstances make this impracticable; tion that a written summary of the or prior to the next Commission discus- conversation will be made part of the sion of the matter, whichever is ear- public record. lier, prepare a statement setting forth the substance and circumstances of the (b) The requirements of paragraph (a) communication, and deliver the state- of this section apply: ment to the Designated Agency Ethics (1) In the case of a rulemaking pro- Official for placement in the file of the ceeding, from the date a petition for matching fund request, audit or litiga- rulemaking is circulated to Commis- tion case. sioners’ offices, or the date on which a (2) A Commissioner or member of a proposed rulemaking document is first Commissioner’s staff who receives a circulated to the Commission or placed written ex parte communication con- on an agenda of a Commission public cerning any Commission action or po- meeting, through final Commission ac- tential action concerning any can- tion on that rulemaking. didate or committee’s eligibility for or (2) In the case of an advisory opinion, entitlement to public funding, or any from the date a request for an advisory audit, or any prospective Commission opinion is circulated to Commis- decision or action concerning any sioner’s offices through the date on pending litigation case, during the pe- which the advisory opinion is issued, riod described in paragraph (b) of this and during any period of reconsider- section shall, as soon after the commu- ation pursuant to 11 CFR 112.6. nication as is reasonably possible but no later than three business days after § 201.5 Sanctions. the communication, unless special cir- Any person who becomes aware of a cumstances make this impracticable; possible violation of this part shall no- or prior to the next Commission discus- tify the Designated Agency Ethics Offi- sion of the matter, whichever is ear- cial in writing of the facts and cir- lier, deliver a copy of the communica- cumstances of the alleged violation. tion to the Designated Agency Ethics The Designated Agency Ethics Official Official for placement in the file of the shall recommend to the Commission audit or litigation case. the appropriate action to be taken. The [58 FR 59645, Nov. 10, 1993, as amended at 79 Commission shall determine the appro- FR 77850, Dec. 29, 2014] priate action by at least four votes.

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PART 300—NON-FEDERAL FUNDS Subpart E—State and Local Candidates 300.70 Scope (52 U.S.C. 30125(f)(1)). Sec. 300.71 Federal funds required for certain 300.1 Scope, effective date, and organiza- public communications (52 U.S.C. tion. 30125(f)(1)). 300.2 Definitions. 300.72 Federal funds not required for certain Subpart A—National Party Committees communications (52 U.S.C. 30125(f)(2)). AUTHORITY: 52 U.S.C. 30104(e), 30111(a)(8), 300.10 General prohibitions on raising and 30116(a), 30125, and 30143. spending non-Federal funds (52 U.S.C. 30125(a) and (c)). SOURCE: 67 FR 49120, July 29, 2002, unless 300.11 Prohibitions on fundraising for and otherwise noted. donating to certain tax-exempt organizations (52 U.S.C. 30125(d)). § 300.1 Scope and effective date, and 300.12 Transition rules. organization. 300.13 Reporting (52 U.S.C. 30101 note and 30104(e)). (a) Introduction. This part imple- ments changes to the Federal Election Subpart B—State, District, and Local Party Campaign Act of 1971, as amended Committees and Organizations (‘‘FECA’’ or the ‘‘Act’’), enacted by 300.30 Accounts. Title I of the Bipartisan Campaign Fi- 300.31 Receipt of Levin funds. nance Reform Act of 2002 (‘‘BCRA’’). 300.32 Expenditures and disbursements. Public Law 107–155. Unless expressly 300.33 Allocation of costs of Federal elec- stated to the contrary, nothing in this tion activity. part alters the definitions, restrictions, 300.34 Transfers. liabilities, and obligations imposed by 300.35 Office buildings. sections 30101 to 30145 of Title 52, 300.36 Reporting Federal election activity; recordkeeping. United States Code, or regulations pre- 300.37 Prohibitions on fundraising for and scribed thereunder (11 CFR parts 100 to donating to certain tax-exempt organiza- 116). tions (52 U.S.C. 30125(d)). (b) Effective dates. (1) Except as otherwise specifically provided in this part, Subpart C—Tax-Exempt Organizations this part shall take effect on November 300.50 Prohibited fundraising by national 6, 2002. However, subpart B of this part party committees (52 U.S.C. 30125(d)). shall not apply with respect to runoff 300.51 Prohibited fundraising by State, dis- elections, recounts, or election con- trict, or local party committees (52 tests resulting from elections held U.S.C. 30125(d)). prior to such date. See 11 CFR 300.12 for 300.52 Fundraising by Federal candidates transition rules applicable to subpart A and Federal officeholders (52 U.S.C. 30125(e)(1) and (4)). of this part. (2) The increase in individual con- Subpart D—Federal Candidates and tribution limits to State committees of Officeholders political parties, as described in 11 CFR 110.1(c)(5), shall apply to contributions 300.60 Scope (52 U.S.C. 30125(e)(1)). made on or after January 1, 2003. 300.61 Federal elections (52 U.S.C. 30125(e)(1)(A)). (c) Organization of part. Part 300, 300.62 Non-Federal elections (52 U.S.C. which generally addresses non-Federal 30125(e)(1)(B)). funds and closely related topics, is or- 300.63 Exception for State candidates (52 ganized into five subparts. Each sub- U.S.C. 30125(e)(2)). part is oriented to the perspective of a 300.64 Participation by Federal candidates category of persons facing issues re- and officeholders at non-Federal fund- lated to non-Federal funds. raising events (52 U.S.C. 30125(e)(1) and (3)). (1) Subpart A of this part prescribes 300.65 Exceptions for certain tax-exempt or- rules pertaining to national party com- ganizations (52 U.S.C. 30125(e)(1) and (4)). mittees, including general non-Federal

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funds prohibitions, fundraising, and do- (2) Pay a debt incurred from the nation prohibitions with regard to cer- making of expenditures or disburse- tain tax-exempt organizations, transi- ments in connection with an election tion rules as BCRA takes effect, and re- for Federal office (including for Fed- porting. eral election activity) in a prior elec- (2) Subpart B of this part pertains to tion cycle. State, district, and local political (b) Agent. For the purposes of part 300 party committees and organizations. of chapter I, agent means any person Subpart B of this part focuses on who has actual authority, either ex- ‘‘Levin Amendment’’ to BCRA; office press or implied, to engage in any of buildings; and fundraising and dona- the following activities on behalf of the tion prohibitions with regard to cer- specified persons: tain tax-exempt organizations. (1) In the case of a national com- (3) Subpart C of this part addresses mittee of a political party: non-Federal funds from the perspective of tax-exempt organizations, setting (i) To solicit, direct, or receive any out rules about prohibited fundraising contribution, donation, or transfer of for certain tax-exempt organizations funds; or, by national party committees, State, (ii) To solicit any funds for, or make district, and local party committees, or direct any donations to, an organi- and Federal candidates and office- zation that is described in 26 U.S.C holders. 501(c) and exempt from taxation under (4) Subpart D of this part includes 26 U.S.C. 501(a) (or has submitted an regulations pertaining to soliciting application for determination of tax non-Federal funds from the perspective exempt status under 26 U.S.C. 501(a)), of Federal candidates and officeholders or an organization described in 26 in Federal and non-Federal elections; U.S.C. 527 (other than a political com- including exceptions for those who are mittee, a State, district, or local com- also State candidates and exemptions mittee of a political party, or the au- for those attending, speaking, and ap- thorized campaign committee of a can- pearing as featured guests at fund- didate for State or local office). raising events, or who solicit for cer- (2) In the case of a State, district, or tain tax-exempt organizations. local committee of a political party: (5) Subpart E of this part focuses on (i) To expend or disburse any funds State and local candidates, including for Federal election activity; or regulations about using Federal funds (ii) To transfer, or accept a transfer for certain public communications, and of, funds to make expenditures or dis- exceptions for entirely non-Federal bursements for Federal election activ- communications. ity; or (6) For rules pertaining to convention (iii) To engage in joint fundraising and host committees, see 11 CFR part activities with any person if any part 9008. of the funds raised are used, in whole [67 FR 49120, July 29, 2002, as amended at 79 or in part, to pay for Federal election FR 77850, Dec. 29, 2014] activity; or (iv) To solicit any funds for, or make § 300.2 Definitions. or direct any donations to, an organi- (a) 501(c) organization that makes ex- zation that is described in 26 U.S.C. penditures or disbursements in connection 501(c) and exempt from taxation under with a Federal election. A 501(c) organi- 26 U.S.C. 501(a) (or has submitted an zation that makes expenditures or dis- application for determination of tax bursements in connection with a Federal exempt status under 26 U.S.C. 501(a)), election as that term is used in 11 CFR or an organization described in 26 300.11, 300.37, 300.50, and 300.51 includes U.S.C. 527 (other than a political com- an organization that, within the cur- mittee, a State, district, or local com- rent election cycle, plans to: mittee of a political party, or the au- (1) Make expenditures or disburse- thorized campaign committee of a can- ments in connection with an election didate for State or local office). for Federal office including for Federal (3) In the case of an individual who is election activity; or a Federal candidate or an individual

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holding Federal office, to solicit, re- members, officers or employees of the ceive, direct, transfer, or spend funds entity that indicates a formal or ongo- in connection with any election. ing relationship between the sponsor (4) In the case of an individual who is and the entity, or that indicates the a candidate for State or local office, to creation of a successor entity; spend funds for a public communica- (vii) Whether a sponsor, directly or tion (see 11 CFR 100.26). through its agent, provides funds or (c) Directly or indirectly establish, fi- goods in a significant amount or on an nance, maintain, or control. (1) This ongoing basis to the entity, such as paragraph (c) applies to national, through direct or indirect payments for State, district, and local committees of administrative, fundraising, or other a political party, candidates, and hold- costs, but not including the transfer to ers of Federal office, including an offi- a committee of its allocated share of cer, employee, or agent of any of the proceeds jointly raised pursuant to 11 foregoing persons, which shall be re- CFR 102.17, and otherwise lawfully; ferred to as ‘‘sponsors’’ in this section. (viii) Whether a sponsor, directly or (2) To determine whether a sponsor through its agent, causes or arranges directly or indirectly established, fi- for funds in a significant amount or on nances, maintains, or controls an enti- an ongoing basis to be provided to the ty, the factors described in paragraphs entity, but not including the transfer (c)(2)(i) through (x) of this section must to a committee of its allocated share of be examined in the context of the over- proceeds jointly raised pursuant to 11 all relationship between sponsor and CFR 102.17, and otherwise lawfully; the entity to determine whether the (ix) Whether a sponsor, directly or presence of any factor or factors is evi- through its agent, had an active or sig- dence that the sponsor directly or indi- nificant role in the formation of the rectly established, finances, maintains, entity; and or controls the entity. Such factors in- (x) Whether the sponsor and the enti- clude, but are not limited to: ty have similar patterns of receipts or (i) Whether a sponsor, directly or disbursements that indicate a formal through its agent, owns controlling in- or ongoing relationship between the terest in the voting stock or securities sponsor and the entity. of the entity; (3) Safe harbor. On or after November (ii) Whether a sponsor, directly or 6, 2002, an entity shall not be deemed to through its agent, has the authority or be directly or indirectly established, ability to direct or participate in the maintained, or controlled by another governance of the entity through pro- entity unless, based on the entities’ ac- visions of constitutions, bylaws, con- tions and activities solely after No- tracts, or other rules, or through for- vember 6, 2002, they satisfy the require- mal or informal practices or proce- ments of this section. If an entity re- dures; ceives funds from another entity prior (iii) Whether a sponsor, directly or to November 6, 2002, and the recipient through its agent, has the authority or entity disposes of the funds prior to ability to hire, appoint, demote, or oth- November 6, 2002, the receipt of such erwise control the officers, or other de- funds prior to November 6, 2002 shall cision-making employees or members have no bearing on determining wheth- of the entity; er the recipient entity is financed by (iv) Whether a sponsor has a common the sponsoring entity within the mean- or overlapping membership with the ing of this section. entity that indicates a formal or ongo- (4) Determinations by the Commission. ing relationship between the sponsor (i) A sponsor or entity may request an and the entity; advisory opinion of the Commission to (v) Whether a sponsor has common or determine whether the sponsor is no overlapping officers or employees with longer directly or indirectly financing, the entity that indicates a formal or maintaining, or controlling the entity ongoing relationship between the spon- for purposes of this part. The request sor and the entity; for such an advisory opinion must meet (vi) Whether a sponsor has any mem- the requirements of 11 CFR part 112 bers, officers, or employees who were and must demonstrate that the entity

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is not directly or indirectly financed, (k) Non-Federal funds mean funds maintained, or controlled by the spon- that are not subject to the limitations sor. and prohibitions of the Act. (ii) Notwithstanding the fact that a (l) [Reserved] sponsor may have established an entity (m) To solicit. For the purposes of within the meaning of paragraph (c)(2) part 300, to solicit means to ask, re- of this section, the sponsor or the enti- quest, or recommend, explicitly or im- ty may request an advisory opinion of plicitly, that another person make a the Commission determining that the contribution, donation, transfer of relationship between the sponsor and funds, or otherwise provide anything of the entity has been severed. The re- value. A solicitation is an oral or writ- quest for such an advisory opinion ten communication that, construed as must meet the requirements of 11 CFR reasonably understood in the context part 112, and must demonstrate that all in which it is made, contains a clear material connections between the message asking, requesting, or recom- sponsor and the entity have been sev- mending that another person make a ered for two years. contribution, donation, transfer of (iii) Nothing in this section shall refunds, or otherwise provide anything of quire entities that are separate organi- value. A solicitation may be made di- zations on November 6, 2002 to obtain rectly or indirectly. The context in- an advisory opinion to operate sepa- cludes the conduct of persons involved rately from each other. in the communication. A solicitation (d) Disbursement. Disbursement means does not include mere statements of any purchase or payment made by: political support or mere guidance as (1) A political committee; or to the applicability of a particular law (2) Any other person, including an or- or regulation. ganization that is not a political com- (1) The following types of commu- mittee, that is subject to the Act. nications constitute solicitations: (e) Donation. For purposes of part 300, donation means a payment, gift, sub- (i) A communication that provides a scription, loan, advance, deposit, or method of making a contribution or anything of value given to a person, donation, regardless of the communica- but does not include contributions. tion. This includes, but is not limited (f) Federal account. Federal account to, providing a separate card, envelope, means an account at a campaign depos- or reply device that contains an ad- itory that contains funds to be used in dress to which funds may be sent and connection with a Federal election. allows contributors or donors to indi- (g) Federal Funds. Federal funds mean cate the dollar amount of their con- funds that comply with the limita- tribution or donation to the candidate, tions, prohibitions, and reporting re- political committee, or other organiza- quirements of the Act. tion. (h) Levin account. Levin account (ii) A communication that provides means an account at a campaign depos- instructions on how or where to send itory established by a State, district, contributions or donations, including or local committee of a political party providing a phone number specifically pursuant to 11 CFR 300.30, for purposes dedicated to facilitating the making of of making expenditures or disburse- contributions or donations. However, a ments for Federal election activity or communication does not, in and of non-Federal activity (subject to State itself, satisfy the definition of ‘‘to so- law) under 11 CFR 300.32. licit’’ merely because it includes a (i) Levin funds mean funds that are mailing address or phone number that raised pursuant to 11 CFR 300.31 and is not specifically dedicated to facili- are or will be disbursed pursuant to 11 tating the making of contributions or CFR 300.32. donations. (j) Non-Federal account means an ac- (iii) A communication that identifies count that contains funds to be used in a Web address where the Web page dis- connection with a State or local elec- played is specifically dedicated to fa- tion or allocable expenses under 11 CFR cilitating the making of a contribution 106.7, 300.30, or 300.33. or donation, or automatically redirects

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the Internet user to such a page, or ex- cial support for our State party this clusively displays a link to such a year.’’ page. However, a communication does (xvi) The head of Group X solicits a not, in and of itself, satisfy the defini- contribution from a potential donor in tion of ‘‘to solicit’’ merely because it the presence of a candidate. The donor includes the address of a Web page that asks the candidate if the contribution is not specifically dedicated to facili- to Group X would be a good idea and tating the making of a contribution or would help the candidate’s campaign. donation. The candidate nods affirmatively. (2) The following statements con- (3) The following statements do not stitute solicitations: constitute solicitations: (i) ‘‘Please give $100,000 to Group X.’’ (i) During a policy speech, the can- (ii) ‘‘It is important for our State didate says: ‘‘Thank you for your sup- party to receive at least $100,000 from port of the Democratic Party.’’ each of you in this election.’’ (ii) At a ticket-wide rally, the can- (iii) ‘‘Group X has always helped me didate says: ‘‘Thank you for your sup- financially in my elections. Keep them port of my campaign.’’ in mind this fall.’’ (iii) At a Labor Day rally, the can- (iv) ‘‘X is an effective State party or- didate says: ‘‘Thank you for your past ganization; it needs to obtain as many financial support of the Republican $100,000 donations as possible.’’ Party.’’ (v) ‘‘Giving $100,000 to Group X would (iv) At a GOTV rally, the candidate be a very smart idea.’’ says: ‘‘Thank you for your continuing (vi) ‘‘Send all contributions to the support.’’ following address * * *.’’ (v) At a ticket-wide rally, the can- (vii) ‘‘I am not permitted to ask for didate says: ‘‘It is critical that we sup- contributions, but unsolicited con- port the entire Democratic ticket in tributions will be accepted at the fol- November.’’ lowing address * * *.’’ (vi) A Federal officeholder says: ‘‘Our (viii) ‘‘Group X is having a fundraiser Senator has done a great job for us this this week; you should go.’’ year. The policies she has vigorously (ix) ‘‘You have reached the limit of promoted in the Senate have really what you may contribute directly to helped the economy of the State.’’ my campaign, but you can further help (vii) A candidate says: ‘‘Thanks to my campaign by assisting the State your contributions we have been able party.’’ to support our President, Senator and (x) A candidate hands a potential Representative during the past election donor a list of people who have contrib- cycle.’’ uted to a group and the amounts of (n) To direct. For the purposes of part their contributions. The candidate 300, to direct means to guide, directly or says, ‘‘I see you are not on the list.’’ indirectly, a person who has expressed (xi) ‘‘I will not forget those who con- an intent to make a contribution, do- tribute at this crucial stage.’’ nation, transfer of funds, or otherwise (xii) ‘‘The candidate will be very provide anything of value, by identi- pleased if we can count on you for fying a candidate, political committee $10,000.’’ or organization, for the receipt of such (xiii) ‘‘Your contribution to this cam- funds, or things of value. The contribu- paign would mean a great deal to the tion, donation, transfer, or thing of entire party and to me personally.’’ value may be made or provided directly (xiv) Candidate says to potential or through a conduit or intermediary. donor: ‘‘The money you will help us Direction does not include merely pro- raise will allow us to communicate our viding information or guidance as to message to the voters through Labor the applicability of a particular law or Day.’’ regulation. (xv) ‘‘I appreciate all you’ve done in (o) Individual holding Federal office. the past for our party in this State. Individual holding Federal office means Looking ahead, we face some tough an individual elected to or serving in elections. I’d be very happy if you the office of President or Vice Presi- could maintain the same level of finan- dent of the United States; or a Senator

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or a Representative in, or Delegate or non-Federal funds to, the following or- Resident Commissioner to, the Con- ganizations: gress of the United States. (1) An organization that is described [67 FR 49120, July 29, 2002, as amended at 67 in 26 U.S.C. 501(c) and exempt from tax- FR 78682, Dec. 26, 2002; 71 FR 13933, Mar. 20, ation under section 26 U.S.C. 501(a) and 2006] that makes expenditures or disbursements in connection with an election Subpart A—National Party for Federal office, including expenditures or disbursements for Federal Committees election activity; § 300.10 General prohibitions on rais- (2) An organization that has sub- ing and spending non-Federal funds mitted an application for tax-exempt (52 U.S.C. 30125(a) and (c)). status under 26 U.S.C. 501(c) and that makes expenditures or disbursements (a) Prohibitions. A national com- in connection with an election for Fed- mittee of a political party, including a eral office, including expenditures or national congressional campaign com- disbursements for Federal election ac- mittee, must not: tivity; or (1) Solicit, receive, or direct to an- (3) An organization described in 26 other person a contribution, donation, U.S.C. 527, unless the organization is: or transfer of funds, or any other thing of value that is not subject to the pro- (i) A political committee under 11 hibitions, limitations and reporting re- CFR 100.5; quirements of the Act; (ii) A State, district, or local com- (2) Spend any funds that are not sub- mittee of a political party; or ject to the prohibitions, limitations, (iii) The authorized campaign com- and reporting requirements of the Act; mittee of a State or local candidate; or (b) Application. This section also ap- (3) Solicit, receive, direct, or transfer plies to: to another person, or spend, Levin (1) An officer or agent acting on be- funds. half of a national party committee, in- (b) Fundraising costs. A national com- cluding a national congressional cam- mittee of a political party, including a paign committee; national congressional campaign com- (2) An entity that is directly or indi- mittee, must use only Federal funds to rectly established, financed, main- raise funds that are used, in whole or tained, or controlled by a national in part, for expenditures and disburse- party committee, including a national ments for Federal election activity. congressional campaign committee, or (c) Application. This section also ap- an officer or agent acting on behalf of plies to: such an entity; or (1) An officer or agent acting on be- (3) An entity that is directly or indi- half of a national party committee or a rectly established, financed, main- national congressional campaign com- tained or controlled by an agent of a mittee; and national committee of a political (2) An entity that is directly or indi- party, including a national congres- rectly established, financed, main- sional campaign committee. tained, or controlled by a national (c) Determining whether a section 501(c) party committee or a national congres- organization makes expenditures or dis- sional campaign committee. bursements in connection with Federal elections. In determining whether a sec- § 300.11 Prohibitions on fundraising tion 501(c) organization is one that for and donating to certain tax-ex- makes expenditures or disbursements empt organizations (52 U.S.C. in connection with a Federal election, 30125(d)). including expenditures or disburse- (a) Prohibitions. A national comments for Federal election activity, mittee of a political party, including a pursuant to paragraphs (a)(1) and (2) of national congressional campaign com- this section, a national committee of a mittee, must not solicit any funds for, political party, including a national or make or direct any donations of congressional campaign committee, or

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any other person described in para- connection with an election held prior graph (b) of this section, may obtain to November 6, 2002; or and rely upon a certification from the (2) To pay expenses, retire out- organization that satisfies the criteria standing debts, or pay for obligations described in paragraph (d) of this sec- incurred solely in connection with any tion. run-off election, recount, or election (d) Certification. A national com- contest resulting from an election held mittee of a political party, including a prior to November 6, 2002. national congressional campaign com- (b) Prohibited uses of non-Federal mittee, or any person described in funds. Non-Federal funds received by a paragraph (b) of this section, may rely national committee of a political upon a certification that meets all of party, including a national congres- the following criteria: sional campaign committee, before No- (1) The certification is a signed writ- vember 6, 2002, and in its possession on ten statement by an officer or other that date, may not be used for the fol- authorized representative of the orga- lowing purposes: nization with knowledge of the organization’s activities; (1) To pay any expenditure as defined (2) The certification states that within 52 U.S.C. 30101(9); in the current election cycle, the orga- (2) To retire outstanding debts or ob- nization has not made, and does not in- ligations that were incurred for any extend to make, expenditures or disburse- penditure; or ments in connection with an election (3) To defray the costs of the con- for Federal office (including for Fed- struction or purchase of any office eral election activity); and building or facility. (3) The certification states that the (c) Any non-Federal funds remaining organization does not intend to pay after payment of debts and obligations debts incurred from the making of ex- permitted in paragraph (a) of this sec- penditures or disbursements in connection must be either disgorged to the tion with an election for Federal office United States Treasury, or returned by (including for Federal election activ- check to the donors, no later than De- ity) in a prior election cycle. cember 31, 2002. Any refund checks not (e) If a national committee of a polit- cashed by February 28, 2003 must be ical party or any person described in disgorged to the United States Treas- paragraph (b) of this section has actual ury by March 31, 2003. knowledge that the certification is (d) National party committee office false, the certification may not be re- building or facility accounts. Before No- lied upon. vember 6, 2002, a national committee of (f) It is not prohibited for a national a political party, including a national party or its agent to respond to a re- congressional campaign committee, quest for information about a tax-ex- may accept funds into its party office empt group that shares the party’s po- building or facility account, estab- litical or philosophical goals. lished pursuant to repealed 2 U.S.C. [67 FR 49120, July 29, 2002, as amended at 70 431(8)(B)(viii), and may use the funds in FR 12789, Mar. 16, 2005] the account only for the construction or purchase of an office building or fa- § 300.12 Transition rules. cility. After November 5, 2002, the na- (a) Permissible uses of excess non-Fed- tional party committees may no longer eral funds. Non-Federal funds received accept funds into such an account and before November 6, 2002, by a national must not use such funds for the pur- committee of a political party, includ- chase or construction of any office ing a national congressional campaign building or facility. Funds on deposit committee, and in its possession on in any party office building or facility that date, must be used before January account on November 6, 2002, must be 1, 2003. Subject to the restrictions in either disgorged to the United States paragraph (b) of this section, such Treasury or returned by check to the funds may be used solely as follows: donors no later than December 31, 2002. (1) To retire outstanding debts or ob- Any refund checks not cashed by Feb- ligations that were incurred solely in ruary 28, 2003 must be disgorged to the

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United States Treasury by March 31, covering activity between November 6 2003. and December 31, 2002. (e) Application. This section also ap- (2) The reporting requirements cov- plies to: ering disbursements in 11 CFR 104.9 (c) (1) An officer or agent acting on be- and (d) for national party committee half of a national party committee or a non-Federal accounts and building fund national congressional campaign com- accounts shall remain in effect for the mittee; and reports covering activity between No- (2) An entity that is directly or indi- vember 6, 2002 and March 31, 2003. rectly established, financed, maintained, or controlled by a national [67 FR 49120, July 29, 2002, as amended at 79 party committee or a national congres- FR 77850, Dec. 29, 2014] sional campaign committee. (f) Treatment of Federal and non-Fed- Subpart B—State, District, and eral accounts during transition period. Local Party Committees and The following provisions applicable to Organizations the allocation of, and payment for, expenses between Federal and non-Fed- § 300.30 Accounts. eral accounts of national party com- (a) Scope and introduction. This sec- mittees shall remain in effect between tion applies to State, district, or local November 6 and December 31, 2002: 11 committees or organizations of a polit- CFR 106.5(a),(b), (c), (f) and (g). ical party, whether or not the com- [67 FR 49120, July 29, 2002, as amended at 79 mittee is a political committee under FR 77850, Dec. 29, 2014] 11 CFR 100.5, that have receipts or make disbursements for Federal elec- § 300.13 Reporting (52 U.S.C. 30101 tion activity. Paragraph (b) of this sec- note and 30104(e)). tion describes and explains the types of (a) In general. The national com- accounts available to a political party mittee of a political party, any na- committee or organization covered by tional congressional campaign com- this section. Paragraph (c) of this sec- mittee of a political party, and any tion sets out the account structure subordinate committee of either, shall that must be maintained by a political report all receipts and disbursements party committee or organization cov- during the reporting period. ered by this section. (b) Termination report for non-Federal (b) Types of accounts. Each State, dis- accounts. Unless a committee described trict, and local party organization or in paragraph (a) of this section issues committee that has receipts or makes refund checks to donors as permitted disbursements for Federal election ac- by 11 CFR 300.12(c), each committee de- tivity must establish one or more of scribed in paragraph (a) of this section the following types of accounts, pursu- must file a termination report dis- ant to paragraph (c) of this section. closing the disposition of funds in all non-Federal accounts and building fund (1) Non-Federal accounts. The funds accounts by January 31, 2003. Each deposited into this account are gov- committee that issues refund checks to erned by State law. Disbursements, donors must file a termination report contributions, and expenditures made covering the period ending March 31, wholly or in part in connection with 2003 disclosing the disposition of any Federal elections must not be made refund checks not cashed by February from any non-Federal account, except 28, 2003, as required by 11 CFR 300.12(c) as permitted by paragraph (c)(3)(ii) of and (d). this section, 11 CFR 102.5(a)(4), 11 CFR (c) Transitional reporting rules. (1) The 106.7(d)(1)(i), 11 CFR 300.33 and 11 CFR reporting requirements covering re- 300.34. ceipts in 11 CFR 104.8(e) and (f) and dis- (2) Levin account. The funds deposited bursements in 11 CFR 104.9(e) for na- into this account must comply with 11 tional party committee non-Federal CFR 300.31. Such funds may be used for accounts and building fund accounts the categories of activities described at shall remain in effect for the reports 11 CFR 300.32(b).

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(3) Federal account. Federal accounts cept as provided by paragraph (b)(3)(iv) may be used for the deposit of con- of this section or 11 CFR 300.33 and tributions and the making of expendi- 300.34. tures pursuant to the following condi- (4) Allocation accounts. At the discre- tions: tion of the party committee or organi- (i) Only contributions that are per- zation, separate allocation accounts missible pursuant to the limitations may be established for purposes of and prohibitions of the Act may be de- making allocable expenditures and dis- posited into any Federal account, re- bursements. gardless of whether such contributions (i) Only funds from the party organi- are for use in connection with Federal zation’s or committee’s Federal and or non-Federal elections. See 11 CFR non-Federal accounts may be deposited 103.3 regarding impermissible funds. into an allocation account used to (ii) Only contributions solicited and make allocable expenditures and dis- received pursuant to the following con- bursements for activities in connection ditions may be deposited in a Federal with Federal and non-Federal elec- account: tions. (A) Contributions must be designated (ii) Only funds from the party organi- by the contributors for the Federal ac- zation’s or committee’s Federal account; count and Levin funds from its non- (B) The solicitation must expressly Federal or Levin account(s) may be de- state that contributions may be used posited into an allocation account used wholly or in part in connection with a to make allocable expenditures and Federal election; or disbursements for activities under- (C) The contributor must be informed taken pursuant to 11 CFR 300.32(b). that all contributions are subject to (iii) Once a party organization or the limitations and prohibitions of the committee has established a separate Act. allocation account for activities in (iii) All disbursements, contribu- connection with Federal and non-Fed- tions, and expenditures made wholly or eral elections and a separate account in part by any State, district, or local for activities undertaken pursuant to party organization or committee in 11 CFR 300.32(b), all allocable expenses connection with a Federal election must be paid from the appropriate allo- must be made from either: cation account for as long as that ac- (A) A Federal account, except as per- count is maintained. mitted by 11 CFR 300.32; or (iv) The party organization or com- (B) A separate allocation account (see mittee must transfer to the appro- paragraph (b)(4) of this section). priate allocation account funds from (iv) If all payments in connection its Federal and non-Federal or Levin with a Federal election, including pay- accounts in amounts proportionate to ments for Federal election activities, the Federal, non-Federal and Levin are to be made from a Federal account, shares of each allocable expense pursu- expenditures and disbursements for ant to 11 CFR 106.7 and 11 CFR 300.33. costs that are allocable pursuant to 11 The transfers must be made pursuant CFR 106.7 or 11 CFR 300.33 must be to 11 CFR 300.33 and 300.34. made from the Federal account in their (v) No funds contained in an alloca- entirety, with the shares of a non-Fed- tion account may be transferred to any eral account or of a Levin account other account maintained by the party being transferred to the Federal ac- committee or organization. count pursuant to 11 CFR 106.7 and 11 (vi) For reporting purposes, all allo- CFR 300.33. cation accounts must be treated as (v) No transfers may be made to a Federal accounts. Federal account from any other ac- (c) Required account or accounts. Each count(s) maintained by a State, dis- State, district, and local party organi- trict, or local party committee or orga- zation or committee that has receipts nization from any other party organi- or makes disbursements for Federal zation or committee at any level for election activity must establish its ac- the purpose of financing activity in counts in accordance with paragraphs connection with Federal elections, ex- (c)(1), or (c)(2), or (c)(3) of this section.

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(1) One or more Federal accounts in a (b) Compliance with State law. Each campaign depository, in accordance donation of Levin funds solicited or ac- with 11 CFR part 103, which must be cepted by a State, district, or local treated as a separate political com- committee of a political party must be mittee and be required to comply with lawful under the laws of the State in the requirements of the Act including which the committee is organized. the registration and reporting require- (c) Donations from sources permitted by ments of 11 CFR part 102 and part 104. State law but prohibited by the Act. If the State, district, and local party organi- laws of the State in which a State, dis- zations or committees may choose to trict, or local committee of a political make non-Federal disbursements, sub- party is organized permit donations to ject to State law, and disbursements the committee from a source prohib- for Federal election activity from a ited by the Act and this chapter, other Federal account provided that such dis- than 52 U.S.C. 30121, the committee bursements are reported pursuant to 11 may solicit and accept donations of CFR 104.17 and 11 CFR 300.36, and pro- Levin funds from that source, subject vided that contributors of the Federal to paragraph (d) of this section. funds so used were notified that their (d) Donation amount limitation—(1) contributions were subject to the limi- General rule. A State, district, or local tations and prohibitions of the Act. committee of a political party must (2) Establish at least three separate not solicit or accept from any person accounts in depositories as follows— (including any entity established, fi- (i) One or more Federal accounts; nanced, maintained, or controlled by (ii) One or more Levin accounts; and such person) one or more donations of (iii) One or more Non-Federal ac- Levin funds aggregating more than counts. $10,000 in a calendar year. (3) Establish two separate accounts (2) Effect of different State limitations. in depositories as follows: If the laws of the State in which a (i) One or more Federal accounts, State, district, or local committee of a and; political party is organized limit dona- (ii) An account that must function as tions to that committee to less than both a Non-Federal account and a the amount specified in paragraph Levin account. If such an account is (d)(1) of this section, then the State used, the State, district, and local law amount limitations shall control. party must demonstrate through a rea- If the laws of the State in which a sonable accounting method approved State, district, or local committee of a by the Commission (including any political party is organized permit do- method embedded in software provided nations to that committee in amounts or approved by the Commission) that greater than the amount specified in whenever such organization makes a paragraph (d)(1) of this section, then disbursement for activities undertaken the amount limitations in paragraph pursuant to 11 CFR 300.32(b), that orga- (d)(1) of this section shall control. nization had received sufficient con- (3) No affiliation of committees for pur- tributions or Levin funds to make such poses of this paragraph. For purposes of disbursement. determining compliance with para- (d) Recordkeeping. All party organiza- graph (d) of this section only, State, tions or committees must keep records district, and local committees of the of deposits into and disbursements same political party shall not be con- from such accounts, and, upon request, sidered affiliated. Subject to the must make such records available for amount limitations specified in para- examination by the Commission. graphs (d)(1) and (d)(2) of this section, a person (including any entity directly § 300.31 Receipt of Levin funds. or indirectly established, financed, (a) General rule. Levin funds expended maintained, or controlled by such per- or disbursed by any State, district, or son) may donate without additional local committee must be raised solely limitation to each and every State, dis- by the committee that expends or district, and local committee of a polit- burses them. ical party.

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(e) No Levin funds from a national office. A Federal candidate or indi- party committee or a Federal candidate or vidual holding Federal office may at- officeholder. A State, district, or local tend, speak, or be a featured guest at a committee of a political party dis- fundraising event for a State, district, bursing Levin funds pursuant to 11 CFR or local committee of a political party 300.32 must not accept or use for such at which Levin funds are raised. See 11 purposes any donations or other funds CFR 300.64. that are solicited, received, directed, (f) Certain joint fundraising prohibited. transferred, or spent by or in the name Notwithstanding 11 CFR 102.17, a State, of any of the following persons: district, or local committee of a polit- (1) A national committee of a political party must not raise Levin funds ical party (including a national con- by means of any joint fundraising ac- gressional campaign committee of a tivity with any other State, district, or political party), any officer or agent local committee of any political party, acting on behalf of such a national the agent of such a committee, or an party committee, or any entity that is entity directly or indirectly estab- directly or indirectly established, fi- lished, financed, maintained, or con- nanced, maintained, or controlled by trolled by such a committee. This pro- such a national party committee. Not- hibition includes State, district, and withstanding 11 CFR 102.17, a State, local committees of a political party district, or local committee of a polit- organized in another State. Nothing in ical party must not raise Levin funds this section shall be construed to pro- by means of joint fundraising with a hibit two or more State, district, or national committee of a political local committees of a political party party, any officer or agent acting on from jointly raising, under 11 CFR behalf of such a national party com- 102.17, Federal funds not to be used for mittee, or any entity that is directly Federal election activity. or indirectly established, financed, (g) Safe Harbor. The use of a common maintained, or controlled by such a na- vendor for fundraising by more than tional party committee. Nothing in one State, district, or local committee this section shall be construed to proof a political party, or the agent of hibit a State, district, or local com- such a committee, does not constitute mittee of a political party from jointly joint fundraising within the meaning of raising, under 11 CFR 102.17, Federal this section. funds not to be used for Federal elec- [67 FR 49120, July 29, 2002, as amended at 75 tion activity with a national com- FR 32, Jan. 4, 2010; 79 FR 77850, Dec. 29, 2014] mittee of a political party, or its agent, or any entity directly or indirectly es- § 300.32 Expenditures and disburse- tablished, financed, maintained, or ments. controlled by such a national party (a) Federal funds. (1) An association committee. or similar group of candidates for State (2) A Federal candidate, or an indi- or local office, or an association or vidual holding Federal office, or an similar group of individuals holding agent of a Federal candidate or office- State or local office, must make any holder, or an entity directly or indi- expenditures or disbursements for Fed- rectly established, financed, main- eral election activity solely with Fed- tained, or controlled by, or acting on eral funds. behalf of, one or more Federal can- (2) Except as provided in this part, a didates or individuals holding Federal State, district, or local committee of a office. Notwithstanding 11 CFR 102.17, a political party that makes expendi- State, district, or local committee of a tures or disbursements for Federal political party must not raise Levin election activity must use Federal funds by means of joint fundraising funds for that purposes, subject to the with a Federal candidate, an individual provisions of this chapter. holding Federal office, or an entity di- (3) State, district, and local party rectly or indirectly established, fi- committees that raise Federal funds nanced, maintained, or controlled by, through an activity where only Federal or acting on behalf of, one or more can- funds are raised, must pay the direct didates or individuals holding Federal costs of such fundraising only with

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Federal funds. State, district, and local and (c)(2) of this section, except as re- party committees that raise Federal quired by State law. funds and non-Federal funds through a (c) Conditions and restrictions on joint fundraising activity under 11 CFR spending Levin funds. (1) The Federal 106.7(d)(4) or a joint fundraiser under 11 election activity for which the dis- CFR 102.17, where the Federal funds are bursement is made must not refer to a to be used, in whole or in part, for Fed- clearly identified candidate for Federal eral election activities, must either office. pay the direct costs of such fundraising (2) The disbursement must not pay only with Federal funds or allocate the for any part of the costs of any broad- direct costs in accordance with the casting, cable, or satellite communica- funds received method described in 11 tion, other than a communication that CFR 106.7(d)(4). The direct costs of a refers solely to a clearly identified can- fundraising program or event include didate for State or local office. expenses for the solicitation of funds (3) The disbursement must be made and for the planning and administra- from funds raised in accordance with 11 tion of actual fundraising programs CFR 300.31. and events. (4) The disbursements for allocable (4) State, district, and local party Federal election activity must be paid committees that raise Levin funds to for either entirely with Federal funds be used, in whole or in part, for Federal or by allocating between Federal funds election activity must pay the direct and Levin funds according to 11 CFR 300.33. costs of such fundraising with either (d) Non-Federal activities. A State, dis- Federal or Levin funds. The direct trict, or local committee of a political costs of a fundraising program or event party that makes disbursements for include expenses for the solicitation of non-Federal activity may make those funds and for the planning and admin- disbursements from its Federal, Levin, istration of actual fundraising pro- or non-Federal funds, subject to the grams and events. laws of the State in which it is orga- (b) Levin funds. A State, district, or nized. A State, district, or local party local committee of a political party committee that engages in fundraising may spend Levin funds in accordance for solely non-Federal funds may pay with this part on the following types of the costs related to such fundraising activity: from any account, subject to State law, (1) Subject to the conditions set out including a Federal account. in paragraph (c) of this section, only the following types of Federal election [67 FR 49120, July 29, 2002, as amended at 70 FR 69632, Nov. 17, 2005; 70 FR 75384, Dec. 20, activity: 2005] (i) Voter registration activity during the period that begins on the date that § 300.33 Allocation of costs of Federal is 120 days before the date a regularly election activity. scheduled Federal election is held and (a) Costs of Federal election activity al- ends on the date of the election; and locable by State, district, and local party (ii) Voter identification, get-out-the- committees and organizations—(1) Costs vote activity, or generic campaign ac- of voter registration. Subject to the con- tivity conducted in connection with an ditions of 11 CFR 300.32(c), State, dis- election in which a candidate for Fed- trict, and local party committees and eral office appears on the ballot (re- organizations may allocate disburse- gardless of whether a candidate for ments or expenditures, except salaries State or local office also appears on the and wages for employees, between Fed- ballot). eral funds and Levin funds for voter (2) Any use that is lawful under the registration activity, as defined in 11 laws of the State in which the com- CFR 100.24(a)(2), that takes place dur- mittee is organized, other than the ing the period that begins on the date Federal election activities defined in 11 that is 120 days before the date of a CFR 100.24(b)(3) and (4). A disbursement regularly scheduled Federal election of Levin funds under this paragraph and that ends on the date of the elec- need not comply with paragraphs (c)(1) tion, provided that the activity does

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not refer to a clearly identified Federal (4) Non-Presidential and non-Senate candidate. year. If neither a Presidential nor a (2) Costs of voter identification, get-out- Senate candidate appears on the ballot, the-vote activity, or generic campaign ac- State, district, and local party com- tivities within certain time periods. Sub- mittees and organizations must allo- ject to the conditions of 11 CFR cate at least 15% of expenses for activi- 300.32(c), State, district, and local ties described in paragraph (a) of this party committees and organizations section to their Federal funds. may allocate disbursements or expend- (c) Costs of public communications. Ex- itures, except salaries and wages for penditures for public communications employees, between Federal funds and as defined in 11 CFR 100.26 by State, Levin funds for voter identification, district, and local party committees get-out-the-vote activity, or generic and organizations that refer to a clear- campaign activities, as defined in 11 ly identified candidate for Federal of- CFR 100.24(a)(3) and (4) and 11 CFR fice and that promote, support, attack, 100.25, that are conducted in connec- or oppose any such candidate for Fed- tion with an election in which a can- eral office must not be allocated be- didate for Federal office is on the bal- tween or among Federal, non-Federal, lot and within the time periods set and Levin accounts. Only Federal funds forth in 11 CFR 100.24(a)(1), provided may be used. that the activity does not refer to a (d) Costs of salaries, wages, and fringe clearly identified Federal candidate. benefits. (1) Except as provided in para- (b) Allocation percentages. State, dis- graph (d)(3) of this section, salaries, trict, and local party committees and wages, and fringe benefits paid for em- organizations that choose to allocate ployees who spend 25% or less of their between Federal funds and Levin funds compensated time in a given month on their expenditures and disbursements, Federal election activities or on activi- except for salaries and wages, in con- ties in connection with a Federal elec- nection with activities described in tion must either be paid only from the paragraph (a) of this section that take Federal account or be allocated as ad- place within the time periods set forth ministrative costs under 11 CFR in 11 CFR 100.24(a)(1) or paragraph (a) 106.7(d)(2). of this section must allocate the fol- (2) Salaries, wages, and fringe bene- lowing minimum percentages to their fits paid for employees who spend more Federal funds: than 25% of their compensated time in (1) Presidential election years. If a a given month on Federal election ac- Presidential candidate, but no Senate tivities or on activities in connection candidate appears on the ballot, State, with a Federal election must be paid district, and local party committees only from a Federal account. and organizations must allocate at (3) Salaries, wages, and fringe bene- least 28% of expenses for activities de- fits paid for employees who spend none scribed in paragraph (a) of this section of their compensated time in a given to their Federal funds. month on Federal election activities or (2) Presidential and Senate election on activities in connection with a Fed- year. If a Presidential candidate and a eral election may be paid entirely with Senate candidate appear on the ballot, funds that comply with State law. See State, district, and local party com- 11 CFR 106.7(c)(1) and (d)(1). mittees and organizations must allo- (e) Transfers between accounts to cover cate at least 36% of expenses for activi- allocable expenses. State, district, and ties described in paragraph (a) of this local party committees and organiza- section to their Federal funds. tions may transfer Levin funds from (3) Senate election year. If a Senate their Levin or non-Federal accounts to candidate, but no Presidential can- their Federal accounts or to allocation didate, appears on the ballot, State, accounts solely to meet expenses allo- district, and local party committees cable pursuant to paragraphs (a)(1) and and organizations must allocate at (2) of this section and only pursuant to least 21% of expenses for activities de- the following methods: scribed in paragraph (a) of this section (1) Payments from Federal accounts or to their Federal funds. from allocation accounts. (i) If Federal

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accounts are used to make payments 300.32. A State, district, or local com- for allocable activities, State, district, mittee of a political party must itself and local party committees and organi- raise the Federal component of an ex- zations must pay the entire amount of penditure or disbursement allocated allocable expenses from their Federal between Federal funds and Levin funds accounts and transfer Levin funds from under 11 CFR 300.32 and 300.33. their Levin or non-Federal accounts to (2) A State, district, or local com- their Federal accounts solely to cover mittee of a political party that makes the portions of the expenses for which an expenditure or disbursement of Fed- Levin funds may be used; or eral funds for Federal election activi- (ii) State, district, and local party ties must demonstrate through a rea- committees and organizations may establish separate allocation accounts sonable accounting method approved into which Federal funds and Levin by the Commission (including any funds may be deposited solely for the method embedded in software provided purpose of paying allocable expenses. or approved by the Commission) that (2) Timing. (i) If Federal or allocation the Federal funds used to make the ex- accounts are used to make allocable penditure or disbursement do not in- expenditures and disbursements, State, clude Federal funds transferred to the district, and local party committees committee in violation of this section. and organizations must transfer Levin Alternatively, a State, district, or funds to their Federal or allocation ac- local committee of a political party counts to meet allocable expenses no may establish a separate Federal ac- more than 10 days before and no more count into which the committee depos- than 60 days after the payments for its only Federal funds raised by the which they are designated are made committee itself, and from which all from a Federal or allocation account, expenditures or disbursement of Fed- except that transfers may be made eral funds for Federal election activi- more than 10 days before a payment is ties are made. made from the Federal or allocation (b) Levin funds. Levin funds must be account if advance payment is required raised solely by the State, district, or by the vendor(s) and if such payment is local committee of a political party based on a reasonable estimate of the that expends or disburses the funds. A activity’s final costs as determined by State, district, or local committee of a the committee and the vendor(s) involved. political party must not use as Levin (ii) Any portion of a transfer of Levin funds any funds transferred or other- funds to a party committee or organi- wise provided to the committee by: zation’s Federal or allocation account (1) Any other State, district, or local that does not meet the requirement of committee of any political party, any paragraph (e)(2)(i) of this section shall officer or agent acting on behalf of be presumed to be a loan or contribu- such a committee, or any entity dition from the Levin or non-Federal ac- rectly or indirectly established, fi- count to the Federal or allocation ac- nanced, maintained or controlled by count, in violation of the Act. such a committee; or, [67 FR 49120, July 29, 2002, as amended at 70 (2) The national committee of any FR 75385, Dec. 20, 2005] political party (including a national congressional campaign committee of a § 300.34 Transfers. political party), any officer or agent (a) Federal funds. (1) Notwithstanding acting on behalf of such a committee, 11 CFR 102.6(a)(1)(ii), a State, district, or any entity directly or indirectly es- or local committee of a political party tablished, financed, maintained, or must not use any Federal funds trans- controlled by such a committee. ferred to it from, or otherwise accepted (c) Allocation transfers. Transfers of by it from, any of the persons enumer- Levin funds between the accounts of a ated in paragraphs (b)(1) and (b)(2) of State, district, or local committee of a this section as the Federal component political party for allocation purposes of an expenditure or disbursement for must comply with 11 CFR 300.30 and 11 Federal election activity under 11 CFR CFR 300.33.

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§ 300.35 Office buildings. (d) Transitional Provisions for State Party Building or Facility Account. Up to (a) For the pur- General provision. and including November 5, 2002, the chase or construction of its office State committee of a political party building, a State or local party com- may accept funds into its party office mittee may spend Federal funds or building or facility account, estab- non-Federal funds that are not subject lished pursuant to repealed 2 U.S.C. to the limitations, prohibitions, and 431(8)(B)(viii), designated for the pur- disclosure provisions of the Act, so chase or construction of an office long as such funds are not contributed building. Starting on November 6, 2002, or donated by a foreign national. See 52 the funds in the account may not be U.S.C. 30121. If non-Federal funds are used for Federal account or Levin ac- used, they are subject to State law. An count purposes, but may be used for office building must not be purchased any non-Federal purposes, as permitted or constructed for the purpose of influ- under State law. encing the election of any candidate in any particular election for Federal of- [67 FR 49120, July 29, 2002, as amended at 79 FR 77850, Dec. 29, 2014] fice. For purposes of this section, the term local party committee shall include § 300.36 Reporting Federal election ac- a district party committee. tivity; recordkeeping. (b) Application of State law. Non-Fed- (a) Requirements for a State, district, or eral funds received by a State or local local committee of a political party, or an party committee that are spent for the association or similar group of candidates purchase or construction of its office for State or local office or of individuals building are subject to State law as set holding State or local office, that is not a forth in paragraphs (b)(1) and (2) of this political committee. (1) A State, district, section. or local committee of a political party, (1) Non-Federal account. If a State or or an association or similar group of local party committee uses non-Fed- candidates for State or local office or eral funds, Federal law does not pre- of individuals holding State or local of- empt or supersede State law as to the fice, that is not a political committee source of funds used, the permissibility (see 11 CFR 100.5) must demonstrate of the disbursements, or the reporting through a reasonable accounting meth- of the receipt and disbursement of such od that whenever it makes a payment funds, except as provided in paragraph of Federal funds or Levin funds (if it is (a) of this section. permitted to spend Levin funds) for (2) Levin funds. Levin funds may be Federal election activity (see 11 CFR used for the purchase or construction 300.32 and 300.33) it has received suffi- of a State or local party committee of- cient funds subject to the limitations fice building, if permitted by State and prohibitions of the Act to make law. the payment. Such an organization (c) Leasing a portion of the party office must keep records of amounts received building. A State or local party com- or expended under this paragraph and, mittee may lease a portion of its office upon request, shall make such records building to others to generate income available for examination by the Com- at the usual and normal charge. If the mission. building is purchased or constructed in (2) Notwithstanding the foregoing, a whole or in part with non-Federal payment of Federal funds or Levin funds, all rental income shall be depos- funds for Federal election activity ited in the committee’s non-Federal shall not constitute an expenditure for account and used only for non-Federal purposes of determining whether a purposes. Such rental income and its State, district, or local committee of a use must also comply with State law. political party, or an association or If the building is purchased or con- similar group of candidates for State or structed solely with Federal funds, the local office or of individuals holding rental income may be deposited in the State or local office, qualifies as a po- Federal account. The receipt of such litical committee under 11 CFR 100.5, funds shall be reported in compliance unless the payment otherwise qualifies with 11 CFR 104.3(a)(4)(vi). as an expenditure under 52 U.S.C.

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30101(9). A payment of Federal funds for and disbursements made for Federal Federal election activity that refers to election activity if the aggregate a clearly identified Federal candidate amount of such receipts and disburse- and that meets the criteria of 11 CFR ments is $5,000 or more during the cal- 100.140, 100.147, or 100.149 (exempt activi- endar year. The disclosure required by ties) shall be treated as a payment for this paragraph must include receipts exempt activity in accordance with all and disbursements of Federal funds and applicable provisions of this chapter, of Levin funds used for Federal elec- including, but not limited to, 52 U.S.C. tion activity. 30121. (i) Reporting of allocation of expenses (b) Requirements for a State, district, or between Federal funds and Levin funds. local committee of a political party, or an A State, district, or local committee of association or similar group of candidates a political party that makes a dis- for State or local office or of individuals bursement for Federal election activity holding State or local office, that is a po- that is allocated between Federal funds litical committee—(1) Requirements for a and Levin funds (see 11 CFR 300.33) State, district, or local committee of a po- must report for each such disburse- litical party that has less than $5,000 of ment: aggregate receipts and disbursements for (A) In the first report of a calendar Federal election activity in a calendar year disclosing an allocated disburse- year, and for an association or similar ment for Federal election activity, the group of candidates for State or local of- committee must state the allocation fice or of individuals holding State or percentages to be applied for allocable local office at all times. This paragraph Federal election activity pursuant to applies to a State, district, or local 11 CFR 300.33(b). committee of a political party that is a political committee, and that has less (B) In each subsequent report in the than $5,000 of aggregate receipts and calendar year itemizing an allocated disbursements for Federal election ac- disbursement for Federal election activity in a calendar year; and, at all tivity, the committee must state the times, to an association or similar category of Federal election activity group of candidates for State or local (see 11 CFR 100.24(b)) for which each al- office or of individuals holding State or located disbursement was made, and local office that is a political com- must disclose the total amounts dis- mittee (see 11 CFR 100.5). Such a party bursed from Federal funds and Levin committee or association of candidates funds for that year to date for each or officeholders must report all re- such category. ceipts and disbursements of Federal (ii) Reporting of allocation transfers. A funds for Federal election activity, in- committee that makes allocated dis- cluding the Federally allocated portion bursements for Federal election activi- of a payment for Federal election ac- ties in accordance with 11 CFR 300.33(e) tivity. A disbursement of Federal funds shall report each transfer of Levin or Levin funds for Federal election ac- funds from its Levin or non-Federal activity (see 11 CFR 300.32 and 300.33) by count, to its Federal account, and each either such a party committee or asso- transfer from its Federal account and ciation of candidates or officeholders its Levin or non-Federal account into shall not be deemed an expenditure and an allocation account, for the purpose reported as such pursuant to 11 CFR of making such disbursements. In the part 104, unless the disbursement oth- report covering the period in which erwise qualifies as an expenditure each transfer occurred, the committee under 2 U.S.C. 431(9). must explain in a memo entry the allo- (2) Requirements for a State, district, or cated disbursement to which the trans- local committee of a political party that fer relates and the date on which the has $5,000 or more of aggregate receipts transfer was made. If the transfer in- and disbursements for Federal election ac- cludes funds for the allocable costs of tivity in a calendar year. A State, dis- more than one category of Federal trict, or local committee of a political election activity, the committee must party that is a political committee (see itemize the transfer, showing the 11 CFR 100.5) must report all receipts amounts designated for each category.

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(iii) Reporting of allocated disburse- (d) Recordkeeping. A State, district, ments. For each disbursement allocated or local committee of a political party, between Federal funds and Levin funds, or an association or similar group of the committee must report the full candidates for State or local office or name and address of each person to of individuals holding State or local of- whom the disbursement was made, the fice, that must file reports under para- date of the disbursement, amount, and graph (b) of this section must comply purpose of the disbursement. If the dis- with the requirements of 11 CFR 104.14. bursement is for the allocable costs of [67 FR 49120, July 29, 2002, as amended at 67 more than one category of Federal FR 78682, Dec. 26, 2002; 70 FR 75385, Dec. 20, election activity, the committee must 2005; 79 FR 77850, Dec. 29, 2014] itemize the disbursement, showing the amounts designated for each category. § 300.37 Prohibitions on fundraising The committee must also disclose the for and donating to certain tax-ex- total amount disbursed from Federal empt organizations (52 U.S.C. funds and Levin funds for Federal elec- 30125(d)). tion activity that calendar year, to (a) Prohibitions. A State, district or date, for each category of Federal elec- local committee of a political party tion activity. must not solicit any funds for, or make (iv) Itemization. The disclosure re- or direct any donations of non-Federal quired by paragraph (b)(2) of this sec- funds, including Levin funds, to: tion must include, in addition to any (1) An organization that is described other applicable reporting requirement in 26 U.S.C. 501(c) and exempt from tax- of this chapter, the itemized disclosure ation under section 26 U.S.C. 501(a) and of receipts and disbursements of $200 or that makes expenditures or disburse- more to or from any person for Federal ments in connection with an election election activities. for Federal office, including expendi- (3) Reporting of disbursements allocated tures or disbursements for Federal between Federal funds and non-Federal election activity; funds, other than Levin funds. A State, (2) An organization that has sub- district, or local committee of a polit- mitted an application for tax-exempt ical party that makes a disbursement status under 26 U.S.C. 501(c) and that for costs allocable between Federal and makes expenditures or disbursements non-Federal funds, other than the costs in connection with an election for Fed- of Federal election activity that is al- eral office, including expenditures or located between Federal funds and disbursements for Federal election ac- Levin funds under 11 CFR 300.33, must tivity; or comply with 11 CFR 104.17. (3) An organization described in 26 (c) Filing—(1) Schedule. A State, dis- U.S.C. 527, unless the organization is: trict, or local committee of a political (i) A political committee under 11 party, or an association or similar CFR 100.5; group of candidates for State or local (ii) A State, district, or local com- office or of individuals holding State or mittee of a political party; local office, that must file reports (iii) The authorized campaign com- under paragraph (b) of this section mittee of a State or local candidate; or must comply with the monthly filing (iv) A political committee under schedule in 11 CFR 104.5(c)(3). State law, that supports only State or (2) Electronic filing. Receipts of Fed- local candidates and that does not eral funds for Federal election activity make expenditures or disbursements in that constitute contributions under 11 connection with an election for Federal CFR part 100, subpart B, and disburse- office, including expenditures or dis- ments of Federal funds for Federal bursements for Federal election activ- election activity that constitute ex- ity. penditures under 11 CFR part 100, sub- (b) Application. This section also ap- part D, apply when determining wheth- plies to: er a political committee must file re- (1) An officer or agent acting on be- ports in an electronic format under 11 half of a State, district, or local com- CFR 104.18. mittee of a political party;

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(2) An entity that is directly or indi- (2) The certification states that with- rectly established, financed, main- in the current election cycle, the orga- tained or controlled by a State, district nization or political committee has not or local committee of a political party made, and does not intend to make, ex- or an officer or agent acting on behalf penditures or disbursements in connec- of such an entity; or tion with an election for Federal office (3) An entity that is directly or indi- (including for Federal election activ- rectly established, financed, main- ity); and tained, or controlled by an agent of a (3) The certification states that the State, district, or local committee of a organization or political committee political party. does not intend to pay debts incurred (c) Determining whether an organiza- from the making of expenditures or tion makes expenditures or disbursements disbursements in connection with an election for Federal office (including in connection with a Federal election. (1) for Federal election activity) in a prior In determining whether a section 501(c) election cycle. organization is one that makes expend- (e) If a State, district, or local com- itures or disbursements in connection mittee of a political party or any per- with a Federal election, including ex- son described in paragraph (b) of this penditures or disbursements for Fed- section has actual knowledge that the eral election activity, pursuant to certification is false, the certification paragraphs (a)(1) and (2) of this section, may not be relied upon. a State, district, or local committee of (f) It is not prohibited for a State, a political party or any other person district, or local committee of a polit- described in paragraph (b) of this sec- ical party or its agents to respond to a tion, may obtain and rely upon a cer- request for information about a tax-ex- tification from the organization that empt group that shares the party’s po- satisfies the criteria described in para- litical or philosophical goals. graph (d) of this section. (2) In determining whether a section [67 FR 49120, July 29, 2002, as amended at 70 FR 12789, Mar. 16, 2005; 79 FR 77850, Dec. 29, 527 organization is a State-registered 2014] political committee that supports only State or local candidates and does not make expenditures or disbursements in Subpart C—Tax-Exempt connection with an Federal election, Organizations including expenditures or disburse- § 300.50 Prohibited fundraising by na- ments for Federal election activity, tional party committees (52 U.S.C. pursuant to paragraph (a)(3)(iv) of this 30125(d)). section, a State, district, or local com- (a) Prohibitions on fundraising and do- mittee of a political party or any other nations. A national committee of a po- person described in paragraph (b) of litical party, including a national con- this section, may obtain and rely upon gressional campaign committee, must a certification from the organization not solicit any funds for, or make or di- that satisfies the criteria described in rect any donations of non-Federal paragraph (d) of this section. funds to the following organizations: (d) Certification. A State, district, or (1) An organization that is described local committee of a political party or in 26 U.S.C. 501(c) and exempt from tax- any person described in paragraph (b) ation under section 26 U.S.C. 501(a) and of this section may rely upon a certifi- that makes expenditures or disburse- cation that meets all of the following ments in connection with an election criteria: for Federal office, including expendi- (1) The certification is a signed writ- tures or disbursements for Federal ten statement by an officer or other election activity; authorized representative of the orga- (2) An organization that has sub- nization with knowledge of the organi- mitted an application for tax-exempt zation’s activities or by the treasurer status under 26 U.S.C. 501(c) and that of the State-registered political com- makes expenditures or disbursements mittee described in paragraph (a)(3)(iv) in connection with an election for Fed- of this section; eral office, including expenditures or

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disbursements for Federal election ac- nization with knowledge of the organi- tivity; or zation’s activities; (3) An organization described in 26 (2) The certification states that with- U.S.C. 527, unless the organization is: in the current election cycle, the orga- (i) A political committee under 11 nization has not made, and does not in- CFR 100.5; tend to make, expenditures or disburse- (ii) A State, district, or local comments in connection with an election mittee of a political party; or for Federal office (including for Fed- (iii) The authorized campaign com- eral election activity); and mittee of a State or local candidate; (3) The certification states that the (b) Application. This section also ap- organization or political committee plies to: does not intend to pay debts incurred (1) An officer or agent acting on be- from the making of expenditures or half of a national party committee, in- disbursements in connection with an cluding a national congressional cam- election for Federal office (including paign committee; for Federal election activity) in a prior election cycle. (2) An entity that is directly or indirectly established, financed, main- (e) Reliance on false certification. If a tained, or controlled by a national national committee of a political party party committee, including a national or any person described in paragraph congressional campaign committee, or (b) of this section has actual knowledge an officer or agent acting on behalf of that the certification is false, the cer- such an entity; or tification may not be relied upon. (3) An entity that is directly or indi- (f) Requests for information. It is not rectly established, financed, main- prohibited for a national party or its tained or controlled by an agent of a agent to respond to a request for infor- national committee of a political mation about a tax-exempt group that party, including a national congres- shares the party’s political or philo- sional campaign committee. sophical goals. (c) Determining whether a section 501(c) [67 FR 49120, July 29, 2002, as amended at 70 organization makes expenditures or dis- FR 12789, Mar. 16, 2005] bursements in connection with Federal elections. In determining whether a sec- § 300.51 Prohibited fundraising by tion 501(c) organization is one that State, district, or local party com- makes expenditures or disbursements mittees (52 U.S.C. 30125(d)). in connection with a Federal election, (a) Prohibitions. A State, district or including expenditures or disburse- local committee of a political party ments for Federal election activity, must not solicit any funds for, or make pursuant to paragraphs (a)(1) and (2) of or direct any donations of non-Federal this section, a national committee of a funds, including Levin funds, to: political party, including a national (1) An organization that is described congressional campaign committee, or in 26 U.S.C. 501(c) and exempt from tax- any other person described in para- ation under section 26 U.S.C. 501(a) and graph (b) of this section, may obtain that makes expenditures or disburse- and rely upon a certification from the ments in connection with an election organization that satisfies the criteria for Federal office, including expendi- described in paragraph (d) of this sec- tures or disbursements for Federal tion. election activity; (d) Certification. A national com- (2) An organization that has sub- mittee of a political party, including a mitted an application for tax-exempt national congressional campaign com- status under 26 U.S.C. 501(c) and that mittee, or any person described in makes expenditures or disbursements paragraph (b) of this section, may rely in connection with an election for Fed- upon a certification that meets all of eral office, including expenditures or the following criteria: disbursements for Federal election ac- (1) The certification is a signed writ- tivity; or ten statement by an officer or other (3) An organization described in 26 authorized representative of the orga- U.S.C. 527, unless the organization is:

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(i) A political committee under 11 may obtain and rely upon a certifi- CFR 100.5; cation from the organization that sat- (ii) A State, district, or local com- isfies the criteria described in para- mittee of a political party; graph (d) of this section. (iii) The authorized campaign com- (d) Certification. A State, district, or mittee of a State or local candidate; or local committee of a political party or (iv) A political committee under any person described in paragraph (b) State law, that supports only State or of this section may rely upon a certifi- local candidates and that does not cation that meets all of the following make expenditures or disbursements in criteria: connection with an election for Federal (1) The certification is a signed writ- office, including expenditures or dis- ten statement by an officer or other bursements for Federal election activ- authorized representative of the orga- ity. nization with knowledge of the organi- (b) Application. This section also ap- zation’s activities or by the treasurer plies to: of the State-registered political com- (1) An officer or agent acting on be- mittee described in paragraph (a)(3)(iv) half of a State, district, or local com- of this section; mittee of a political party; (2) The certification states that with- (2) An entity that is directly or indi- in the current election cycle, the orga- rectly established, financed, main- nization or political committee has not tained or controlled by a State, district made, and does not intend to make, ex- or local committee of a political party penditures or disbursements in connec- or an officer or agent acting on behalf tion with an election for Federal office of such an entity; or (including for Federal election activ- (3) An entity that is directly or indi- ity); and rectly established, financed, main- (3) The certification states that the tained, or controlled by an agent of a organization does not intend to pay State, district, or local committee of a debts incurred from the making of ex- political party. penditures or disbursements in connec- (c) Determining whether an organization with an election for Federal office tion makes expenditures or disbursements (including for Federal election activ- in connection with a Federal election. (1) ity) in a prior election cycle. In determining whether a section 501(c) (e) If a State, district, or local com- organization is one that makes expend- mittee of a political party or any per- itures or disbursements in connection son described in paragraph (b) of this with a Federal election, including ex- section has actual knowledge that the penditures or disbursements for Fed- certification is false, the certification eral election activity, pursuant to may not be relied upon. paragraphs (a)(1) and (2) of this section, (f) It is not prohibited for a State, a State, district, or local committee of district, or local committee of a polit- a political party or any other person ical party or its agents to respond to a described in paragraph (b) of this sec- request for information about a tax-ex- tion, may obtain and rely upon a cer- empt group that shares the party’s po- tification from the organization that litical or philosophical goals. satisfies the criteria described in para- [67 FR 49120, July 29, 2002, as amended at 70 graph (d) of this section. FR 12789, Mar. 16, 2005; 79 FR 77850, Dec. 29, (2) In determining whether a section 2014] 527 organization is a State-registered political committee that supports only § 300.52 Fundraising by Federal can- State or local candidates and does not didates and Federal officeholders make expenditures or disbursements in (52 U.S.C. 30125(e)(1) and (4)). connection with a Federal election, in- A Federal candidate, an individual cluding expenditures or disbursements holding Federal office, and an indi- for Federal election activity, pursuant vidual agent acting on behalf of either to paragraph (a)(3)(iv) of this section, a may make the following solicitations State, district, or local committee of a of funds on behalf of any organization political party or any other person de- described in 26 U.S.C. 501(c) and exempt scribed in paragraph (b) of this section, from taxation under 26 U.S.C. 501(a), or

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an organization that has submitted an (ii) Get-out-the-vote activity as de- application for determination of tax- scribed in 11 CFR 100.24(a)(3); or exempt status under 26 U.S.C. 501(c): (iii) Generic campaign activity as de- (a) General solicitations. A Federal fined in 11 CFR 100.25. candidate, an individual holding Fed- (d) Prohibited solicitations. A Federal eral office, or an individual agent act- candidate, an individual holding Fed- ing on behalf of either, may make a eral office, and an individual who is an general solicitation of funds, without agent acting on behalf of either, must regard to source or amount limitation, not make any solicitation on behalf of if: any organization described in 26 U.S.C. (1) The organization does not engage 501(c) and exempt from taxation under in activities in connection with an election, including any activity de- 26 U.S.C. 501(a), or an organization that scribed in paragraph (c) of this section; has submitted an application for deter- or mination of tax-exempt status under 26 (2)(i) The organization conducts ac- U.S.C. 501(c) for any election activity tivities in connection with an election, other than a Federal election activity but the organization’s principal pur- as described in paragraph (c) of this pose is not to conduct election activi- section. ties or any activity described in para- (e) Safe Harbor. In determining graph (c) of this section; and whether a 501(c) organization is one (ii) The solicitation is not to obtain whose principal purpose is to conduct funds for activities in connection with election activities, including activity an election or any activity described in described in paragraph (c) of this sec- paragraph (c) of this section. tion, a Federal candidate, an individual (b) Specific solicitations. A Federal holding Federal office, or an individual candidate, an individual holding Fed- agent acting on behalf of either, may eral office, or an individual agent act- obtain and rely upon a certification ing on behalf of either, may make a so- from the organization that satisfies the licitation explicitly to obtain funds for following criteria: any activity described in paragraph (c) (1) The certification is a signed writ- of this section or for an organization ten statement by an officer or other whose principal purpose is to conduct authorized representative of the orga- that activity, if: (1) The solicitation is made only to nization with knowledge of the organi- individuals; and zation’s activities; (2) The amount solicited from any in- (2) The certification states that the dividual does not exceed $20,000 during organization’s principal purpose is not any calendar year. to conduct election activities, includ- (c) Voter registration, voter identifica- ing election activity described in para- tion, get-out-the-vote activity and generic graph (c) of this section; and campaign activity. This section applies (3) The certification states that the to only the following types of Federal organization does not intend to pay election activity: debts incurred from the making of ex- (1) Voter registration activity, as de- penditures or disbursements in connec- scribed in 11 CFR 100.24(a)(2), during tion with an election for Federal office the period that begins on the date that (including for Federal election activ- is 120 days before the date a regularly ity) in a prior election cycle. scheduled Federal election is held and (f) If a Federal candidate, an indi- ends on the date of the election; or vidual holding Federal office, or an in- (2) The following activities conducted dividual agent acting on behalf of ei- in connection with an election in which ther has actual knowledge that the cer- one or more Federal candidates appear tification is false, the certification on the ballot (see 11 CFR 100.24(a)(1)), regardless of whether one or more may not be relied upon. State candidates also appears on the [67 FR 49120, July 29, 2002, as amended at 79 ballot: FR 77850, Dec. 29, 2014] (i) Voter identification as described in 11 CFR 100.24(a)(4);

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Subpart D—Federal Candidates § 300.64 Participation by Federal can- and Officeholders didates and officeholders at non- Federal fundraising events (52 § 300.60 Scope (52 U.S.C. 30125(e)(1)). U.S.C. 30125(e)(1) and (3)). This subpart applies to: (a) Scope. This section covers partici- (a) Federal candidates; pation by Federal candidates and of- (b) Individuals holding Federal office ficeholders at fundraising events in (see 11 CFR 300.2(o)); connection with an election for Federal (c) Agents acting on behalf of a Fed- office or any non-Federal election at eral candidate or individual holding which funds outside the amount limita- Federal office; and tions and source prohibitions of the (d) Entities that are directly or indi- Act or Levin funds are solicited. This rectly established, financed, main- section also covers participation by tained, or controlled by, or acting on Federal candidates and officeholders in behalf of, one or more Federal can- publicity related to such non-Federal didates or individuals holding Federal fundraising events. This section applies office. even if funds that comply with the amount limitations and source prohibi- § 300.61 Federal elections (52 U.S.C. tions of the Act are also solicited at 30125(e)(1)(A)). the event. Nothing in this section shall No person described in 11 CFR 300.60 be construed to alter the fundraising shall solicit, receive, direct, transfer, exception for State candidates at 11 spend, or disburse funds in connection CFR 300.63 or the fundraising excep- with an election for Federal office, in- tions for certain tax-exempt organiza- cluding funds for any Federal election tions at 11 CFR 300.65. activity as defined in 11 CFR 100.24, un- (b) Participation at non-Federal fund- less the amounts consist of Federal raising events. A Federal candidate or funds that are subject to the limita- officeholder may: tions, prohibitions, and reporting re- (1) Attend, speak at, or be a featured quirements of the Act. guest at a non-Federal fundraising event. § 300.62 Non-Federal elections (52 (2) Solicit funds at a non-Federal U.S.C. 30125(e)(1)(B)). fundraising event, provided that the so- A person described in 11 CFR 300.60 licitation is limited to funds that com- may solicit, receive, direct, transfer, ply with the amount limitations and spend, or disburse funds in connection source prohibitions of the Act and that with any non-Federal election, only in are consistent with State law. amounts and from sources that are (i) A Federal candidate or office- consistent with State law, and that do holder may limit such a solicitation by not exceed the Act’s contribution lim- displaying at the fundraising event a its or come from prohibited sources clear and conspicuous written notice, under the Act. or making a clear and conspicuous oral statement, that the solicitation is not § 300.63 Exception for State candidates for Levin funds (when applicable), does (52 U.S.C. 30125(e)(2)). not seek funds in excess of $[Federally Section 300.62 shall not apply to a permissible amount], and does not seek Federal candidate or individual holding funds from corporations, labor organi- Federal office who is a candidate for zations, national banks, federal govern- State or local office, if the solicitation, ment contractors, or foreign nationals. receipt or spending of funds is per- (ii) A written notice or oral state- mitted under State law; and refers only ment is not clear and conspicuous if it to that State or local candidate, to any is difficult to read or hear or if its other candidate for that same State or placement is easily overlooked by any local office, or both. If an individual is significant number of those in attend- simultaneously running for both Fed- ance. eral and State or local office, the indi- (c) Publicity for non-Federal fund- vidual must raise, accept, and spend raising events. For the purposes of this only Federal funds for the Federal elec- paragraph, publicity for a non-Federal tion. fundraising event includes, but is not

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limited to, advertisements, announce- (iv) Examples of disclaimers that sat- ments, or pre-event invitation mate- isfy paragraph (c)(3)(i)(B) of this sec- rials, regardless of format or medium tion include, but are not limited to: of communication. (A) ‘‘[Name of Federal candidate/of- (1) Publicity not containing a solicita- ficeholder] is appearing at this event tion. A Federal candidate, officeholder, only as a featured speaker. [Federal or an agent of either may approve, au- candidate/officeholder] is not asking thorize, agree to, or consent to the use for funds or donations’’; or of the Federal candidate’s or office- (B) ‘‘All funds solicited in connection holder’s name or likeness in publicity with this event are by [name of non- for a non-Federal fundraising event Federal candidate or entity], and not that does not contain a solicitation. by [Federal candidate/officeholder].’’ (v) A Federal candidate, officeholder, (2) Publicity containing a solicitation or an agent of either may not approve, limited to funds that comply with the authorize, agree to, or consent to the amount limitations and source prohibi- use of the Federal candidate’s or office- tions of the Act. A Federal candidate, of- holder’s name or likeness in publicity ficeholder, or an agent of either may for a non-Federal fundraising event approve, authorize, agree to, or consent that contains a solicitation of funds to the use of the Federal candidate’s or outside the amount limitations and officeholder’s name or likeness in pub- source prohibitions of the Act or Levin licity for a non-Federal fundraising funds if: event that solicits only funds that (A) The Federal candidate or office- comply with the amount limitations holder is identified as serving in a posi- and source prohibitions of the Act. tion specifically related to fundraising, (3) Publicity containing a solicitation of such as honorary chairperson or mem- funds outside the amount limitations and ber of a host committee, or is identi- source prohibitions of the Act. (i) A Fed- fied in the publicity as extending an in- eral candidate, officeholder, or an vitation to the event, even if the com- agent of either may approve, authorize, munication contains a written dis- agree to, or consent to the use of the claimer as described in paragraph Federal candidate’s or officeholder’s (c)(3)(i)(B) of this section; or name or likeness in publicity for a non- (B) The Federal candidate or office- Federal fundraising event that con- holder signs the communication, even tains a solicitation of funds outside the if the communication contains a writ- amount limitations and source prohibi- ten disclaimer as described in para- tions of the Act or Levin funds only if: graph (c)(3)(i)(B) of this section. (A) The Federal candidate or office- (vi) A Federal candidate, officeholder is identified as a featured guest, holder, or an agent of either, may not honored guest, special guest, featured disseminate publicity for a non-Federal speaker, or honored speaker, or in any fundraising event that contains a solic- other manner not specifically related itation of funds outside the amount to fundraising; and limitations and source prohibitions of (B) The publicity includes a clear and the Act or Levin funds by someone conspicuous disclaimer that the solici- other than the Federal candidate or of- tation is not being made by the Federal ficeholder. candidate or officeholder. [75 FR 24383, May 5, 2010] (ii) The disclaimer required in paragraph (c)(3)(i)(B) of this section must § 300.65 Exceptions for certain tax-ex- meet the requirements in 11 CFR empt organizations (52 U.S.C. 110.11(c)(2) if the publicity is written. 30125(e)(1) and (4)). (iii) Where publicity is disseminated A Federal candidate, an individual by non-written means, the disclaimer holding Federal office, and an indi- described in paragraph (c)(3)(i)(B) of vidual agent acting on behalf of either this section is required only if the pub- may make the following solicitations licity is recorded or follows any form of of funds on behalf of any organization written script or is conducted accord- described in 26 U.S.C. 501(c) and exempt ing to a structured or organized pro- from taxation under 26 U.S.C. 501(a), or gram. an organization that has submitted an

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application for determination of tax- (ii) Get-out-the-vote activity as de- exempt status under 26 U.S.C. 501(c): scribed in 11 CFR 100.24(a)(3); or (a) General solicitations. A Federal (iii) Generic campaign activity as de- candidate, an individual holding Fed- fined in 11 CFR 100.25. eral office or an individual agent act- (d) Prohibited solicitations. A Federal ing on behalf of either, may make a candidate, an individual holding Fed- general solicitation of funds, without eral office, and an individual who is an regard to source or amount limitation, agent acting on behalf of either, must if: not make any solicitation on behalf of (1) The organization does not engage any organization described in 26 U.S.C. in activities in connection with an 501(c) and exempt from taxation under election, including any activity de- 26 U.S.C. 501(a), or an organization that scribed in paragraph (c) of this section; has submitted an application for deter- or mination of tax-exempt status under 26 U.S.C. 501(c) for any election activity (2)(i) The organization conducts ac- other than a Federal election activity tivities in connection with an election, as described in paragraph (c) of this but the organization’s principal pur- section. pose is not to conduct election activi- (e) Safe Harbor. In determining ties or any activity described in para- whether a 501(c) organization is one graph (c) of this section; and whose principal purpose is to conduct (ii) The solicitation is not to obtain election activities, including activity funds for activities in connection with described in paragraph (c) of this sec- an election or any activity described in tion, a Federal candidate, an individual paragraph (c) of this section. holding Federal office, or an individual (b) Specific solicitations. A Federal agent acting on behalf of either may candidate, an individual holding Fed- obtain and rely upon a certification eral office, or an individual agent act- from the organization that satisfies the ing on behalf of either, may make a so- following criteria: licitation explicitly to obtain funds for (1) The certification is a signed writ- any activity described in paragraph (c) ten statement by an officer or other of this section or for an organization authorized representative of the orga- whose principal purpose is to conduct nization with knowledge of the organi- that activity, if: zation’s activities; (1) The solicitation is made only to (2) The certification states that the individuals; and organization’s principal purpose is not (2) The amount solicited from any in- to conduct election activities, includ- dividual does not exceed $20,000 during ing election activities described in any calendar year. paragraphs (c) of this section. (c) Voter registration, voter identifica- (3) The certification states that the tion, get-out-the-vote activity and generic organization does not intend to pay campaign activity. This section applies debts incurred from the making of ex- to only the following types of Federal penditures or disbursements in connec- election activity: tion with an election for Federal office (1) Voter registration activity, as de- (including for Federal election activ- scribed in 11 CFR 100.24(a)(2), during ity) in a prior election cycle. the period that begins on the date that (f) If a Federal candidate, an indi- is 120 days before the date a regularly vidual holding Federal office, or an in- scheduled Federal election is held and dividual agent acting on behalf of ei- ends on the date of the election; or ther has actual knowledge that the cer- (2) The following activities conducted tification is false, the certification in connection with an election in which may not be relied upon. one or more Federal candidates appear on the ballot (see 11 CFR 100.24(a)(1)), Subpart E—State and Local regardless of whether one or more Candidates State candidates also appears on the ballot: § 300.70 Scope (52 U.S.C. 30125(f)(1)). (i) Voter identification as described This subpart applies to any candidate in 11 CFR 100.24(a)(4); for State or local office, individual

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holding State or local office, or an candidate for that Federal office (re- agent acting on behalf of any such can- gardless of whether the communication didate or individual. For example, this expressly advocates a vote for or subpart applies to an individual hold- against a candidate) unless the funds ing Federal office who is a candidate consist of Federal funds that are sub- for State or local office. This subpart ject to the limitations, prohibitions, does not apply to an association or and reporting requirements of the Act. similar group of candidates for State or See definition of public communication local office or of individuals holding at 11 CFR 100.26 State or local office. § 300.72 Federal funds not required for § 300.71 Federal funds required for certain communications (52 U.S.C. certain public communications (52 U.S.C. 30125(f)(1)). 30125(f)(2)). No individual described in 11 CFR The requirements of section 11 CFR 300.70 shall spend any funds for a public 300.71 shall not apply if the public com- communication that refers to a clearly munication is in connection with an identified candidate for Federal office election for State or local office, and (regardless of whether a candidate for refers to one or more candidates for State or local office is also mentioned State or local office or to a State or or identified), and that promotes or local officeholder but does not pro- supports any candidate for that Fed- mote, support, attack, or oppose any eral office, or attacks or opposes any candidate for Federal office.

SUBCHAPTER D [RESERVED]

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PART 9001—SCOPE party for President and Vice President, any political committee that is authorized by a candidate to incur expenses AUTHORITY: 26 U.S.C. 9009(b). on behalf of such candidate. The term ‘‘authorized committee’’ includes the § 9001.1 Scope. candidate’s principal campaign com- This subchapter governs entitlement mittee designated in accordance with to and use of funds certified from the 11 CFR 102.12, any political committee Presidential Election Campaign Fund authorized in writing by the candidate under 26 U.S.C. 9001 et seq. The defini- in accordance with 11 CFR 102.13, and tions, restrictions, liabilities and obli- any political committee not disavowed gations imposed by this subchapter are by the candidate pursuant to 11 CFR in addition to those imposed by sec- 100.3(a)(3). If a party has nominated a tions 30101–30145 of Title 52, United Presidential and a Vice Presidential States Code, and regulations prescribed candidate, all political committees au- thereunder (11 CFR parts 100 through thorized by that party’s Presidential 300). Unless expressly stated to the con- candidate shall also be authorized com- trary, this subchapter does not alter mittees of the Vice Presidential can- the effect of any definitions, restric- didate and all political committees au- tions, obligations and liabilities im- thorized by the Vice Presidential can- posed by sections 30101–30145 of Title 52, didate shall also be authorized commit- United States Code, or regulations pre- tees of the Presidential candidate. scribed thereunder (11 CFR parts 100 (b) Any withdrawal of an authoriza- through 300). tion shall be in writing and shall be ad- [56 FR 35911, July 29, 1991, as amended at 68 dressed and filed in the same manner FR 47414, Aug. 8, 2003; 73 FR 79602, Dec. 30, provided for at 11 CFR 102.12 or 102.13. 2008; 79 FR 77850, Dec. 29, 2014] (c) Any candidate nominated by a political party may designate the na- PART 9002—DEFINITIONS tional committee of that political party as that candidate’s authorized Sec. committee in accordance with 11 CFR 9002.1 Authorized committee. 102.12(c). 9002.2 Candidate. (d) For purposes of this subchapter, 9002.3 Commission. references to the ‘‘candidate’’ and his 9002.4 Eligible candidates. or her responsibilities under this sub- 9002.5 Fund. chapter shall also be deemed to refer to 9002.6 Major party. the candidate’s authorized com- 9002.7 Minor party. 9002.8 New party. mittee(s). 9002.9 Political committee. 9002.10 Presidential election. § 9002.2 Candidate. 9002.11 Qualified campaign expense. (a) For the purposes of this sub- 9002.12 Expenditure report period. chapter, candidate means with respect 9002.13 Contribution. to any presidential election, an indi- 9002.14 Secretary. 9002.15 Political party. vidual who— (1) Has been nominated by a major AUTHORITY: 26 U.S.C. 9002 and 9009(b). party for election to the office of Presi- SOURCE: 56 FR 35911, July 29, 1991, unless dent of the United States or the office otherwise noted. of Vice President of the United States; or § 9002.1 Authorized committee. (2) Has qualified or consented to have (a) Notwithstanding the definition at his or her name appear on the general 11 CFR 100.5, authorized committee election ballot (or to have the names of means with respect to a candidate (as electors pledged to him or her on such defined at 11 CFR 9002.2) of a political ballot) as the candidate of a political

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party for election to either such office § 9002.8 New party. in 10 or more States. For the purposes New party means a political party of this section, political party shall be which is neither a major party nor a defined in accordance with 11 CFR minor party. 9002.15. (b) An individual who is no longer ac- § 9002.9 Political committee. tively conducting campaigns in more than one State pursuant to 11 CFR For purposes of this subchapter, polit- 9004.8 shall cease to be a candidate for ical committee means any committee, the purpose of this subchapter. club, association, organization or other group of persons (whether or not incor- § 9002.3 Commission. porated) which accepts contributions or makes expenditures for the purpose Commission means the Federal Elec- of influencing, or attempting to influ- tion Commission, 999 E Street, NW., ence, the election of any candidate to Washington, DC 20463. the office of President or Vice Presi- dent of the United States. § 9002.4 Eligible candidates. Eligible candidates means those Presi- § 9002.10 Presidential election. dential and Vice Presidential can- Presidential election means the elec- didates who have met all applicable tion of Presidential and Vice Presi- conditions for eligibility to receive dential electors. payments from the Fund under 11 CFR part 9003. § 9002.11 Qualified campaign expense. § 9002.5 Fund. (a) Qualified campaign expense means any expenditure, including a purchase, Fund means the Presidential Elec- payment, distribution, loan, advance, tion Campaign Fund established by 26 deposit, or gift of money or anything of U.S.C. 9006(a). value— § 9002.6 Major party. (1) Incurred to further a candidate’s campaign for election to the office of Major party means a political party President or Vice President of the whose candidate for the office of Presi- United States; dent in the preceding Presidential elec- (2) Incurred within the expenditure tion received, as a candidate of such report period, as defined under 11 CFR party, 25 percent or more of the total 9002.12, or incurred before the begin- number of popular votes received by all ning of such period in accordance with candidates for such office. For the pur- 11 CFR 9003.4 to the extent such ex- poses of 11 CFR 9002.6, candidate means, penditure is for property, services or with respect to any preceding Presi- facilities to be used during such period; dential election, an individual who re- and ceived popular votes for the office of (3) Neither the incurrence nor the President in such election. payment of such expenditure constitutes a violation of any law of the § 9002.7 Minor party. United States, any law of the State in Minor party means a political party which such expense is incurred or paid, whose candidate for the office of Presi- or any regulation prescribed under dent in the preceding Presidential elec- such Federal or State law, except that tion received, as a candidate of such any State law which has been pre- party, 5 percent or more, but less than empted by the Federal Election Cam- 25 percent, of the total number of pop- paign Act of 1971, as amended, shall not ular votes received by all candidates be considered a State law for purposes for such office. For the purposes of 11 of this subchapter. An expenditure CFR 9002.7, candidate means with re- which constitutes such a violation spect to any preceding Presidential shall nevertheless count against the election, an individual who received candidate’s expenditure limitation if popular votes for the office of Presi- the expenditure meets the conditions dent in such election. set forth at 11 CFR 9002.11(a) (1) and (2).

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(b)(1) An expenditure is made to fur- compliance with 52 U.S.C. 30101 et seq. ther a Presidential or Vice Presidential or 26 U.S.C. 9001, et seq. shall be quali- candidate’s campaign if it is incurred fied campaign expenses which may be by or on behalf of such candidate or his paid from payments received from the or her authorized committee. For pur- Fund. If federal funds are used to pay poses of 11 CFR 9002.11(b)(1), any ex- for such services, the payments will penditure incurred by or on behalf of a count against the candidate’s expendi- Presidential candidate of a political ture limitation. Payments for such party will also be considered an ex- services may also be made from an ac- penditure to further the campaign of count established in accordance with 11 the Vice Presidential candidate of that CFR 9003.3 or may be provided to the party. Any expenditure incurred by or committee in accordance with 11 CFR on behalf of the Vice Presidential can- 100.86 and 100.146. If payments for such didate will also be considered an ex- services are made from an account es- penditure to further the campaign of tablished in accordance with 11 CFR the Presidential candidate of that 9003.3, the payments do not count party. against the candidate’s expenditure (2) An expenditure is made on behalf limitation. If payments for such serv- of a candidate if it is made by— ices are made by a minor or new party (i) Any authorized committee or any candidate from an account containing other agent of the candidate for the private contributions, the payments do purpose of making an expenditure; or not count against that candidate’s ex- (ii) Any person authorized or re- penditure limitation. The amount paid quested by the candidate, by the can- by the committee shall be reported in didate’s authorized committee(s), or by accordance with 11 CFR part 9006. an agent of the candidate or his or her Amounts paid by the regular employer authorized committee(s) to make an of the person providing such services expenditure; or pursuant to 11 CFR 100.86 and 100.146 (iii) A committee which has been re- shall be reported by the recipient com- quested by the candidate, the can- mittee in accordance with 11 CFR didate’s authorized committee(s), or an 104.3(h). agent thereof to make the expenditure, (c) Except as provided in 11 CFR even though such committee is not au- 9034.4(e), expenditures incurred either thorized in writing. before the beginning of the expenditure (3) Expenditures that further the report period or after the last day of a election of other candidates for any candidate’s eligibility will be consid- public office shall be allocated in ac- ered qualified campaign expenses if cordance with 11 CFR 106.1(a) and will they meet the provisions of 11 CFR be considered qualified campaign ex- 9004.4(a). Expenditures described under penses only to the extent that they 11 CFR 9004.4(b) will not be considered specifically further the election of the qualified campaign expenses. candidate for President or Vice Presi- dent. A candidate may make expendi- [56 FR 35911, July 29, 1991, as amended at 60 tures under this section in conjunction FR 31872, June 16, 1995; 67 FR 78682, Dec. 26, with other candidates for any public of- 2002; 79 FR 77850, Dec. 29, 2014] fice, but each candidate shall pay his § 9002.12 Expenditure report period. or her proportionate share of the cost in accordance with 11 CFR 106.1(a). Expenditure report period means, with (4) Expenditures by a candidate’s au- respect to any Presidential election, thorized committee(s) pursuant to 11 the period of time described in either CFR 9004.6 for the travel and related paragraph (a) or (b) of this section, as ground service costs of media shall be appropriate. qualified campaign expenses. Any re- (a) In the case of a major party, the imbursement for travel and related expenditure report period begins on services costs received by a candidate’s September 1 before the election or on authorized committee shall be subject the date on which the major party’s to the provisions of 11 CFR 9004.6. presidential nominee is chosen, which- (5) Legal and accounting services ever is earlier; and the period ends 30 which are provided solely to ensure days after the Presidential election.

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(b) In the case of a minor or new they and their authorized committee(s) party, the period will be the same as shall comply with the conditions set that of the major party with the short- forth in 11 CFR 9003.1(b). est expenditure report period for that (2) Major party candidates shall sign Presidential election as determined and submit such letter to the Commis- under paragraph (a) of this section. sion within 14 days after receiving the party’s nomination for election. Minor § 9002.13 Contribution. and new party candidates shall sign Contribution has the same meaning and submit such letter within 14 days given the term under 52 U.S.C. 30101(8), after such candidates have qualified to 30118, and 30119, and under 11 CFR part appear on the general election ballot in 100, subparts B and C, and 11 CFR parts 10 or more states pursuant to 11 CFR 114 and 115. 9002.2(a)(2). The Commission, on writ- [56 FR 35911, July 29, 1991, as amended at 67 ten request by a minor or new party FR 78682, Dec. 26, 2002; 79 FR 77850, Dec. 29, candidate, at any time prior to the 2014] date of the general election, may extend the deadline for filing such letter § 9002.14 Secretary. except that the deadline shall be a date Secretary means the Secretary of the prior to the date of the general elec- Treasury. tion. (b) Conditions. The candidates shall: § 9002.15 Political party. (1) Agree that they have the burden Political party means an association, of proving that disbursements made by committee, or organization which them or any authorized committee(s) nominates or selects an individual for or agent(s) thereof are qualified cam- election to any Federal office, includ- paign expenses as defined in 11 CFR ing the office of President or Vice 9002.11. President of the United States, whose (2) Agree that they and their author- name appears on the general election ized committee(s) shall comply with ballot as the candidate of such associa- the documentation requirements set tion, committee, or organization. forth at 11 CFR 9003.5. (3) Agree that they and their author- PART 9003—ELIGIBILITY FOR ized committee(s) shall provide an ex- PAYMENTS planation, in addition to complying with the documentation requirements, Sec. of the connection between any dis- 9003.1 Candidate and committee agree- bursements made by the candidates or ments. the authorized committee(s) of the 9003.2 Candidate certifications. candidates and the campaign if re- 9003.3 Allowable contributions; General election legal and accounting compliance quested by the Commission. fund. (4) Agree that they and their author- 9003.4 Expenses incurred prior to the begin- ized committee(s) will keep and furnish ning of the expenditure report period or to the Commission all documentation prior to receipt of Federal funds. relating to receipts and disbursements 9003.5 Documentation of disbursements. including any books, records (including 9003.6 Production of computer information. bank records for all accounts), all doc- AUTHORITY: 26 U.S.C. 9003 and 9009(b). umentation required by this sub- SOURCE: 56 FR 35913, July 29, 1991, unless chapter (including those required to be otherwise noted. maintained under 11 CFR 9003.5), and other information that the Commission § 9003.1 Candidate and committee may request. If the candidate or the agreements. candidate’s authorized committee (a) General. (1) To become eligible to maintains or uses computerized infor- receive payments under 11 CFR part mation containing any of the cat- 9005, the Presidential and Vice Presi- egories of data listed in 11 CFR dential candidates of a political party 9003.6(a), the committee will provide shall agree in a letter signed by the computerized magnetic media, such as candidates to the Commission that magnetic tapes or magnetic diskettes,

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containing the computerized informa- any authorized committees of the can- tion that meets the requirements of 11 didates or any agent thereof. CFR 9003.6(b) at the times specified in (10) Agree that any television com- 11 CFR 9007.1(b)(1). Upon request, docu- mercial prepared or distributed by the mentation explaining the computer candidate or the candidate’s authorized system’s software capabilities shall be committee(s) will be prepared in a provided, and such personnel as are manner which ensures that the com- necessary to explain the operation of mercial contains or is accompanied by the computer system’s software and closed captioning of the oral content of the computerized information prepared the commercial to be broadcast in line or maintained by the committee shall 21 of the vertical blanking interval, or also be made available. is capable of being viewed by deaf and (5) Agree that they and their author- hearing impaired individuals via any ized committee(s) shall obtain and fur- comparable successor technology to nish to the Commission upon request line 21 of the vertical blanking inter- all documentation relating to funds re- val. ceived and disbursements made on the candidate’s behalf by other political [56 FR 35913, July 29, 1991, as amended at 60 committees and organizations associ- FR 31872, June 16, 1995; 63 FR 45680, Aug. 27, ated with the candidate. 1998; 65 FR 38424, June 21, 2000; 68 FR 47414, Aug. 8, 2003; 73 FR 79602, Dec. 30, 2008; 79 FR (6) Agree that they and their author- 77850, Dec. 29, 2014] ized committee(s) shall permit an audit and examination pursuant to 11 CFR § 9003.2 Candidate certifications. part 9007 of all receipts and disbursements including those made by the (a) Major party candidates. To be eli- candidate, all authorized committees gible to receive payments under 11 CFR and any agent or person authorized to part 9005, each Presidential and Vice make expenditures on behalf of the Presidential candidate of a major party candidate or committee(s). The can- shall, under penalty of perjury, certify didate and authorized committee(s) to the Commission: shall facilitate the audit by making (1) That the candidate and his or her available in one central location, office authorized committee(s) have not in- space, records and such personnel as curred and will not incur qualified are necessary to conduct the audit and campaign expenses in excess of the ag- examination, and shall pay any gregate payments to which they will be amounts required to be repaid under 11 entitled under 11 CFR part 9004. CFR part 9007. (2) That no contributions have been (7) Submit the name and mailing ad- or will be accepted by the candidate or dress of the person who is entitled to his or her authorized committee(s); ex- receive payments from the Fund on be- cept as contributions specifically solic- half of the candidates; the name and ited for, and deposited to, the can- address of the depository designated by didate’s legal and accounting compli- the candidates as required by 11 CFR ance fund established under 11 CFR part 103 and 11 CFR 9005.2; and the 9003.3(a); or except to the extent nec- name under which each account is held essary to make up any deficiency in at the depository at which the pay- payments received from the Fund due ments from the Fund are to be depos- to the application of 11 CFR 9005.2(b). ited. (b) Minor and new party candidates. (8) Agree that they and their author- To be eligible to receive any payments ized committee(s) shall comply with under 11 CFR part 9005, each Presi- the applicable requirements of 52 dential and Vice Presidential candidate U.S.C. 30101 et seq., 26 U.S.C. 9001 et seq., of a minor or new party shall, under and the Commission’s regulations at 11 penalty of perjury, certify to the Com- CFR parts 100–300, and 9001–9012. mission: (9) Agree that they and their author- (1) That the candidate and his or her ized committee(s) shall pay any civil authorized committee(s) have not in- penalties included in a conciliation curred and will not incur qualified agreement or otherwise imposed under campaign expenses in excess of the ag- 52 U.S.C. 30109 against the candidates, gregate payments to which the eligible

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candidates of a major party are enti- spouse as personal funds. The portion tled under 11 CFR 9004.1. of the jointly owned assets that shall (2) That no contributions to defray be considered as personal funds of the qualified campaign expenses have been candidate shall be that portion which or will be accepted by the candidate or is the candidate’s share under the in- his or her authorized committee(s) ex- strument(s) of conveyance or owner- cept to the extent that the qualified ship. If no specific share is indicated by campaign expenses incurred exceed the any instrument of conveyance or own- aggregate payments received by such ership, the value of one-half of the candidate from the Fund under 11 CFR property used shall be considered as 9004.2. personal funds of the candidate. (c) All candidates. To be eligible to re- (4) For purposes of this section, ex- ceive any payment under 11 CFR 9004.2, penditures from personal funds made the Presidential candidate of each by a candidate of a political party for major, minor or new party shall certify the office of Vice President shall be to the Commission, under penalty of considered to be expenditures made by perjury, that such candidate will not the candidate of such party for the of- knowingly make expenditures from his fice of President. or her personal funds, or the personal (5) Contributions made by members funds of his or her immediate family, of a candidate’s family from funds in connection with his or her campaign which do not meet the definition of for the office of President in excess of personal funds under 11 CFR 9003.2(c)(3) $50,000 in the aggregate. shall not count against such can- (1) For purposes of this section, the didate’s $50,000 expenditure limitation term immediate family means a can- under 11 CFR 9003.2(c). didate’s spouse, and any child, parent, (6) Personal funds expended pursuant grandparent, brother, half-brother, sis- to this section shall be first deposited ter, or half-sister of the candidate, and in an account established in accord- the spouses of such persons. ance with 11 CFR 9003.3 (b) or (c). (2) Expenditures from personal funds (7) The provisions of this section made under this paragraph shall not shall not operate to limit the can- apply against the expenditure limita- didate’s liability for, nor the can- tions. didate’s ability to pay, any repayments (3) For purposes of this section, the required under 11 CFR part 9007. If the terms personal funds and personal funds candidate or his or her committee of his or her immediate family mean: knowingly incurs expenditures in ex- (i) Any assets which, under applica- cess of the limitations of 11 CFR ble state law, at the time he or she be- 110.8(a), the Commission may seek civil came a candidate, the candidate had penalties under 11 CFR part 111 in addi- legal right of access to or control over, tion to any repayment determinations and with respect to which the can- made on the basis of such excessive ex- didate had either: penditures. (A) Legal and rightful title, or (8) Expenditures made using a credit (B) An equitable interest. card for which the candidate is jointly (ii) Salary and other earned income or solely liable will count against the from bona fide employment; dividends limits of this section to the extent that and proceeds from the sale of the can- the full amount due, including any fi- didate’s stocks or other investments; nance charge, is not paid by the com- bequests to the candidate; income from mittee within 60 days after the closing trusts established before candidacy; in- date of the billing statement on which come from trusts established by be- the charges first appear. For purposes quest after candidacy of which the can- of this section, the ‘‘closing date’’ shall didate is a beneficiary; gifts of a per- be the date indicated on the billing sonal nature which had been custom- statement which serves as the cutoff arily received prior to candidacy; pro- date for determining which charges are ceeds from lotteries and similar legal included on that billing statement. games of chance. (d) Form. Major party candidates (iii) A candidate may use a portion of shall submit the certifications required assets jointly owned with his or her under 11 CFR 9003.2 in a letter which

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shall be signed and submitted within 14 ed for the GELAC, including redesig- days after receiving the party’s nominated contributions, shall be refunded nation for election. Minor and new within sixty (60) days after the can- party candidates shall sign and submit didate’s date of ineligibility. such letter within 14 days after such (B) Contributions to the GELAC shall candidates have qualified to appear on be subject to the limitations and prohi- the general election ballot in 10 or bitions of 11 CFR parts 110, 114, and 115. more States pursuant to 11 CFR (C) Contributions shall be deposited 9002.2(a)(2). The Commission, upon in the GELAC only if they are des- written request by a minor or new ignated in writing for the GELAC, or party candidate made at any time prior transferred pursuant to paragraph to the date of the general election, may (a)(1) (ii), (iii), (iv) or (v) of this sec- extend the deadline for filing such let- tion. Any contribution which otherwise ter, except that the deadline shall be a could be matched pursuant to 11 CFR date prior to the day of the general 9034.2 shall not be considered des- election. ignated in writing for the GELAC unless the contributor specifically redes- § 9003.3 Allowable contributions; Gen- ignates it for the GELAC or unless it is eral election legal and accounting accompanied by a proper designation compliance fund. for the GELAC. Any contribution that (a) Legal and accounting compliance is designated in writing or redesignated fund—major party candidates—(1) for the GELAC shall not be matched Sources. (i) A major party candidate, or pursuant to 11 CFR 9034.2. an individual who is seeking the nomi- (ii)(A) Contributions made during the nation of a major party, may accept matching payment period that do not contributions to a legal and accounting exceed the contributor’s limit for the compliance fund if such contributions primary election may be redesignated are received and disbursed in accord- for the GELAC and subsequently trans- ance with this section. A general elec- ferred to the GELAC before the nomi- tion legal and accounting compliance nation only if— fund (‘‘GELAC’’) may be established by (1) The contributions represent funds such individual prior to being nomi- in excess of any amount needed to pay nated or selected as the candidate of a remaining primary expenses; political party for the office of Presi- (2) The contributions have not been dent or Vice President of the United submitted for matching; States. Before April 1 of the calendar (3) The written redesignations are re- year in which a Presidential general ceived within 60 days of the Treasurer’s election is held, contributions may receipt of the contributions; and only be deposited in the GELAC if they (4) The requirements of 11 CFR are made for the primary and exceed 110.1(b)(5)(i) and (ii)(A) and 110.1(l) re- the contributor’s contribution limits garding redesignation are satisfied. for the primary and are lawfully redes- (B) All contributions redesignated ignated for the GELAC pursuant to 11 and deposited pursuant to paragraph CFR 110.1. (a)(1)(ii)(A) of this section shall be sub- (A) All solicitations for contributions ject to the contribution limitations ap- to the GELAC shall clearly state that plicable for the general election pursu- Federal law prohibits private contribu- ant to 11 CFR 110.1(b)(2)(i). tions from being used for the can- (iii) Funds received during the didate’s election and that contribu- matching payment period that are re- tions will be used solely for legal and maining in a candidate’s primary elec- accounting services to ensure compli- tion account after the nomination may ance with Federal law, and shall clear- be transferred to the GELAC without ly state how contribution checks regard to the contribution limitations should be made payable. Contributions of 11 CFR part 110 and used for any pur- shall not be solicited for the GELAC pose permitted under this section, only before April 1 of the calendar year in if the funds are in excess of any which a Presidential general election is amount needed to pay remaining net held. If the candidate does not become outstanding campaign obligations the nominee, all contributions accept- under 11 CFR 9034.1(b) and any amount

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required to be reimbursed to the Presi- (A) To defray the cost of legal and ac- dential Primary Matching Payment counting services provided solely to en- Account under 11 CFR 9038.2. The ex- sure compliance with 52 U.S.C. 30101 et cess funds so transferred may include seq. and 26 U.S.C. 9001 et seq. in accord- contributions made before the begin- ance with paragraph (a)(2)(ii) of this ning of the expenditure report period, section; which contributions do not exceed the (B) To defray in accordance with contributor’s limit for the primary paragraph (a)(2)(ii)(A) of this section, election. Such contributions need not that portion of expenditures for pay- be redesignated by the contributors for roll, overhead, and computer services the GELAC. related to ensuring compliance with 52 (iv) Contributions that are made U.S.C. 30101 et seq. and 26 U.S.C. 9001 et after the beginning of the expenditure seq.; report period but that are not des- (C) To defray any civil or criminal ignated in writing for the GELAC are penalties imposed pursuant to 52 U.S.C. considered made with respect to the 30109 or 26 U.S.C. 9012; primary election and may be redesig- (D) To make repayments under 11 nated for the GELAC and transferred CFR 9007.2, 9038.2, or 9038.3; to the GELAC only if— (E) To defray the cost of soliciting (A) The funds are in excess of any contributions to the GELAC; amount needed to pay remaining net (F) To defray the cost of producing, outstanding campaign obligations delivering and explaining the comput- under 11 CFR 9034.1(b) and any amount erized information and materials pro- required to be reimbursed to the Presi- vided pursuant to 11 CFR 9003.6 and ex- dential Primary Matching Payment plaining the operation of the computer Account under 11 CFR 9038.2; system’s software; (G) To make a loan to an account es- (B) The contributions have not been tablished pursuant to 11 CFR 9003.4 to submitted for matching; and defray qualified campaign expenses in- (C) The candidate obtains the con- curred prior to the expenditure report tributor’s written redesignation in ac- period or prior to receipt of Federal cordance with 11 CFR 110.1. funds, provided that the amounts so (v) Contributions made with respect loaned are restored to the GELAC; to the primary election that exceed the (H) To defray unreimbursed costs in- contributor’s limit for the primary curred in providing transportation and election may be redesignated for the services for the Secret Service and na- GELAC and transferred to the GELAC tional security staff pursuant to 11 if the candidate redesignates the con- CFR 9004.6; and tribution for the GELAC in accordance (I) To defray winding down expenses with 11 CFR 110.1(b)(5)(i) and (ii)(A) or for legal and accounting compliance (ii)(B). For purposes of this section activities incurred after the end of the only, 11 CFR 110.1(b)(5)(ii)(B)(1) shall expenditure report period by either the not apply. candidate’s primary election com- (vi) For purposes of this section, a mittee, general election committee, or contribution shall be considered to be both committees. For purposes of this designated in writing for the GELAC section, 100% of salary, overhead and if— computer expenses incurred after the (A) The contribution is made by end of the expenditure report period check, money order, or other nego- shall be considered winding down ex- tiable instrument which clearly indi- penses for legal and accounting compli- cates that it is made with respect to ance activities payable from GELAC the GELAC; or funds, and will be presumed to be sole- (B) The contribution is accompanied ly to ensure compliance with 52 U.S.C. by a writing, signed by the contributor, 30101 et seq. and 26 U.S.C. 9001 et seq. which clearly indicates that it is made (ii)(A) Expenditures for payroll (in- with respect to the GELAC. cluding payroll taxes), overhead and (2) Uses. (i) Contributions to the computer services, a portion of which GELAC shall be used only for the fol- are related to ensuring compliance lowing purposes: with Title 52 of the United States Code

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and Chapter 95 of Title 26 of the United data entry services performed by per- States Code, shall be initially paid sons other than committee personnel from the candidate’s Federal fund ac- and processing time. The candidate count under 11 CFR 9005.2 and may be shall keep detailed records to support later reimbursed by the compliance such calculations. The records shall in- fund. For purposes of paragraph dicate which computer functions are (a)(2)(i)(B) of this section, a candidate considered compliance-related and may use contributions to the GELAC shall reflect which costs are associated to reimburse his or her Federal fund with each computer function. account an amount equal to 10% of the (F) The Commission’s Financial Con- payroll and overhead expenditures of trol and Compliance Manual for Gen- his or her national campaign head- eral Election Candidates Receiving quarters and state offices. (B) Overhead expenditures include, Public Funding contains some accepted but are not limited to rent, utilities, alternative allocation methods for de- office equipment, furniture, supplies termining the amount of salaries and and all telephone charges except for overhead expenditures that may be telephone charges related to a special considered exempt compliance costs. use such as voter registration and get (G) Reimbursement from the GELAC out the vote efforts. may be made to the separate account (C) If the candidate wishes to claim a maintained for federal funds under 11 larger compliance exemption for pay- CFR 9005.2 for legal and accounting roll or overhead expenditures, the can- compliance services disbursements didate shall establish allocation per- that are initially paid from the sepa- centages for each individual who rate federal funds account. Such reim- spends all or a portion of his or her bursement must be made prior to any time to perform duties which are con- repayment determination by the Com- sidered necessary to ensure compliance mission pursuant to 11 CFR 9007.2. Any with Title 52 of the United States Code amounts so reimbursed to the Federal or chapter 95 of title 26 of the United funds account may not subsequently be States Code. The candidate shall keep transferred back to the GELAC. detailed records to support the deriva- (iii) Amounts paid from the GELAC tion of each percentage. Such records for the purposes permitted by para- shall indicate which duties are consid- graphs (a)(2)(i) (A) through (F), (H) and ered compliance and the percentage of time each person spends on such activ- (I) of this section shall not be subject ity. to the expenditure limits of 52 U.S.C. (D) In addition, a candidate may use 30116(b) and 11 CFR 110.8. (See also 11 contributions to the GELAC to reim- CFR 100.146.) When the proceeds of burse his or her Federal fund account loans made in accordance with para- an amount equal to 50% of the costs graph (a)(2)(i)(G) of this section are ex- (other than payroll) associated with pended on qualified campaign expenses, computer services. Such costs include such expenditures shall count against but are not limited to rental and main- the candidate’s expenditure limit. tenance of computer equipment, data (iv) Contributions to and funds depos- entry services not performed by com- ited in the GELAC may not be used to mittee personnel, and related supplies. retire debts remaining from the presi- (E) If the candidate wishes to claim a dential primaries, except that, after larger compliance exemption for costs payment of all expenses set out in associated with computer services, the paragraph (a)(2)(i) of this section, and candidate shall establish allocation the completion of the audit and repay- percentages for each computer func- ment process, including the making of tion that is considered necessary, in all repayments owed to the United whole or in part, to ensure compliance States Treasury by both the can- with 52 U.S.C. 30101 et seq., and 26 didate’s primary and general election U.S.C. 9001 et seq. The allocation shall committees, funds remaining in the be based on a reasonable estimate of the costs associated with each com- GELAC may be used for any purpose puter function, such as the costs for permitted under 52 U.S.C. 30114 and 11

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CFR part 113, including payment of pri- (5) Any costs incurred for soliciting mary election debts, which shall re- contributions to this account shall not main subject to the primary expendi- be considered expenditures to the ex- ture limit under 11 CFR 9035.1. tent that the aggregate of such costs (3) Deposit and disclosure. (i) Amounts does not exceed 20 percent of the ex- received pursuant to paragraph (a)(1) of penditure limitation under 11 CFR this section shall be deposited and 9003.2(a)(1). These costs shall, however, maintained in a GELAC account sepa- be reported as disbursements in accord- rate from the account described in 11 ance with 11 CFR part 104 and 11 CFR CFR 9005.2 and shall not be commin- 9006.1. For purposes of this section, a gled with any money paid to the can- candidate may exclude from the ex- didate by the Secretary pursuant to 11 penditure limitation an amount equal CFR 9005.2. to 10% of the payroll (including payroll (ii) The receipts to and disburse- taxes) and overhead expenditures of his ments from the GELAC account shall or her national campaign headquarters be reported in a separate report in ac- and state offices as exempt fundraising cordance with 11 CFR 9006.1(b)(2). All costs. The candidate may claim a larg- contributions made to the GELAC ac- er fundraising exemption by estab- count shall be recorded in accordance lishing allocation percentages for em- with 11 CFR 102.9. Disbursements made ployees using the method described in from the GELAC account shall be docu- paragraph (a)(2)(ii)(C) of this section. mented in the same manner provided in (6) Any costs incurred for legal and 11 CFR 9003.5. accounting services which are provided solely to ensure compliance with 52 (b) Contributions to defray qualified U.S.C. 30101 et seq. and 26 U.S.C. 9001 et campaign expenses—major party can- seq. shall not count against the candidates. (1) A major party candidate or didate’s expenditure limitation. A can- his or her authorized committee(s) may didate may exclude from the expendi- solicit contributions to defray quali- ture limitation the amounts described fied campaign expenses to the extent in paragraphs (a)(2)(ii) (A) and (D) of necessary to make up any deficiency in this section for payroll, overhead or payments received from the Fund due computer costs or a larger amount to the application of 11 CFR 9005.2(b). under paragraphs (a)(2)(ii) (C) and (E) (2) Such contributions may be depos- of this section. ited in a separate account or may be (7) The Commission’s Financial Con- deposited with federal funds received trol and Compliance Manual for Gen- under 11 CFR 9005.2. Disbursements eral Election Candidates Receiving from this account shall be made only Public Funding contains some accepted to defray qualified campaign expenses alternative allocation methods for de- and to defray the cost of soliciting con- termining the amount of salaries and tributions to such account. All dis- overhead expenditures that may be bursements from this account shall be considered exempt compliance costs or documented in accordance with 11 CFR exempt fundraising costs. 9003.5 and shall be reported in accord- (c) Contributions to defray qualified ance with 11 CFR 9006.1. campaign expenses—minor and new party (3) A candidate may make transfers candidates. (1) A minor or new party to this account from his or her GELAC, candidate may solicit contributions to or from the candidate’s primary elec- defray qualified campaign expenses tion account in accordance with para- which exceed the amount received by graph (a)(1)(iii) of this section. such candidate from the Fund, subject (4) The contributions received under to the limits of 11 CFR 9003.2(b). this section shall be subject to the lim- (2) The contributions received under itations and prohibitions of 11 CFR this section shall be subject to the lim- parts 110, 114 and 115 and shall be ag- itations and prohibitions of 11 CFR gregated with all contributions made parts 110, 114 and 115. by the same persons to the candidate’s (3) Such contributions may be depos- GELAC under paragraph (a) of this sec- ited in a separate account or may be tion for the purposes of such limita- deposited with federal funds received tions. under 11 CFR 9005.2. Disbursements

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from this account shall be made only eral Election Candidates Receiving for the following purposes: Public Funding contains some accepted (i) To defray qualified campaign ex- alternative allocation methods for de- penses; termining the amount of salaries and (ii) To make repayments under 11 overhead expenditures that may be CFR 9007.2; considered exempt compliance costs or (iii) To defray the cost of soliciting exempt fundraising costs. contributions to such account; [60 FR 31872, June 16, 1995, as amended at 60 (iv) To defray the cost of legal and FR 57537, Nov. 16, 1995; 64 FR 49362, Sept. 13, accounting services provided solely to 1999; 67 FR 78682, Dec. 26, 2002; 68 FR 47414, ensure compliance with 52 U.S.C. 30101 Aug. 8, 2003; 79 FR 77850, Dec. 29, 2014] et seq. and 26 U.S.C. 9001 et seq.; (v) To defray the cost of producing, § 9003.4 Expenses incurred prior to the delivering and explaining the comput- beginning of the expenditure report erized information and materials pro- period or prior to receipt of Federal vided pursuant to 11 CFR 9003.6 and ex- funds. plaining the operation of the computer (a) Permissible expenditures. (1) A can- system’s software. didate may incur expenditures before (4) All disbursements from this ac- the beginning of the expenditure report count shall be documented in accord- period, as defined at 11 CFR 9002.12, if ance with 11 CFR 9003.5 and shall be re- such expenditures are for property, ported in accordance with 11 CFR part services or facilities which are to be 104 and § 9006.1. The candidate shall used in connection with his or her gen- keep and maintain a separate record of eral election campaign and which are disbursements made to defray exempt for use during the expenditure report legal and accounting costs under para- period. Such expenditures will be con- graphs (c) (6) and (7) of this section and sidered qualified campaign expenses. shall report such disbursements in ac- Examples of such expenditures include cordance with 11 CFR part 104 and 11 but are not limited to: Expenditures CFR 9006.1. for establishing financial accounting (5) Any costs incurred for soliciting systems and expenditures for organiza- contributions to this account shall not tional planning. Expenditures for poll- be considered expenditures to the ex- ing that are incurred before the start tent that the aggregate of such costs of the expenditure report period are at- does not exceed 20 percent of the ex- tributed as provided in 11 CFR penditure limitation under 11 CFR 9034.4(e)(2). 9003.2(a)(1). These costs shall, however, (2) A candidate may incur qualified be reported as disbursements in accord- campaign expenses prior to receiving ance with 11 CFR part 104 and 9006.1. payments under 11 CFR part 9005. For purposes of this section, a can- (b) Sources. (1) A candidate may ob- didate may exclude from the expendi- tain a loan which meets the require- ture limitation the amount of payroll ments of 11 CFR 100.82 for loans in the costs described in paragraph (b)(5) of ordinary course of business to defray this section. permissible expenditures described in (6) Any costs incurred for legal and 11 CFR 9003.4(a). A candidate receiving accounting services which are provided payments equal to the expenditure lim- solely to ensure compliance with 52 itation in 11 CFR 110.8 shall make full U.S.C. 30101 et seq. and 26 U.S.C. 9001 et repayment of principal and interest on seq. shall not count against the can- such loans from payments received by didate’s expenditure limitation. A can- the candidate under 11 CFR part 9005 didate may exclude from the expendi- within 15 days of receiving such pay- ture limitation the amounts described ments. in paragraphs (a)(2)(ii) (A) and (D) of (2) A major party candidate may bor- this section for payroll, overhead or row from his or her legal and account- computer costs or a larger amount ing compliance fund for the purposes of under paragraphs (a)(2)(ii) (C) and (E) defraying permissible expenditures de- of this section. scribed in 11 CFR 9003.4(a). All amounts (7) The Commission’s Financial Con- borrowed from the legal and account- trol and Compliance Manual for Gen- ing compliance fund must be restored

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to such fund after the beginning of the § 9003.5 Documentation of disburse- expenditure report period either from ments. federal funds received under 11 CFR (a) Burden of proof. Each candidate part 9005 or private contributions re- shall have the burden of proving that ceived under 11 CFR 9003.3(b). For can- disbursements made by the candidate didates receiving federal funds, res- or his or her authorized committee(s) toration shall be made within 15 days or persons authorized to make expendi- after receipt of such funds. tures on behalf of the candidate or au- (3) A minor or new party candidate thorized committee(s) are qualified may defray such expenditures from campaign expenses as defined in 11 CFR contributions received in accordance 9002.11. The candidate and his or her with 11 CFR 9003.3(c). authorized committee(s) shall obtain (4)(i) A candidate who has received and furnish to the Commission on re- federal funding under 11 CFR part 9031 quest any evidence regarding qualified et seq., may borrow from his or her pri- campaign expenses made by the can- mary election committee(s) an amount didate, his or her authorized committees and agents or persons authorized not to exceed the residual balance pro- to make expenditures on behalf of the jected to remain in the candidate’s pri- candidate or committee(s) as provided mary account(s) on the basis of the for- in paragraph (b) of this section. mula set forth at 11 CFR 9038.3(c). A (b) Documentation required. (1) For major party candidate receiving pay- disbursements in excess of $200 to a ments equal to the expenditure limita- payee, the candidate shall present a tion shall reimburse amounts borrowed canceled check negotiated by the payee from his or her primary committee(s) and either: from payments received by the can- (i) A receipted bill from the payee didate under 11 CFR part 9005 within 15 that states that purpose of the dis- days of such receipt. bursement; or (ii) A candidate who has not received (ii) If such a receipt is not available, federal funding during the primary (A) One of the following documents campaign may borrow at any time generated by the payee: a bill, invoice, from his or her primary account(s) to or voucher that states the purpose of defray such expenditures, provided that the disbursement; or a major party candidate receiving pay- (B) Where the documents specified in ments equal to the expenditure limita- paragraph (b)(1)(ii)(A) of this section tion shall reimburse all amounts bor- are not available, a voucher or contem- rowed from his or her primary com- poraneous memorandum from the can- mittee(s) from payments received by didate or the committee that states the candidate under 11 CFR part 9005 the purpose of the disbursement; or within 15 days of such receipt. (iii) Where the supporting docu- (5) A candidate may use personal mentation required in paragraphs (b)(1) funds in accordance with 11 CFR (i) or (ii) of this section is not avail- 9003.2(c), up to his or her $50,000 limit, able, the candidate or committee may to defray such expenditures. present collateral evidence to docu- (c) Deposit and disclosure. Amounts ment the qualified campaign expense. received or borrowed by a candidate Such collateral evidence may include, under 11 CFR 9003.4(b) to defray ex- but is not limited to: (A) Evidence demonstrating that the penditures permitted under 11 CFR expenditure is part of an identifiable 9003.4(a) shall be deposited in a sepa- program or project which is otherwise rate account to be used only for such sufficiently documented such as a dis- expenditures. All receipts and disburse- bursement which is one of a number of ments from such account shall be re- documented disbursements relating to ported pursuant to 11 CFR 9006.1(a) and a campaign mailing or to the operation documented in accordance with 11 CFR of a campaign office; or 9003.5 (B) Evidence that the disbursement is [56 FR 35913, July 29, 1991, as amended at 60 covered by a pre-established written FR 31874, June 16, 1995; 67 FR 78682, Dec. 26, campaign committee policy, such as a 2002] daily travel expense policy.

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(iv) If the purpose of the disburse- chase price, the date it was acquired, ment is not stated in the accom- the method of disposition and the panying documentation, it must be in- amount received in disposition. For dicated on the canceled check nego- purposes of this section, ‘‘capital tiated by the payee. asset’’ shall be defined in accordance (2) For all other disbursements, the with 11 CFR 9004.9(d)(1). candidate shall present: (2) Other assets. The candidate or (i) A record disclosing the full name committee shall maintain a list of and mailing address of the payee, the other assets acquired for use in fund- amount, date and purpose of the dis- raising or as collateral for campaign bursement, if made from a petty cash loans, if the aggregate value of such as- fund; or sets exceeds $5000. The list shall in- (ii) A canceled check negotiated by clude a brief description of each such the payee that states the full name and asset, the fair market value of each mailing address of the payee, and the asset, the method of disposition and amount, date and purpose of the dis- the amount received in disposition. bursement. The fair market value of other assets (3) For purposes of this section: shall be determined in accordance with (i) Payee means the person who pro- 11 CFR 9004.9(d)(2). vides the goods or services to the candidate or committee in return for the [60 FR 31874, June 16, 1995, as amended at 64 FR 49362, Sept. 13, 1999; 68 FR 47415, Aug. 8, disbursement; except that an indi- 2003; 79 FR 77851, Dec. 29, 2014] vidual will be considered a payee under this section if he or she receives $1000 § 9003.6 Production of computer infor- or less advanced for travel and/or sub- mation. sistence and if the individual is the recipient of the goods or services pur- (a) Categories of computerized informa- chased. tion to be provided. If the candidate or (ii) Purpose means the full name and the candidate’s authorized committee mailing address of the payee, the date maintains or uses computerized infor- and amount of the disbursement, and a mation containing any of the cat- brief description of the goods or serv- egories of data listed in paragraphs ices purchased. Examples of acceptable (a)(1) through (a)(9) of this section, the and unacceptable descriptions of goods committee shall provide computerized and services purchased are listed at 11 magnetic media, such as magnetic CFR 104.3(b)(3)(i)(B). tapes or magnetic diskettes, con- (4) The documentation requirements taining the computerized information of 11 CFR 102.9(b) shall also apply to at the times specified in 11 CFR disbursements. 9007.1(b)(1): (c) Retention of records. The candidate (1) Information required by law to be shall retain records with respect to maintained regarding the committee’s each disbursement and receipt, includ- receipts or disbursements; ing bank records, vouchers, work- (2) Receipts by and disbursements sheets, receipts, bills and accounts, from a legal and accounting compli- journals, ledgers, fundraising solicita- ance fund under 11 CFR 9003.3(a), in- tion material, accounting systems doc- cluding the allocation of payroll and umentation, and any related materials overhead expenditures; documenting campaign receipts and (3) Receipts and disbursements under disbursements, for a period of three 11 CFR 9003.3 (b) or (c) to defray the years pursuant to 11 CFR 102.9(c), and costs of soliciting contributions or to shall present these records to the Com- defray the costs of legal and account- mission on request. ing services, including the allocation of (d) List of capital and other assets—(1) payroll and overhead expenditures; Capital assets The candidate or com- (4) Records relating to the costs of mittee shall maintain a list of all cap- producing broadcast communications ital assets whose purchase price ex- and purchasing airtime; ceeded $2000 when acquired by the cam- (5) Records used to prepare state- paign. The list shall include a brief de- ments of net outstanding qualified scription of each capital asset, the pur- campaign expenses;

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(6) Records used to reconcile bank 9004.4 Use of payments; examples of quali- statements; fied campaign expenses and non-qualified (7) Disbursements made and reim- campaign expenses. 9004.5 Investment of public funds; other bursements received for the cost of uses resulting in income. transportation, ground services and fa- 9004.6 Expenditures for transportation and cilities made available to media per- services made available to media personnel, including records relating to sonnel; reimbursements. how costs charged to media personnel 9004.7 Allocation of travel expenditures. were determined; 9004.8 Withdrawal by candidate. (8) Records relating to the acquisi- 9004.9 Net outstanding qualified campaign expenses. tion, use and disposition of capital as- 9004.10 Sale of assets acquired for fund- sets or other assets; and raising purposes. (9) Any other information that may 9004.11 Winding down costs. be used during the Commission’s audit AUTHORITY: 26 U.S.C. 9004 and 9009(b). to review the committee’s receipts, disbursements, loans, debts, obligations, SOURCE: 56 FR 35919, July 29, 1991, unless bank reconciliations or statements of otherwise noted. net outstanding qualified campaign ex- § 9004.1 Major parties. penses. (b) Organization of computerized infor- The eligible candidates of each major mation and technical specifications. The party in a Presidential election shall computerized magnetic media shall be be entitled to equal payments under 11 prepared and delivered at the commit- CFR part 9005 in an amount which, in tee’s expense and shall conform to the the aggregate, shall not exceed technical specifications, including file $20,000,000 as adjusted by the Consumer requirements, described in the Federal Price Index in the manner described in Election Commission’s Computerized 11 CFR 110.17(a). Magnetic Media Requirements for title [56 FR 35919, July 29, 1991, as amended at 67 26 Candidates/Committees Receiving FR 78683, Dec. 26, 2002] Federal Funding. The data contained in the computerized magnetic media § 9004.2 Pre-election payments for provided to the Commission shall be minor and new party candidates. organized in the order specified by the (a) Candidate of a minor party in the Computerized Magnetic Media Require- preceding election. An eligible candidate ments. of a minor party is entitled to pre-elec- (c) Additional materials and assistance. tion payments: Upon request, the committee shall (1) If he or she received at least 5% of produce documentation explaining the the total popular vote as the candidate computer system’s software capabili- of a minor party in the preceding elec- ties, such as user guides, technical tion whether or not he or she is the manuals, formats, layouts and other same minor party’s candidate in this materials for processing and analyzing election. the information requested. Upon re- (2) In an amount which is equal, in quest, the committee shall also make the aggregate, to a proportionate share available such personnel as are nec- of the amount to which major party essary to explain the operation of the candidates are entitled under 11 CFR computer system’s software and the 9004.1. computerized information prepared or The aggregate amount received by a maintained by the committee. minor party candidate shall bear the same ratio to the amount received by PART 9004—ENTITLEMENT OF ELIGI- the major party candidates as the num- BLE CANDIDATES TO PAYMENTS; ber of popular votes received by the USE OF PAYMENTS minor party Presidential candidate in the preceding Presidential election bears to the average number of popular Sec. 9004.1 Major parties. votes received by all major party can- 9004.2 Pre-election payments for minor and didates in that election. new party candidates. (b) Candidate of a minor party in the 9004.3 Post-election payments. current election. The eligible candidate

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of a minor party whose candidate for party candidates for President in that the office of President in the preceding election. election received at least 5% but less (b) Amount of entitlement. The aggre- than 25% of the total popular vote is gate payments to which an eligible eligible to receive pre-election pay- candidate shall be entitled shall not ments. The amount which a minor exceed an amount equal to the lower party candidate is entitled to receive of: under this section shall be computed (1) The amount of qualified campaign pursuant to 11 CFR 9004.2(a) based on expenses incurred by such eligible can- the number of popular votes received didate and his or her authorized com- by the minor party’s candidate in the mittee(s), reduced by the amount of preceding Presidential election; how- contributions which are received to de- ever, the amount to which the minor party candidate is entitled under this fray qualified campaign expenses by section shall be reduced by the amount such eligible candidate and such com- to which the minor party’s Presi- mittee(s); or dential candidate in this election is en- (2) The aggregate payments to which titled under 11 CFR 9004.2(a), if any. the eligible candidates of a major party (c) New party candidate. A candidate are entitled under 11 CFR 9004.1, re- of a new party who was a candidate for duced by the amount of contributions the office of President in at least 10 received by such eligible candidates States in the preceding election may and their authorized committees to de- be eligible to receive pre-election pay- fray qualified campaign expenses in the ments if he or she received at least 5% case of a deficiency in the Fund. but less than 25% of the total popular (c) Amount of entitlement limited by vote in the preceding election. The pre-election payment. If an eligible can- amount which a new party candidate is didate is entitled to payment under 11 entitled to receive under this section CFR 9004.2, the amount allowable to shall be computed pursuant to 11 CFR that candidate under this section shall 9004.2(a) based on the number of pop- also be limited to the amount, if any, ular votes received by the new party by which the entitlement under 11 CFR candidate in the preceding election. If 9004.3(a) exceeds the amount of the en- a new party candidate is entitled to titlement under 11 CFR 9004.2. payments under this section, the amount of the entitlement shall be re- § 9004.4 Use of payments; examples of duced by the amount to which the can- qualified campaign expenses and didate is entitled under 11 CFR non-qualified campaign expenses. 9004.2(a), if any. (a) Qualified campaign expenses. An el- § 9004.3 Post-election payments. igible candidate shall use payments received under 11 CFR part 9005 only for (a) Minor and new party candidates. the following purposes: Eligible candidates of a minor party or (1) To defray qualified campaign ex- of a new party who, as candidates, re- penses; ceive 5 percent or more of the total number of popular votes cast for the of- (2) To repay loans that meet the re- fice of President in the election shall quirements of 11 CFR 100.52(b) or 100.82 be entitled to payments under 11 CFR or to otherwise restore funds (other part 9005 equal, in the aggregate, to a than contributions received pursuant proportionate share of the amount al- to 11 CFR 9003.3 (b) or (c) and expended lowed for major party candidates under to defray qualified campaign expenses) 11 CFR 9004.1. The amount to which a used to defray qualified campaign ex- minor or new party candidate is enti- penses; tled shall bear the same ratio to the (3) To restore funds expended in ac- amount received by the major party cordance with 11 CFR 9003.4 for quali- candidates as the number of popular fied campaign expenses incurred by the votes received by the minor or new candidate prior to the beginning of the party candidate in the Presidential expenditure report period; election bears to the average number of (4) To defray winding down costs pur- popular votes received by the major suant to 11 CFR 9004.11;

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(5) To defray costs associated with as defined in 11 CFR 9002.12, are not the candidate’s general election cam- qualified campaign expenses. paign paid after the end of the expendi- (4) Civil or criminal penalties. Civil or ture report period, but incurred by the criminal penalties paid pursuant to the candidate prior to the end of the ex- Federal Election Campaign Act are not penditure report period, for which writ- qualified campaign expenses and can- ten arrangement or commitment was not be defrayed from payments re- made on or before the close of the ex- ceived under 11 CFR part 9005. Pen- penditure report period for goods and alties may be paid from contributions services received during the expendi- in the candidate’s legal and accounting ture reporting period; and compliance fund, in accordance with 11 (6) Monetary bonuses paid after the CFR 9003.3(a)(2)(i)(C). Additional date of the election and gifts shall be amounts may be received and expended considered qualified campaign ex- to pay such penalties, if necessary. penses, provided that: These funds shall not be considered (i) All monetary bonuses paid after contributions or expenditures but all the date of the election for committee amounts so received shall be subject to employees and consultants in recogni- the prohibitions of the Act. Amounts tion of campaign-related activities or received and expended under this sec- services: tion shall be reported in accordance (A) Are provided for pursuant to a with 11 CFR part 104. written contract made prior to the (5) Solicitation expenses. Any expenses date of the election; and incurred by a major party candidate to (B) Are paid during the expenditure solicit contributions to a legal and ac- report period; and counting compliance fund established (ii) Gifts for committee employees, pursuant to 11 CFR 9003.3(a) are not consultants and volunteers in recogni- qualified campaign expenses and can- tion of campaign-related activities or services do not exceed $150 total per in- not be defrayed from payments re- dividual and the total of all gifts does ceived under 11 CFR part 9005. not exceed $20,000. (6) Payments to candidate. Payments (b) Non-qualified campaign expenses— made to the candidate by his or her (1) General. The following are examples committee, other than to reimburse of disbursements that are not qualified funds advanced by the candidate for campaign expenses. qualified campaign expenses, are not (2) Excessive expenditures. An expendi- qualified campaign expenses. ture which is in excess of any of the (7) Payments to other authorized com- limitations under 11 CFR 9003.2 shall mittees. Payments, including transfers, not be considered a qualified campaign contributions and loans, to other com- expense. The Commission will cal- mittees authorized by the same can- culate the amount of expenditures at- didate for a different election are not tributable to these limitations using qualified campaign expenses. the full amounts originally charged for (8) Lost, misplaced, or stolen items. The goods and services rendered to the cost of lost, misplaced, or stolen items committee and not the amounts for may be considered a nonqualified cam- which such obligations were later set- paign expense. Factors considered by tled and paid, unless the committee the Commission in making this deter- can demonstrate that the lower mination shall include, but not be lim- amount paid reflects a reasonable set- ited to, whether the committee dem- tlement of a bona fide dispute with the onstrates that it made conscientious creditor. efforts to safeguard the missing equip- (3) Expenditures incurred after the close ment; whether the committee sought of the expenditure report period. Except or obtained insurance on the items; for accounts payable pursuant to para- whether the committee filed a police graph (a)(5) of this section and winding down costs pursuant to 11 CFR 9004.11, report; the type of equipment involved; any expenditures incurred after the close of the expenditure report period,

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and the number and value of items that tional security staff, will be subject to were lost. the overall expenditure limitation. (3) Committees may seek reimburse- [56 FR 35919, July 29, 1991, as amended at 60 ment from the media only for the FR 31875, June 16, 1995; 64 FR 49362, Sept. 13, 1999; 67 FR 78683, Dec. 26, 2002; 68 FR 47415, billable items specified in the White Aug. 8, 2003] House Press Corps Travel Policies and Procedures issued by the White House § 9004.5 Investment of public funds; Travel Office. other uses resulting in income. (b) Reimbursement limits; billing. (1) Investment of public funds or any The amount of reimbursement sought other use of public funds that results in from a media representative under income is permissible, provided that an paragraph (a)(2) of this section shall amount equal to all net income derived not exceed 110% of the media rep- from such a use, less Federal, State resentative’s pro rata share (or a rea- and local taxes paid on such income, sonable estimate of the media rep- shall be paid to the Secretary. Any net resentative’s pro rata share) of the ac- loss from an investment or other use of tual cost of the transportation and public funds will be considered a non- services made available. Any reim- qualified campaign expense and an bursement received in excess of this amount equal to the amount of such amount shall be disposed of in accord- loss shall be repaid to the United ance with paragraph (d)(1) of this sec- States Treasury as provided under 11 tion. CFR 9007.2(b)(2)(i). (2) For the purposes of this section, a media representative’s pro rata share [60 FR 31876, June 16, 1995] shall be calculated by dividing the total actual cost of the transportation § 9004.6 Expenditures for transpor- and services provided by the total num- tation and services made available ber of individuals to whom such trans- to media personnel; reimburse- portation and services are made avail- ments. able. For purposes of this calculation, (a) General. (1) Expenditures by an the total number of individuals shall authorized committee for transpor- include committee staff, media per- tation, ground services or facilities (in- sonnel, Secret Service personnel, na- cluding air travel, ground transpor- tional security staff and any other in- tation, housing, meals, telephone serv- dividuals to whom such transportation ice, typewriters, and computers) pro- and services are made available, except vided to media personnel, Secret Serv- that, when seeking reimbursement for ice personnel or national security staff transportation costs paid by the com- will be considered qualified campaign mittee under 11 CFR 9004.7(b)(5)(i), the expenses, and, except for costs relating total number of individuals shall not to Secret Service personnel or national include national security staff. security staff, will be subject to the (3) No later than sixty (60) days of the overall expenditure limitations of 11 campaign trip or event, the committee CFR 9003.2(a)(1) and (b)(1). shall provide each media representa- (2) Subject to the limitations in para- tive attending the event with an graphs (b) and (c) of this section, com- itemized bill that specifies the mittees may seek reimbursement from amounts charged for air and ground the media for the expenses described in transportation for each segment of the paragraph (a)(3) of this section, and trip, housing, meals, telephone service, may deduct reimbursements received and other billable items specified in from media representatives from the the White House Press Corps Travel amount of expenditures subject to the Policies and Procedures issued by the overall expenditure limitation of 11 White House Travel Office. Payments CFR § 9003.2(a)(1) and (b)(1). Expenses shall be due sixty (60) days from the for which the committee receives no date of the bill, unless the media rep- reimbursement will be considered resentative disputes the charges. qualified campaign expenses, and, with (c) Deducation of reimbursements from the exception of those expenses relat- expenditures subject to the overall ex- ing to Secret Service personnel and na- penditure limitation. (1) The committee

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may deduct from the amount of ex- the committee in providing these serv- penditures subject to the overall ex- ices and facilities and seeking reim- penditure limitation: bursement for them, shall be reported (i) The amount of reimbursements re- as an expenditure in accordance with 11 ceived from media representatives in CFR 104.3(b)(2)(i). Any reimbursement payment for the transportation and received by such committee under services described in paragraph (a) of paragraph (b)(1) of this section shall be this section, up to the actual cost of reported in accordance with 11 CFR the transportation and services pro- 104.3(a)(3)(ix). vided to media representatives; and [60 FR 31876, June 16, 1995, as amended at 64 (ii) An additional amount of the re- FR 42583, Aug. 5, 1999; 68 FR 69595, Dec. 15, imbursements received from media rep- 2003] resentatives, representing the administrative costs incurred by the com- § 9004.7 Allocation of travel expendi- mittee in providing these services to tures. the media representative and seeking (a) Notwithstanding the provisions of reimbursement for them, equal to: 11 CFR 106.3, expenditures for travel re- (A) Three percent of the actual cost lating to a Presidential or Vice Presi- of transportation and services provided dential candidate’s campaign by any to the media representatives under this individual, including a candidate, section; or shall, pursuant to the provisions of (B) An amount in excess of 3% rep- paragraph (b) of this section, be quali- resenting the administrative costs ac- fied campaign expenses and be reported tually incurred by the committee in by the candidate’s authorized com- providing services to the media rep- mittee(s) as expenditures. resentatives, provided that the com- (b)(1) For a trip which is entirely mittee is able to document the total campaign-related, the total cost of the amount of administrative costs actu- trip shall be a qualified campaign ex- ally incurred. pense and a reportable expenditure. (2) For the purpose of this paragraph, (2) For a trip which includes cam- ‘‘administrative costs’’ includes all paign-related and non-campaign re- costs incurred by the committee in lated stops, that portion of the cost of making travel arrangements and seek- the trip allocable to campaign activity ing reimbursement, whether these shall be a qualified campaign expense services are performed by committee and a reportable expenditure. Such por- staff or by independent contractors. tion shall be determined by calculating (d) Disposal of excess reimbursements. If what the trip would have cost from the the committee receives reimburse- point of origin of the trip to the first ments in excess of the amount deduct- campaign-related stop and from the ible under paragraph (c) of this section, stop through each subsequent cam- it shall dispose of the excess amount in paign-related stop to the point of ori- the following manner: gin. If any campaign activity, other (1) Any reimbursement received in than incidental contacts, is conducted excess of 110% of the actual pro rata at a stop, that stop shall be considered cost of the transportation and services campaign-related. Campaign activity made available to a media representa- includes soliciting, making, or accept- tive shall be returned to the media rep- ing contributions, and expressly advo- resentative. cating the election or defeat of the (2) Any amount in excess of the candidate. Other factors, including the amount deductible under paragraph (c) setting, timing and statements or ex- of this section that is not required to pressions of the purpose of an event, be returned to the media representa- and the substance of the remarks or tive under paragraph (d)(1) of this sec- speech made, will also be considered in tion shall be paid to the Treasury. determining whether a stop is cam- (e) Reporting. The total amount paid paign-related. by an authorized committee for the (3) For each trip, an itinerary shall services and facilities described in be prepared and such itinerary shall be paragraph (a)(1) of this section, plus made available by the committee for the administrative costs incurred by Commission inspection. The itinerary

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shall show the time of arrival and de- their travel expenses shall be qualified parture and the type of events held. campaign expenses and reportable ex- (4) For trips by government convey- penditures. ance or by charter, a list of all pas- (7) If any individual, including a can- sengers on such trip, along with a des- didate, incurs expenses for campaign- ignation of which passengers are and related travel, other than by use of which are not campaign-related, shall government conveyance or accom- be made available for Commission in- modations, an amount equal to that spection. When required to be created, portion of the actual cost of the con- a copy of the government’s or charter veyance or accommodations which is company’s official manifest shall also allocable to all passengers, including be maintained and made available by the candidate, who are traveling for the committee. campaign purposes shall be a qualified (5)(i) If any individual, including a campaign expense and shall be reported candidate, uses a government aircraft by the committee as an expenditure. for campaign-related travel, the can- (i) If the trip is by charter, the actual didate’s authorized committee shall cost for each passenger shall be deter- pay the appropriate government entity mined by dividing the total operating an amount equal to the applicable rate cost for the charter by the total num- set forth in 11 CFR 100.93(e). ber of passengers transported. The (ii) [Reserved] amount which is a qualified campaign (iii) If any individual, including a expense and a reportable expenditure candidate, uses a government convey- shall be calculated in accordance with ance, other than an aircraft, for cam- the formula set forth at 11 CFR paign-related travel, the candidate’s 9004.7(b)(2) on the basis of the actual authorized committee shall pay the ap- cost per passenger multiplied by the propriate government entity an number of passengers traveling for amount equal to the amount required campaign purposes. under 11 CFR 100.93(d). (ii) If the trip is by non-charter com- (iv) If any individual, including a mercial transportation, the actual cost candidate, uses accommodations, in- shall be calculated in accordance with cluding lodging and meeting rooms, the formula set forth at 11 CFR during campaign-related travel, and 9004.7(b)(2) on the basis of the commer- the accommodations are paid for by a cial fare. Such actual cost shall be a government entity, the candidate’s au- qualified campaign expense and a re- thorized committee shall pay the ap- portable expenditure. propriate government entity an (8) Non-commercial travel, as defined amount equal to the usual and normal in 11 CFR 100.93(a)(3)(v), on aircraft, charge for the accommodations, and and travel on other means of transpor- shall maintain documentation sup- tation not operated for commercial porting the amount paid. passenger service, is governed by 11 (v) For travel by aircraft, the com- CFR 100.93. mittee shall maintain documentation as required by 11 CFR 100.93(j)(1) in ad- [60 FR 31876, June 16, 1995, as amended at 68 dition to any other documentation re- FR 69595, Dec. 15, 2003; 74 FR 63967, Dec. 7, quired in this section. For travel by 2009] other conveyances, the committee § 9004.8 Withdrawal by candidate. shall maintain documentation of the commercial rental rate as required by (a) Any individual who is not ac- 11 CFR 100.93(j)(3) in addition to any tively conducting campaigns in more other documentation required in this than one State for the office of Presi- section. dent or Vice President shall cease to be (6) Travel expenses of a candidate’s a candidate under 11 CFR 9002.2. spouse and family when accompanying (b) An individual who ceases to be a the candidate on campaign-related candidate under this section shall: travel may be treated as qualified cam- (1) No longer be eligible to receive paign expenses and reportable expendi- any payments under 11 CFR 9005.2 ex- tures. If the spouse or family members cept to defray qualified campaign ex- conduct campaign-related activities, penses as provided in 11 CFR 9004.4.

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(2) Submit a statement, within 30 cal- anticipated to be required as a repay- endar days after he or she ceases to be ment under 11 CFR part 9007 or any a candidate, setting forth the informa- amounts paid to secure a surety bond tion required under 11 CFR 9004.9(c). under 11 CFR 9007.5(c). (4) The amount submitted as an esti- § 9004.9 Net outstanding qualified mate of necessary winding down costs campaign expenses. under paragraph (a)(1)(iii) of this sec- (a) Candidates receiving post-election tion shall be broken down by expense funding. A candidate who is eligible to category and quarterly or monthly receive post-election payments under time period. This breakdown shall in- 11 CFR 9004.3 shall file, no later than 20 clude estimated costs for office space calendar days after the date of the rental, staff salaries, legal expenses, election, a preliminary statement of accounting expenses, office supplies, that candidate’s net outstanding quali- equipment rental, telephone expenses, fied campaign expenses. The can- postage and other mailing costs, print- didate’s net outstanding qualified cam- ing and storage. The breakdown shall paign expenses under this section equal estimate the costs that will be incurred the difference between 11 CFR 9004.9(a) in each category from the time the (1) and (2). statement is submitted until the ex- (1) The total of: pected termination of the committee’s (i) All outstanding obligations for political activity. qualified campaign expenses as of the (b) All candidates. Each candidate, ex- date of the election; plus cept for individuals who have with- (ii) An estimate of the amount of drawn pursuant to 11 CFR 9004.8, shall qualified campaign expenses that will submit a statement of net outstanding be incurred by the end of the expendi- qualified campaign expenses no later ture report period; plus than 30 calendar days after the end of (iii) An estimate of the necessary the expenditure report period. The winding down costs, as defined under 11 statement shall contain the informa- CFR 9004.4(a)(4), submitted in the for- tion required by 11 CFR 9004.9(a) (1) and mat required by paragraph (a)(4) of this (2), except that the amount of out- section; less standing obligations under 11 CFR (2) The total of: 9004.9(a)(1)(i) and the amount of cash (i) Cash on hand as of the close of on hand, assets and receivables under business on the day of the election, in- 11 CFR 9004.9(a)(2) shall be complete as cluding: All contributions dated on or of the last day of the expenditure re- before that date; currency; balances on port period. deposit in banks, savings and loan in- (c) Candidates who withdraw. An indi- stitutions, and other depository insti- vidual who ceases to be a candidate tutions; traveler’s checks; certificates pursuant to 11 CFR 9004.8 shall file a of deposit; treasury bills; and any other statement of net outstanding qualified committee investments valued at fair campaign expenses no later than 30 cal- market value; endar days after he or she ceases to be (ii) The fair market value of capital a candidate. The statement shall con- assets and other assets on hand; and tain the information required under 11 (iii) Amounts owed to the candidate’s CFR 9004.9(a) (1) and (2), except that authorized committee(s) in the form of the amount of outstanding obligations credits, refunds of deposits, returns, re- under 11 CFR 9004.9(a)(1)(i) and the ceivables, or rebates of qualified cam- amount of cash on hand, assets and re- paign expenses; or a commercially rea- ceivables under 11 CFR 9004.9(a)(2) shall sonable amount based on the collect- be complete as of the day on which the ibility of those credits, returns, receiv- individual ceased to be a candidate. ables or rebates. (d)(1) Capital assets and assets pur- (3) The amount submitted as the chased from the primary election com- total of outstanding campaign obliga- mittee. (i) For purposes of this section, tions under paragraph (a)(1) of this sec- the term capital asset means any prop- tion shall not include any accounts erty used in the operation of the cam- payable for non-qualified campaign ex- paign whose purchase price exceeded penses nor any amounts determined or $2000 when acquired by the committee.

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Property that must be valued as cap- sets’’ shall be determined by the fair ital assets under this section includes, market value of each item on the last but is not limited to, office equipment, day of the expenditure report period or furniture, vehicles and fixtures ac- the day on which the individual ceased quired for use in the operation of the to be a candidate, whichever is earlier, candidate’s campaign, but does not in- unless the item is acquired after these clude property defined as ‘‘other as- dates, in which case the item shall be sets’’ under paragraph (d)(2) of this sec- valued on the date it is acquired. A list tion. Capital assets include items such of other assets shall be maintained by as computer systems and telecommuni- the committee in accordance with 11 cations systems, if the equipment is CFR 9003.5(d)(2). used together and if the total cost of (e) Collectibility of accounts receivable. all components that are used together If the committee determines that an exceeds $2000. A list of all capital as- account receivable of $500 or more, in- sets shall be maintained by the com- cluding any credit, refund, return or mittee in accordance with 11 CFR rebate, is not collectible in whole or in 9003.5(d)(1). The fair market value of part, the committee shall demonstrate capital assets shall be considered to be through documentation that the deter- 60% of the total original cost of such mination was commercially reason- items when acquired, except that items able. The documentation shall include received after the end of the expendi- records showing the original amount of ture report period must be valued at the account receivable, copies of cor- their fair market value on the date ac- respondence and memoranda of com- quired. A candidate may claim a lower munications with the debtor showing fair market value for a capital asset by attempts to collect the amount due, listing that capital asset on the state- and an explanation of how the lesser ment separately and demonstrating, amount or full write-off was deter- through documentation, the lower fair mined. market value. (f) Review of candidate statement—(1) (ii) If capital assets are obtained General. The Commission will review from the candidate’s primary election the statement filed by each candidate committee, the purchase price shall be under this section. The Commission considered to be 60% of the original may request further information with cost of such assets to the candidate’s respect to statements filed pursuant to primary election committee. For pur- 11 CFR 9004.9(b) during the audit of poses of the statement of net out- that candidate’s authorized com- standing qualified campaign expenses mittee(s) under 11 CFR part 9007. filed after the end of the expenditure (2) Candidate eligible for post-election report period, the fair market value of funding. (i) If, in reviewing the prelimi- capital assets obtained from the can- nary statement of a candidate eligible didate’s primary election committee to receive post-election funding, the shall be considered to be 20% of the Commission receives information indi- original cost of such assets to the can- cating that substantial assets of that didate’s primary election committee. candidate’s authorized committee(s) (iii) Items purchased from the pri- have been undervalued or not included mary election committee that are not in the statement or that the amount of capital assets, and also are not other outstanding qualified campaign ex- assets under paragraph (d)(2) of this penses has been otherwise overstated section, shall be listed on an inventory in relation to committee assets, the that states their valuation. Commission may decide to temporarily (2) Other assets. The term other assets postpone its certification of funds to means any property acquired by the that candidate pending a final deter- committee for use in raising funds or mination of whether the candidate is as collateral for campaign loans. entitled to all or a portion of the funds ‘‘Other assets’’ must be included on the for which he or she is eligible based on candidate’s statement of net out- the percentage of votes the candidate standing qualified campaign expenses received in the general election. if the aggregate value of such assets (ii) Initial determination. In making a exceeds $5000. The value of ‘‘other as- determination under 11 CFR

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9004.9(f)(2)(i), the Commission will no- limitations and prohibitions of 11 CFR tify the candidate within 10 business 9003.2, Title 52, United States Code, and days after its receipt of the statement 11 CFR parts 110 and 114. This section of its initial determination that the will only apply to major party can- candidate is not entitled to receive the didates to the extent that they sell as- full amount for which the candidate sets acquired either for fundraising may be eligible. The notice will give purposes in connection with his or her the legal and factual reasons for the legal and accounting compliance fund initial determination and advise the or when it is necessary to make up any candidate of the evidence on which the deficiency in payments received from Commission’s initial determination is the Fund due to the application of 11 based. The candidate will be given the CFR 9005.2(b). opportunity to revise the statement or (b) Sale after end of expenditure report to submit, within 10 business days, period. A minor or new party candidate, written legal or factual materials to or a major party candidate in the event demonstrate that the candidate has net of a deficiency in the payments re- outstanding qualified campaign ex- ceived from the Fund due to the appli- penses that entitle the candidate to cation of 11 CFR 9005.2(b), whose out- post-election funds. Such materials standing debts exceed the cash on hand may be submitted by counsel if the after the end of the expenditure report candidate so desires. period as determined under 11 CFR (iii) Final determination. The Commis- 9002.12, may dispose of assets acquired sion will consider any written legal or for fundraising purposes in a sale to a factual materials submitted by the wholesaler or other intermediary who candidate before making its final de- will in turn sell such assets to the pub- termination. A final determination lic provided that the sale to the whole- that the candidate is entitled to re- saler or intermediary is an arms-length ceive only a portion or no post-election transaction. Sales made under this sub- funding will be accompanied by a writ- section will not be subject to the limi- ten statement of reasons for the Com- tations and prohibitions of Title 52, mission’s action. This statement will United States Code and 11 CFR parts explain the legal and factual reasons 110 and 114. underlying the Commission’s determination and will summarize the re- [56 FR 35919, July 29, 1991, as amended at 79 sults of any investigation on which the FR 77851, Dec. 29, 2014] determination is based. § 9004.11 Winding down costs. (iv) If the candidate demonstrates that the amount of outstanding quali- (a) Winding down costs. Winding down fied campaign expenses still exceeds costs are costs associated with the ter- committee assets, the Commission will mination of the candidate’s general certify the payment of post-election election campaign such as complying funds to which the candidate is enti- with the post-election requirements of tled. the Federal Election Campaign Act and (v) Petitions for rehearing. The can- the Presidential Election Campaign didate may file a petition for rehearing Fund Act, and other necessary admin- of a final determination under this sec- istrative costs associated with ending tion in accordance with 11 CFR the campaign, including office space 9007.5(a). rental, staff salaries, and office supplies. Winding down costs are qualified [56 FR 35919, July 29, 1991, as amended at 60 campaign expenses. FR 31877, June 16, 1995; 64 FR 49363, Sept. 13, 1999] (b) Winding down limitation. The total amount of winding down costs that § 9004.10 Sale of assets acquired for may be paid for with public funds shall fundraising purposes. not exceed the lesser of: (a) General. A minor or new party (1) 2.5% of the expenditure limitation candidate may sell assets donated to pursuant to 11 CFR 110.8(a)(2); or the candidate’s authorized com- (2) 2.5% of the total of: mittee(s) or otherwise acquired for (i) The candidate’s expenditures sub- fundraising purposes subject to the ject to the expenditure limitation as of

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the end of the expenditure report pe- a minor or new party candidate has riod; plus met all applicable conditions for eligi- (ii) The candidate’s expenses exempt bility to receive payments under 11 from the expenditure limitation as of CFR 9003.1, 9003.2 and 9004.2, the Com- the end of the expenditure report pe- mission will make an initial deter- riod; except that mination of the amount, if any, to (iii) The winding down limitation which the candidate is entitled. The shall be no less than $100,000. Commission will base its determina- (c) Allocation of primary and general tion on the percentage of votes re- election winding down costs. A candidate ceived in the official vote count cer- who runs in both the primary and gen- tified in each State. In notifying the eral election may divide winding down candidate, the Commission will give expenses between his or her primary the legal and factual reasons for its de- and general election committees using termination and advise the candidate any reasonable allocation method. An of the evidence on which the deter- allocation method is reasonable if it di- mination is based. vides the total winding down costs be- (2) The candidate may submit, within tween the primary and general election 15 days after the Commission’s initial committees and results in no less than determination, written legal or factual one third of total winding down costs materials to demonstrate that a rede- allocated to each committee. A can- termination is appropriate. Such mate- didate may demonstrate that an allo- rials may be submitted by counsel if cation method is reasonable even if ei- the candidate so desires. ther the primary or the general elec- (3) The Commission will consider any tion committee is allocated less than written legal or factual materials one third of total winding down costs. timely submitted by the candidate in making its final determination. A final [68 FR 47416, Aug. 8, 2003] determination of certification by the Commission will be accompanied by a PART 9005—CERTIFICATION BY written statement of reasons for the COMMISSION Commission’s action. This statement will explain the reasons underlying the Sec. Commission’s determination and will 9005.1 Certification of payments for can- summarize the results of any investiga- didates. tion on which the determination is 9005.2 Payments to eligible candidates from based. the Fund. (c) Certification of minor and new party AUTHORITY: 26 U.S.C. 9005, 9006 and 9009(b). candidates for post-election payments. (1) SOURCE: 56 FR 35923, July 29, 1991, unless Not later than 30 days after the general otherwise noted. election, the Commission will determine whether a minor or new party § 9005.1 Certification of payments for candidate is eligible for post-election candidates. payments. (a) Certification of payments for major (2) The Commission’s determination party candidates. Not later than 10 days of eligibility will be based on the fol- after the Commission determines that lowing factors: the Presidential and Vice Presidential (i) The candidate has received at candidates of a major party have met least 5% or more of the total popular all applicable conditions for eligibility vote based on unofficial vote results in to receive payments under 11 CFR each State; 9003.1 and 9003.2, the Commission shall (ii) The candidate has filed a prelimi- certify to the Secretary that payment nary statement of his or her net out- in full of the amounts to which such standing qualified campaign expenses candidates are entitled under 11 CFR pursuant to 11 CFR 9004.9(a); and part 9004 should be made pursuant to 11 (iii) The candidate has met all appli- CFR 9005.2. cable conditions for eligibility under 11 (b) Certification of pre-election pay- CFR 9003.1 and 9003.2. ments for minor and new party can- (3) The Commission will notify the didates. (1) Not later than 10 days after candidate of its initial determination

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of the amount, if any, to which the (b)(1) If at the time of a certification candidate is entitled, give the legal and from the Commission under 11 CFR factual reasons for its determination 9005.1, the Secretary determines that and advise the candidate of the evi- the monies in the Fund are not, or may dence on which the determination is not be, sufficient to satisfy the full en- based. The Commission will also notify titlements of the eligible candidates of the candidate that it will deduct a per- all political parties, he or she shall centage of the amount to which the withhold an amount which is deter- candidate is entitled based on the unof- mined to be necessary to assure that ficial vote results when the Commis- the eligible candidates of each political sion certifies an amount for payment party will receive their pro rata share. to the Secretary. This deduction will (2) Amounts withheld under 11 CFR be based on the average percentage dif- 9005.2(b)(1) shall be paid when the Sec- ferential between the unofficial and of- retary determines that there are suffi- ficial vote results for all candidates cient monies in the Fund to pay such who received public funds in the pre- amounts, or pro rata portions thereof, ceding Presidential general election. to all eligible candidates from whom (4) The candidate may submit within amounts have been withheld. 15 days after the Commission’s initial (c) Payments received from the Fund determination written legal or factual by a major party candidate shall be de- materials to demonstrate that a rede- posited in a separate account main- termination is appropriate. Such mate- tained by his or her authorized com- rials may be submitted by counsel if mittee, unless there is a deficiency in the candidate so desires. the Fund as provided under 11 CFR (5) The Commission will consider any 9005.2(b)(1). In the case of a deficiency, written legal or factual materials the candidate may establish a separate timely submitted by the candidate in account for payments from the Fund or making its final determination. A final may deposit such payments with con- determination of certification by the tributions received pursuant to 11 CFR Commission will be accompanied by a 9003.3(b). The account(s) shall be main- written statement of reasons for the tained at a State bank, federally char- Commission’s action. This statement tered depository institution or other will explain the reasons underlying the depository institution, the deposits or Commission’s determination and will accounts of which are insured by the summarize the results of any investiga- Federal Deposit Insurance Corporation. tion on which the determination is (d) No funds other than the payments based. received from the Treasury, reimburse- (d) All certifications made by the ments, or income generated through Commission pursuant to this section use of public funds in accordance with shall be final and conclusive, except to 11 CFR 9004.5, shall be deposited in the the extent that they are subject to ex- account described in 11 CFR 9005.2(c). amination and audit by the Commis- ‘‘Reimbursements’’ shall include, but sion under 11 CFR part 9007 and judi- are not limited to, refunds of deposits, cial review under 26 U.S.C. 9011. vendor refunds, reimbursements for [56 FR 35923, July 29, 1991; 56 FR 55972, Oct. travel expenses under 11 CFR 9004.6 and 30, 1991] 9004.7 and reimbursements for legal and accounting costs under 11 CFR § 9005.2 Payments to eligible can- 9003.3(a)(2)(ii)(B). didates from the Fund. (a) Upon receipt of a certification from the Commission under 11 CFR PART 9006—REPORTS AND 9005.1 for payment to the eligible Presi- RECORDKEEPING dential and Vice Presidential candidates of a political party, the Sec- Sec. retary shall pay to such candidates out 9006.1 Separate reports. of the Fund the amount certified by 9006.2 Filing dates. the Commission. Amounts paid to a 9006.3 Alphabetized schedules. candidate shall be under the control of AUTHORITY: 52 U.S.C. 30104; 26 U.S.C. that candidate. 9009(b).

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SOURCE: 56 FR 35924, July 29, 1991, unless records, the schedule shall list in al- otherwise noted. phabetical order the sources of the receipts, the payees or the creditors, as § 9006.1 Separate reports. appropriate. In the case of individuals, (a) The authorized committee(s) of a such schedule shall list all contribu- candidate shall report all expenditures tors, payees, and creditors in alphabet- to further the candidate’s general elec- ical order by surname. tion campaign in reports separate from [60 FR 31877, June 16, 1995] reports of any other expenditures made by such committee(s) with respect to other elections. Such reports shall be PART 9007—EXAMINATIONS AND filed pursuant to the requirements of 11 AUDITS; REPAYMENTS CFR part 104. (b) The authorized committee(s) of a Sec. candidate shall file separate reports as 9007.1 Audits. 9007.2 Repayments. follows: 9007.3 Extensions of time. (1) One report shall be filed which 9007.4 Additional audits. lists all receipts and disbursements of: 9007.5 Petitions for rehearing; stays of re- (i) Contributions and loans received payment determinations. by a major party candidate pursuant to 9007.6 Stale-dated committee checks. 11 CFR part 9003 to make up defi- 9007.7 Administrative record. ciencies in Fund payments due to the AUTHORITY: 26 U.S.C. 9007 and 9009(b). application of 11 CFR part 9005; SOURCE: 56 FR 35924, July 29, 1991, unless (ii) Contributions and loans received otherwise noted. pursuant to 11 CFR 9003.2(b)(2) by a minor, or new party for use in the gen- § 9007.1 Audits. eral election; (a) General. (1) After each Presi- (iii) Receipts for expenses incurred dential election, the Commission will before the beginning of the expenditure conduct a thorough examination and report period pursuant to 11 CFR 9003.4; audit of the receipts, disbursements, (iv) Personal funds expended in ac- debts and obligations of each can- cordance with 11 CFR 9003.2(c); and didate, his or her authorized com- (v) Payments received from the mittee(s), and agents of such can- Fund. didates or committees. Such examina- (2) A second report shall be filed tion and audit will include, but will not which lists all receipts of and disburse- be limited to, expenditures pursuant to ments from, contributions received for 11 CFR 9003.4 prior to the beginning of the candidate’s legal and accounting the expenditure report period, con- compliance fund in accordance with 11 tributions to and expenditures made CFR 9003.3(a). from the legal and accounting compliance fund established under 11 CFR § 9006.2 Filing dates. 9003.3(a), contributions received to sup- The reports required to be filed under plement any payments received from 11 CFR 9006.1 shall be filed during an the Fund, and qualified campaign ex- election year on a monthly or quar- penses. terly basis as prescribed at 11 CFR (2) In addition, the Commission may 104.5(b)(1). During a non-election year, conduct other examinations and audits the candidate’s principal campaign from time to time as it deems nec- committee may elect to file reports ei- essary to carry out the provisions of ther on a monthly or quarterly basis in this subchapter. accordance with 11 CFR 104.5(b)(2). (3) Information obtained pursuant to any audit and examination conducted § 9006.3 Alphabetized schedules. under 11 CFR 9007.1(a) (1) and (2) may If the authorized committee(s) of a be used by the Commission as the candidate file a schedule of itemized basis, or partial basis, for its repay- receipts, disbursements, or debts and ment determinations under 11 CFR obligations pursuant to 11 CFR 104.3 9007.2. that was generated directly or indi- (b) Conduct of fieldwork. (1) If the can- rectly from computerized files or didate or the candidate’s authorized

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committee does not maintain or use (ii) Availability of committee personnel. any computerized information con- On the date scheduled for the com- taining the data listed in 11 CFR 9003.6, mencement of fieldwork, the candidate the Commission will give the can- or his or her authorized committee(s) didate’s authorized committee at least shall have committee personnel two weeks’ notice of the Commission’s present at the site of the fieldwork. intention to commence fieldwork on Such personnel shall be familiar with the audit and examination. The the committee’s records and operation fieldwork shall be conducted at a site and shall be available to Commission provided by the committee. If the can- staff to answer questions and to aid in didate or the candidate’s authorized locating records. committee maintains or uses comput- (iii) Failure to provide staff, records or erized information containing any of office space. If the candidate or his or the data listed in 11 CFR 9003.6, the her authorized committee(s) fail to Commission generally will request provide adequate office space, per- such information prior to commence- sonnel or committee records, the Com- ment of audit fieldwork. Such request mission may seek judicial intervention will be made in writing. The com- under 52 U.S.C. 30107 or 26 U.S.C. 9010(c) mittee shall produce the computerized to enforce the candidate and com- information no later than 15 calendar mittee agreement made under 11 CFR days after service of such request. 9003.1(b). Before seeking judicial intervention, the Commission will notify Upon receipt of the computerized infor- the candidate of his or her failure to mation requested and compliance with comply with the agreement and will the technical specifications of 11 CFR recommend corrective action to bring 9003.6(b), the Commission will give the the candidate into compliance. Upon candidate’s authorized committee at receipt of the Commission’s notifica- least two weeks’ notice of the Commis- tion, the candidate will have ten (10) sion’s intention to commence calendar days in which to take the cor- fieldwork on the audit and examina- rective action indicated or to otherwise tion. The fieldwork shall be conducted demonstrate to the Commission in at a site provided by the committee. writing that he or she is complying During or after audit fieldwork, the with the candidate and committee Commission may request additional or agreements. updated computerized information (iv) If, in the course of the audit which expands the coverage dates of process, a dispute arises over the docu- computerized information previously mentation sought or other require- provided, and which may be used for ments of the candidate agreement, the purposes including, but not limited to, candidate may seek review by the updating a statement of net out- Commission of the issues raised. To standing qualified campaign expenses. seek review, the candidate shall submit During or after audit fieldwork, the a written statement within 10 days Commission may also request addi- after the disputed Commission staff re- tional computerized information which quest is made, describing the dispute was created by or becomes available to and indicating the candidate’s proposed the committee that is of assistance in alternative(s). the Commission’s audit. The com- (v) If the candidate or his or her au- mittee shall produce the additional or thorized committee fails to produce updated computerized information no particular records, materials, evidence later than 15 calendar days after serv- or other information requested by the ice of the Commission’s request. Commission, the Commission may (i) Office space and records. On the issue an order pursuant to 52 U.S.C. date scheduled for the commencement 30107(a)(1) or a subpoena or subpoena of fieldwork, the candidate or his or duces tecum pursuant to 52 U.S.C. her authorized committee(s) shall pro- 30107(a)(3). The procedures set forth in vide Commission staff with office space 11 CFR 111.11 through 111.15, as appro- and committee records in accordance priate, shall apply to the production of with the candidate and committee such records, materials, evidence or agreement under 11 CFR 9003.1(b)(6). other information as specified in the

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order, subpoena or subpoena duces that may necessitate such follow-up tecum. fieldwork include, but are not limited (2) Fieldwork will include the fol- to, the following: lowing steps designed to keep the can- (i) Committee response to audit find- didate and committee informed as to ings; the progress of the audit and to expe- (ii) Financial activity of the com- dite the process: mittee subsequent to the fieldwork (i) Entrance conference. At the outset conducted pursuant to 11 CFR of the fieldwork, Commission staff will 9007.1(b)(1); hold an entrance conference, at which (iii) Committee responses to Commis- the candidate’s representatives will be sion repayment determinations made advised of the purpose of the audit and under 11 CFR 9007.2. the general procedures to be followed. (4) The Commission will notify the Future requirements of the candidate candidate and his or her authorized and his or her authorized committee, committee if follow-up fieldwork is such as possible repayments to the necessary. The provisions of 11 CFR United States Treasury, will also be 9007.1(b) (1) and (2) will apply to any ad- discussed. Committee representatives ditional fieldwork conducted. shall provide information and records (c) Preliminary Audit Report: Issuance necessary to conduct the audit, and by Commission and committee response. Commission staff will be available to (1) Commission staff will prepare a answer committee questions. written Preliminary Audit Report, (ii) Review of records. During the which will be provided to the com- fieldwork, Commission staff will re- mittee after it is approved by an af- view committee records and may con- firmative vote of four (4) members of duct interviews of committee per- the Commission. The Preliminary sonnel. Commission staff will be avail- Audit Report may include— able to explain aspects of the audit and (i) An evaluation of procedures and examination as it progresses. Addi- systems employed by the candidate and tional meetings between Commission committee to comply with applicable staff and committee personnel may be provisions of the Federal Election held from time to time during the Campaign Act, the Presidential Elec- fieldwork to discuss possible audit tion Campaign Fund Act and Commis- findings and to resolve issues arising sion regulations; during the course of the audit. (ii) The accuracy of statements and (iii) Exit conference. At the conclusion reports filed with the Commission by of the fieldwork, Commission staff will the candidate and committee; and hold an exit conference to discuss with (iii) Preliminary calculations regard- committee representatives the staff’s ing future repayments to the United preliminary findings and recommenda- States Treasury. tions that the staff anticipates it will (2) The candidate and his or her au- present to the Commission for ap- thorized committee may submit in proval. Commission staff will advise writing within 60 calendar days after committee representatives at this con- receipt of the Preliminary Audit Re- ference of the committee’s opportunity port, legal and factual materials dis- to respond to these preliminary find- puting or commenting on the proposed ings; the projected timetables regard- findings contained in the Preliminary ing the issuance of the Preliminary Audit Report. In addition, the com- Audit Report, the Audit Report, and mittee shall submit any additional any repayment determination; the documentation requested by the Com- committee’s opportunity for an admin- mission. Such materials may be sub- istrative review of any repayment de- mitted by counsel if the candidate so termination; and the procedures in- desires. volved in Commission repayment de- (d) Approval and issuance of the audit terminations under 11 CFR 9007.2. report. (1) Before voting on whether to (3) Commission staff may conduct ad- approve and issue an audit report, the ditional fieldwork after the completion Commission will consider any written of the fieldwork conducted pursuant to legal and factual materials timely sub- 11 CFR 9007.1(b) (1) and (2). Factors mitted by the candidate or his or her

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authorized committee in accordance may become the basis, in whole or in with paragraph (c) of this section. The part, of any audit finding. Commission-approved audit report may (2) A committee in responding to a address issues other than those con- sample-based finding shall respond tained in the Preliminary Audit Re- only to the specific sample items used port. In addition, this report will con- to make the projection. If the com- tain a repayment determination made mittee demonstrates that any apparent by the Commission pursuant to 11 CFR errors found among the sample items 9007.2(c)(1). were not errors, the Commission shall (2) The audit report may contain make a new projection based on the re- issues that warrant referral to the Of- duced number of errors in the sample. fice of General Counsel for possible en- (3) Within 30 days of service of the forcement proceedings under 52 U.S.C. Final Audit Report, the committee 30109 and 11 CFR part 111. shall submit a check to the United (3) Addenda to the audit report may States Treasury for the total amount be approved and issued by the Commis- of any excessive or prohibited contribu- sion from time to time as cir- tions not refunded, reattributed or re- cumstances warrant and as additional designated in a timely manner in ac- information becomes available. Such cordance with 11 CFR 103.3(b) (1), (2) or addenda may be based on follow-up (3); or take any other action required fieldwork conducted under paragraph by the Commission with respect to (b)(3) of this section, and/or informa- sample-based findings. tion ascertained by the Commission in the normal course of carrying out its [56 FR 35924, July 29, 1991; 56 FR 42380, Aug. supervisory responsibilities. The proce- 27, 1991; 60 FR 31878, June 16, 1995; 64 FR dures set forth in paragraphs (c) and (d) 61780, Nov. 15, 1999; 79 FR 77851, Dec. 29, 2014] (1) and (2) of this section will be fol- § 9007.2 Repayments. lowed in preparing such addenda. The addenda will be placed on the public (a) General. (1) A candidate who has record as set forth in paragraph (e) of received payments from the Fund this section. Such addenda may also in- under 11 CFR part 9005 shall pay the clude additional repayment determina- United States Treasury any amounts tion(s). which the Commission determines to (e) Public release of audit report. (1) be repayable under this section. In The Commission will consider the making repayment determinations audit report in an open session agenda under this section, the Commission document. The Commission will pro- may utilize information obtained from vide the candidate and the committee audits and examinations conducted with copies of any agenda document to pursuant to 11 CFR 9007.1 or otherwise be considered in an open session 24 obtained by the Commission in car- hours prior to releasing the agenda rying out its responsibilities under this document to the public. subchapter. (2) Following Commission approval of (2) The Commission will notify the the audit report, the report will be for- candidate of any repayment determina- warded to the committee and released tions made under this section as soon to the public. The Commission will as possible, but not later than 3 years provide the candidate and committee after the day of the presidential elec- with copies of the audit report ap- tion. The Commission’s issuance of the proved by the Commission 24 hours be- audit report to the candidate under 11 fore releasing the report to the public. CFR 9007.1(d) will constitute notifica- (f)(1) Sampling. In conducting an tion for purposes of this section. audit of contributions pursuant to this (3) Once the candidate receives notice section, the Commission may utilize of the Commission’s repayment deter- generally accepted statistical sampling mination under this section, the can- techniques to quantify, in whole or in didate should give preference to the re- part, the dollar value of related audit payment over all other outstanding ob- findings. A projection of the total ligations of his or her committee, ex- amount of violations based on apparent cept for any federal taxes owed by the violations identified in such a sample committee.

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(4) Repayments may be made only (B) Determinations that amounts from the following sources: personal spent by a candidate, a candidate’s au- funds of the candidate (without regard thorized committee(s) or agent(s) from to the limitations of 11 CFR 9003.2(c)), the Fund were not documented in ac- contributions and federal funds in the cordance with 11 CFR 9003.5; committee’s account(s), and any addi- (C) Determinations that any portion tional funds raised subject to the limi- of the payments made to a candidate tations and prohibitions of the Federal from the Fund was expended in viola- Election Campaign Act of 1971, as tion of State or Federal law; and amended. (D) Determinations that any portion (b) The Commis- Bases for repayment. of the payments made to a candidate sion may determine that an eligible from the Fund was used to defray ex- candidate of a political party who has penses resulting from a violation of received payments from the Fund must State or Federal law, such as the pay- repay the United States Treasury under any of the circumstances de- ment of fines or penalties. scribed below. (iii) In the case of a candidate who (1) Payments in excess of candidate’s has received contributions pursuant to entitlement. If the Commission deter- 11 CFR 9003.3 (b) or (c), the amount of mines that any portion of the pay- any repayment sought under this sec- ments made to the candidate was in ex- tion shall bear the same ratio to the cess of the aggregate payments to total amount determined to have been which such candidate was entitled, it used for non-qualified campaign ex- will so notify the candidate, and such penses as the amount of payments cer- candidate shall pay to the United tified to the candidate from the Fund States Treasury an amount equal to bears to the total deposits, as of De- such portion. cember 31 of the Presidential election (2) Use of funds for non-qualified cam- year. For purposes of this section, total paign expenses. (i) If the Commission deposits means all deposits to all can- determines that any amount of any didate accounts minus transfers be- payment to an eligible candidate from tween accounts, refunds, rebates, reim- the Fund was used for purposes other bursements, checks returned for insuf- than those described in paragraphs ficient funds, proceeds of loans and (b)(2)(i) (A) through (C) of this section, other similar amounts. it will notify the candidate of the (3) Surplus. If the Commission deter- amount so used, and such candidate mines that a portion of payments from shall pay to the United States Treas- the Fund remains unspent after all ury an amount equal to such amount. qualified campaign expenses have been (A) To defray qualified campaign ex- paid, it shall so notify the candidate, penses; and such candidate shall pay the (B) To repay loans, the proceeds of United States Treasury that portion of which were used to defray qualified surplus funds. campaign expenses; and (C) To restore funds (other than con- (4) Income on investment or other use of tributions which were received and ex- payments from the Fund. If the Commis- pended by minor or new party can- sion determines that a candidate re- didates to defray qualified campaign ceived any income as a result of an in- expenses) which were used to defray vestment or other use of payments qualified campaign expenses. from the fund pursuant to 11 CFR (ii) Examples of Commission repay- 9004.5, it shall so notify the candidate, ment determinations under 11 CFR and such candidate shall pay to the 9007.2(b)(2) include, but are not limited United States Treasury an amount to the following: equal to the amount determined to be (A) Determinations that a candidate, income, less any Federal, State or local a candidate’s authorized committee(s) taxes on such income. or agent(s) have incurred expenses in (5) Unlawful acceptance of contribu- excess of the aggregate payments to tions by an eligible candidate of a major which an eligible major party can- party. If the Commission determines didate is entitled; that an eligible candidate of a major

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party, the candidate’s authorized com- (ii) Oral hearing. A candidate who mittee(s) or agent(s) accepted con- submits written materials pursuant to tributions to defray qualified campaign paragraph (c)(2)(i) of this section may expenses (other than contributions to at the same time request in writing make up deficiencies in payments from that the Commission provide such can- the Fund, or to defray expenses in- didate with an opportunity to address curred for legal and accounting serv- the Commission in open session to ices in accordance with 11 CFR demonstrate that no repayment, or a 9003.3(a)), it shall notify the candidate lesser repayment, is required. The can- of the amount of contributions so ac- didate should identify in this request cepted, and the candidate shall pay to the repayment issues he or she wants the United States Treasury an amount to address at the oral hearing. If the equal to such amount. Commission decides by an affirmative (c) Repayment determination proce- vote of four (4) of its members to grant dures. The Commission’s repayment de- the candidate’s request, it will inform termination will be made in accord- the candidate of the date and time set ance with the procedures set forth at for the oral hearing. At the date and paragraphs (c)(1) through (c)(4) of this time set by the Commission, the can- section. didate or candidate’s designated rep- (1) Repayment determination. The resentative will be allotted an amount Commission will provide the candidate of time in which to make an oral pres- with a written notice of its repayment entation to the Commission based upon determination(s). This notice will be the legal and factual materials sub- included in the Commission’s audit re- mitted under paragraph (c)(2)(ii) of this port prepared pursuant to 11 CFR section. The candidate or representa- 9007.1(d) and will set forth the legal and tive will also have the opportunity to factual reasons for such determina- answer any questions from individual tion(s), as well as the evidence upon members of the Commission. which any such determination is based. (3) Repayment determination upon re- The candidate shall repay to the view. In deciding whether to revise any United States Treasury in accordance repayment determination(s) following with paragraph (d) of this section, the an administrative review pursuant to amount which the Commission has de- paragraph (c)(2) of this section, the termined to be repayable. Commission will consider any submis- (2) Administrative review of repayment sion made under paragraph (c)(2)(i) of determination. If a candidate disputes this section and any oral hearing con- the Commission’s repayment deter- ducted under paragraph (c)(2)(ii) of this mination(s), he or she may request an section, and may also consider any new administrative review of the deter- or additional information from other mination(s) as set forth in paragraph sources. A determination following an (c)(2)(i) of this section. administrative review that a candidate (i) Submission of written materials. A must repay a certain amount will be candidate who disputes the Commis- accompanied by a written statement of sion’s repayment determination(s) reasons supporting the Commission’s shall submit in writing, within 60 cal- determination(s). This statement will endar days after service of the Com- explain the legal and factual reasons mission’s notice, legal and factual ma- underlying the Commission’s deter- terials demonstrating that no repay- mination(s) and will summarize the re- ment, or a lesser repayment, is results of any investigation(s) upon quired. Such materials may be sub- which the determination(s) are based. mitted by counsel if the candidate so (d) Repayment period. (1) Within 90 desires. The candidate’s failure to calendar days of service of the notice of timely raise an issue in written mate- the Commission’s repayment deter- rials presented pursuant to this para- mination(s), the candidate shall repay graph will be deemed a waiver of the to the United States Treasury the candidate’s right to raise the issue at amounts which the Commission has de- any future stage of proceedings includ- termined to be repayable. Upon appli- ing any petition for review filed under cation by the candidate, the Commis- 26 U.S.C. 9011(a). sion may grant an extension of up to 90

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calendar days in which to make repay- expenses submitted pursuant to 11 CFR ment. 9004.9, the candidate or his or her au- (2) If the candidate requests an ad- thorized committee(s) shall promptly ministrative review of the Commis- notify the Commission of such newly- sion’s repayment determination(s) discovered assets. Newly-discovered as- under paragraph (c)(2) of this section, sets may include refunds, rebates, late- the time for repayment will be sus- arriving receivables, and actual re- pended until the Commission has con- ceipts for capital assets in excess of the cluded its administrative review of the value specified in any previously-sub- repayment determination(s). Within 30 mitted statement of net outstanding calendar days after service of the no- qualified campaign expenses. Newly- tice of the Commission’s post-adminis- discovered assets may serve as a basis trative review repayment determina- for additional repayment determination(s), the candidate shall repay to tions under 11 CFR 9007.2(f). the United States Treasury the (h) Limit on repayment. No repayment amounts which the Commission has de- shall be required from the eligible can- termined to be repayable. Upon appli- didates of a political party under 11 cation by the candidate, the Commis- CFR 9007.2 to the extent that such re- sion may grant an extension of up to 90 payment, when added to other repay- calendar days in which to make repayments required from such candidates ment. under 11 CFR 9007.2, exceeds the (3) Interest shall be assessed on all amount of payments received by such repayments made after the initial 90- candidates under 11 CFR 9005.2. day repayment period established at (i) Petitions for rehearing; stays pend- paragraph (d)(1) of this section or the ing appeal. The candidate may file a pe- 30-day repayment period established at tition for rehearing of a repayment de- paragraph (d)(2) of this section. The termination in accordance with 11 CFR amount of interest due shall be the 9007.5(a). The candidate may request a greater of: stay of a repayment determination in (i) An amount calculated in accord- accordance with 11 CFR 9007.5(c) pend- ance with 28 U.S.C. 1961 (a) and (b); or ing the candidate’s appeal of that re- (ii) The amount actually earned on payment determination. the funds set aside or to be repaid under this section. [56 FR 35924, July 29, 1991, as amended at 60 (e) Computation of time. The time pe- FR 31878, June 16, 1995] riods established by this section shall § 9007.3 Extensions of time. be computed in accordance with 11 CFR 111.2. (a) It is the policy of the Commission (f) Additional repayments. Nothing in that extensions of time under 11 CFR this section will prevent the Commis- part 9007 will not be routinely granted. sion from making additional repay- (b) Whenever a candidate has a right ment determinations on one or more of or is required to take action within a the bases set forth at 11 CFR 9007.2(b) period of time prescribed by 11 CFR after it has made a repayment deter- part 9007 or by notice given thereunder, mination on any such basis. The Com- the candidate may apply in writing to mission may make additional repay- the Commission for an extension of ment determinations where there exist time in which to exercise such right or facts not used as the basis for any pre- take such action. The candidate shall vious determination. Any such addi- demonstrate in the application for ex- tional repayment determination will tension that good cause exists for his be made in accordance with the provi- or her request. sions of this section. (c) An application for extension of (g) Newly-discovered assets. If, after time shall be made at least 7 calendar any repayment determination made days prior to the expiration of the time under this section, a candidate or his period for which the extension is or her authorized committee(s) re- sought. The Commission may, upon a ceives or becomes aware of assets not showing of good cause, grant an exten- previously included in any statement sion of time to a candidate who has ap- of net outstanding qualified campaign plied for such extension in a timely

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manner. The length of time of any ex- repayment determination or final de- tension granted hereunder shall be determination; cided by the Commission and may be (ii) Raise new questions of law or fact less than the amount of time sought by that would materially alter the Com- the candidate in his or her application. mission’s repayment determination or If a candidate seeks an extension of final determination; and any 60-day response period under 11 (iii) Set forth clear and convincing CFR part 9007, the Commission may grounds why such questions were not grant no more than one extension to and could not have been presented dur- that candidate, which extension shall ing the original determination process. not exceed 15 days. (2) If a candidate files a timely peti- (d) If a candidate fails to seek an ex- tion under this section challenging a tension of time, exercise a right or Commission repayment determination, take a required action prior to the ex- the time for repayment will be sus- piration of a time period prescribed by pended until the Commission serves no- 11 CFR part 9007, the Commission may, tice on the candidate of its determina- on the candidate’s showing of excus- tion on the petition. The time periods able neglect: for making repayment under 11 CFR (1) Permit such candidate to exercise 9007.2(d) shall apply to any amounts de- his or her right(s), or take such re- termined to be repayable following the quired action(s) after the expiration of Commission’s consideration of a peti- the prescribed time period; and tion for rehearing under this section. (2) Take into consideration any infor- (b) Effect of failure to raise issues. The mation obtained in connection with candidate’s failure to raise an argu- the exercise of any such right or taking ment in a timely fashion during the of any such action before making deci- original determination process or in a sions or determinations under 11 CFR petition for rehearing under this sec- part 9007. tion, as appropriate, shall be deemed a [56 FR 35924, July 29, 1991, as amended at 60 waiver of the candidate’s right to FR 31880, June 16, 1995] present such arguments in any future stage of proceedings including any pe- § 9007.4 Additional audits. tition for review filed under 26 U.S.C. In accordance with 11 CFR 104.16(c), 9011(a). An issue is not timely raised in the Commission, pursuant to 11 CFR a petition for rehearing if it could have 111.10, may upon affirmative vote of been raised earlier in response to the four members conduct an audit and Commission’s original determination. field investigation of any committee in (c) Stay of repayment determination any case in which the Commission pending appeal. (1)(i) The candidate finds reason to believe that a violation may apply to the Commission for a of a statute or regulation over which stay of all or a portion of the amount the Commission has jurisdiction has determined to be repayable under this occurred or is about to occur. section or under 11 CFR 9007.2 pending the candidate’s appeal of that repay- § 9007.5 Petitions for rehearing; stays ment determination pursuant to 26 of repayment determinations. U.S.C. 9011(a). The repayment amount (a) Petitions for rehearing. (1) Fol- requested to be stayed shall not exceed lowing the Commission’s repayment the amount at issue on appeal. determination or a final determination (ii) A request for a stay shall be made that a candidate is not entitled to all in writing and shall be filed within 30 or a portion of post-election funding calendar days after service of the Com- under 11 CFR 9004.9(f), the candidate mission’s decision on a petition for re- may file a petition for rehearing set- hearing under paragraph (a) of this sec- ting forth the relief desired and the tion or, if no petition for rehearing is legal and factual basis in support. To filed, within 30 calendar days after be considered by the Commission, peti- service of the Commission’s repayment tions for rehearing must: determination under 11 CFR 9007.2(c). (i) Be filed within 20 calendar days (2) The Commission’s approval of a following service of the Commission’s stay request will be conditioned upon

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the candidate’s presentation of evi- to cash the outstanding checks. The dence in the stay request that he or committee shall also submit a check she: for the total amount of such out- (i) Has placed the entire amount at standing checks, payable to the United issue in a separate interest-bearing ac- States Treasury. count pending the outcome of the appeal and that withdrawals from the ac- § 9007.7 Administrative record. count may only be made with the joint signatures of the candidate or his or (a) The Commission’s administrative her agent and a Commission represent- record for final determinations under ative; or 11 CFR 9004.9 and 9005.1, and for repay- (ii) Has posted a surety bond guaran- ment determinations under 11 CFR teeing payment of the entire amount 9007.2, consists of all documents and at issue plus interest; or materials submitted to the Commis- (iii) Has met the following criteria: sion for its consideration in making (A) He or she will suffer irreparable those determinations. The administra- injury in the absence of a stay; and, if tive record will include the certifi- so, that cation of the Commission’s vote(s), the (B) He or she has made a strong audit report that is sent to the com- showing of the likelihood of success on mittee (for repayment determinations), the merits of the judicial action. the statement(s) of reasons, and the (C) Such relief is consistent with the candidate agreement. The committee public interest; and may include documents or materials in (D) No other party interested in the the administrative record by submit- proceedings would be substantially ting them within the time periods set harmed by the stay. forth at 11 CFR 9004.9(f)(2)(ii), (3) In determining whether the candidate has made a strong showing of 9005.1(b)(2), 9005.1(c)(4), 9007.1(c) and the likelihood of success on the merits 9007.2(c)(2), as appropriate. under paragraph (c)(2)(iii)(B) of this (b) The Commission’s administrative section, the Commission may consider record for determinations under 11 CFR whether the issue on appeal presents a 9004.9, 9005.1 and 9007.2 does not include: novel or admittedly difficult legal (1) Documents and materials in the question and whether the equities of files of individual Commissioners or the case suggest that the status quo employees of the Commission that do should be maintained. not constitute a basis for the Commis- (4) All stays shall require the pay- sion’s decisions because they were not ment of interest on the amount at circulated to the Commission and were issue. The amount of interest due shall not referenced in documents that were be calculated from the date 30 days circulated to the Commission; after service of the Commission’s re- (2) Transcripts or audio tapes of Com- payment determination under 11 CFR mission discussions other than tran- 9007.2(c)(4) and shall be the greater of: scripts or audio tapes of oral hearings (i) An amount calculated in accord- pursuant to 11 CFR 9007.2(c)(2), al- ance with 28 U.S.C. 1961 (a) and (b); or though such transcripts or tapes may (ii) The amount actually earned on the funds set aside under this section. be made available under 11 CFR parts 4 or 5; or [56 FR 35924, July 29, 1991, as amended at 60 (3) Documents properly subject to FR 31880, June 16, 1995] privileges such as an attorney-client § 9007.6 Stale-dated committee checks. privilege, or items constituting attorney work product. If the committee has checks out- (c) The administrative record identi- standing to creditors or contributors that have not been cashed, the com- fied in paragraph (a) of this section is mittee shall notify the Commission. the exclusive record for the Commis- The committee shall inform the Com- sion’s determinations under 11 CFR mission of its efforts to locate the pay- 9004.9, 9005.1 and 9007.2 ees, if such efforts have been necessary, [60 FR 31880, June 16, 1995] and its efforts to encourage the payees

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PART 9008—FEDERAL FINANCING to such a convention by a national OF PRESIDENTIAL NOMINATING committee receiving public funds are CONVENTIONS limited to $4,000,000, as adjusted by the Consumer Price Index. New parties are not entitled to receive any public funds Subpart A—Expenditures by National to defray convention expenses. Committees and Convention Committees (b) Under 52 U.S.C. 30105, each com- Sec. mittee or organization which rep- 9008.1 Scope. resents a national party in making ar- 9008.2 Definitions. rangements for that party’s presi- 9008.3 Eligibility for payments; registration dential nominating convention is re- and reporting. quired to file disclosure reports. This 9008.4 Entitlement to payments from the reporting obligation extends to all such fund. 9008.5 Adjustment of entitlement. committees or organizations, regard- 9008.6 Payment and certification proce- less of whether or not public funds are dures. used or available to defray convention 9008.7 Use of funds. expenses. 9008.8 Limitation of expenditures. [59 FR 33616, June 29, 1994, as amended at 79 9008.9 Receipt of goods and services from FR 77851, Dec. 29, 2014] commercial vendors. 9008.10 Documentation of disbursements; § 9008.2 Definitions. net outstanding convention expenses. 9008.11 Examinations and audits. (a) Commission means the Federal 9008.12 Repayments. Election Commission, 999 E Street, 9008.13 Additional audits. NW., Washington, DC 20463. 9008.14 Petitions for rehearing: stays of re- (b) Fund means the Presidential payment determinations. Election Campaign Fund established by 9008.15 Extensions of time. 26 U.S.C. 9006(a). 9008.16 Stale-dated committee checks. (c) Major party means, with respect to Subpart B—Host Committees and Munic- any presidential election, a political ipal Funds Representing a Convention party whose candidate for the office of City President in the preceding presidential election received, as the candidate of 9008.50 Scope and definitions. such party, 25 percent or more of the 9008.51 Registration and reports. total number of popular votes received 9008.52 Receipts and disbursements of host by all candidates for such office. committees. 9008.53 Receipts and disbursements of mu- (d) Minor party means, with respect nicipal funds. to any presidential election, a political 9008.54 Examinations and audits. party whose candidate for the office of 9008.55 Funding for convention committees, President in the preceding presidential host committees and municipal funds. election received, as the candidate of AUTHORITY: 52 U.S.C. 30105, 30111(a)(8), such party, 5 percent or more, but less 30125; 26 U.S.C. 9008, 9009(b). than 25 percent, of the total number of popular votes received by all can- SOURCE: 59 FR 33616, June 29, 1994, unless otherwise noted. didates for such office. (e) National committee means the organization which, by virtue of the by- Subpart A—Expenditures by Na- laws of the political party, is respon- tional Committees and Con- sible for the day to day operation of vention Committees that party at the national level. (f) New party means, with respect to § 9008.1 Scope. any presidential election, a political (a) This part interprets 52 U.S.C. party which is neither a major party 30105 and 26 U.S.C. 9008. Under 26 U.S.C. nor a minor party. 9008(b), the national committees of (g) Nominating convention means a both major and minor parties are enti- convention, caucus or other meeting tled to public funds to defray expenses which is held by a political party at incurred with respect to a Presidential the national level and which chooses Nominating convention. Under 26 the presidential nominee of the party U.S.C. 9008(d), expenditures with regard through selection by delegates to that

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convention or through other similar (v) The name and address of the de- means. pository of the convention committee. (h) Secretary means the Secretary of (4) The convention committee shall, the Treasury of the United States. by letter to the Commission, agree to the conditions set forth in paragraph § 9008.3 Eligibility for payments; reg- (a)(4) (i) through (viii) of this section. istration and reporting. This agreement shall also be binding (a) Eligibility requirements. (1) To qual- upon the national committee. ify for entitlement under 11 CFR 9008.4 (i) The convention committee shall and 9008.5, the national committee of a agree to comply with the applicable ex- major or minor political party shall es- penditure limitation set forth at 11 tablish a convention committee pursu- CFR 9008.8. ant to paragraph (a)(2) of this section (ii) The convention committee shall and shall file an application statement agree to file convention reports as re- pursuant to paragraph (a)(3) of this sec- quired under 52 U.S.C. 30105 and 11 CFR tion. The convention committee, in 9008.3(b). conjunction with the national com- (iii) The convention committee shall mittee, shall file an agreement to com- agree to establish one or more ac- ply with the conditions set forth at counts into which all public funds re- paragraph (a)(4) of this section. ceived under 11 CFR 9008.4 and 9008.5 (2) The national committee shall es- must be deposited and from which all tablish a convention committee which expenditures for convention expenses shall be responsible for conducting the must be made. Such account(s) shall day to day arrangements and oper- contain only public funds except as ations of that party’s presidential provided in 11 CFR 9008.6(a)(3). nominating convention. The conven- (iv) The convention committee shall tion committee shall register with the agree to keep and furnish to the Com- Commission as a political committee mission all documentation of conven- pursuant to 11 CFR part 102. The con- tion disbursements made by the com- vention committee shall receive all mittee as required under 11 CFR public funds to which the national 9008.10. The convention committee has committee is entitled under 11 CFR the burden of proving that disburse- 9008.4 and 9008.5 and all private con- ments by the convention committee tributions made for the purpose of de- were for purposes of defraying conven- fraying convention expenses. All ex- tion expenses as set forth at 11 CFR penditures on behalf of the national 9008.7(a)(4). committee for convention expenses (v) The convention committee shall shall be made by the convention com- agree to furnish to the Commission any mittee. books, records (including bank records (3) The national committee shall file for all accounts), a copy of any con- with the Commission an application tract which the national committee en- statement. Any changes in the infor- ters into with a host committee or con- mation provided in the application vention city or vendor, a copy of docu- statement must be reported to the mentation provided by commercial Commission within 10 days following vendors in accordance with 11 CFR the change. The application statement 9008.9(b), and any other information shall include: that the Commission may request. If (i) The name and address of the na- the convention committee maintains tional committee; or uses computerized information con- (ii) The name and address of the containing any of the categories of data vention committee and of the officers listed in 11 CFR 9008.10(h)(1) (i) through of that committee; (iv), the convention committee will (iii) The name of the city where the provide computerized magnetic media, convention is to be held and the ap- such as magnetic tapes or magnetic proximate dates; diskettes, containing the computerized (iv) The name, address, and position information at the times specified in 11 of the convention committee officers CFR 9008.10(h)(2) that meet the require- designated by the national committee ments of 11 CFR 102.9 and 9008.10 (a) to sign requests for payments; and and (b). Upon request, documentation

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explaining the computer system’s soft- agreements. Each such contract, agree- ware capabilities shall be provided, and ment or modification shall be filed such personnel as are necessary to ex- with the report covering the reporting plain the operation of the computer period in which the contract or agree- system’s software and the computer- ment or modification is executed. ized information prepared or main- (iii) A State party committee or a tained by the convention committee subordinate committee of a State shall also be made available. party committee which only assists (vi) The convention committee shall delegates and alternates to the conven- agree to permit an audit and examination from that State with travel ex- tion pursuant to 26 U.S.C. 9008(g) and 11 penses and arrangements, or which CFR 9008.11 of all convention expenses; sponsors caucuses, receptions, and to facilitate such audit by making similar activities at the convention available office space, records, and site, need not register or report under such personnel as is necessary to the this section. conduct of the audit and examination; (2) Quarterly and post convention re- and to pay any amounts required to be ports; content and time of filing. Each paid under 26 U.S.C. 9008(h) and 11 CFR committee required to register under 9008.12. paragraph (b)(1) of this section shall (vii) The convention committee shall file reports as follows: agree to comply with the applicable re- (i) The first quarterly report shall be quirements of 52 U.S.C. 30101 et seq., 26 filed on FEC Form 4 no later than 15 U.S.C. 9008, and the Commission’s regu- days following the end of the calendar lations at 11 CFR parts 100–116 and 9008. quarter in which the committee either (viii) The convention committee receives payment under 11 CFR 9008.6, shall pay any civil penalties included or for parties which do not accept pub- in a conciliation agreement or imposed lic funds, no later than 15 days after under 52 U.S.C. 30109. the calendar quarter in which the com- (5) The application statement and mittee receives contributions or makes agreement may be filed at any time expenditures to defray convention ex- after June 1 of the calendar year pre- penses. The committee shall continue ceding the year in which a Presidential to file reports on a quarterly basis no nominating convention of the political later than the 15th day following the party is held, but no later than the close of each calendar quarter, except first day of the convention. that the report for the final calendar (b) Registration and reports by political quarter of the year shall be filed on parties—(1) Registration. (i) Each con- January 31 of the following calendar vention committee established by a na- year. Quarterly reports shall be com- tional committee under paragraph pleted as of the close of the quarter and (a)(2) of this section shall register with shall continue to be filed until the the Commission on FEC Form 1 as a committee ceases activity in connec- political committee pursuant to 11 tion with that party’s presidential CFR part 102 and shall file reports with nominating convention. the Commission as required at para- (ii) Any quarterly report due within graph (b)(2) of this section. Each report 20 days before or after the convention filed by the committee shall contain shall be suspended and the committee the information required by 11 CFR shall in lieu of such quarterly report part 104. file a post convention report. The post (ii) Each convention committee es- convention report shall be filed on the tablished by a national committee earlier of: 60 days following the last under paragraph (a)(2) of this section day the convention is officially in ses- shall submit to the Commission a copy sion; or 20 days prior to the presi- of any and all written contracts or dential general election. The post con- agreements that the convention com- vention report shall be complete as of mittee has entered into with the city, 15 days prior to the date on which the county, or State hosting the conven- report must be filed. tion, a host committee, or a municipal (c) Cessation of activity. A convention fund, including subsequent written committee which has received pay- modifications to previous contracts or ments under 11 CFR 9008.6 shall cease

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activity no later than 24 months after the expenditure limitations of 11 CFR the convention, unless the committee 9008.8(a) and the amount of private con- has been granted an extension of time. tributions received under 11 CFR The Commission may grant any exten- 9008.6(a) by the national committee of sion of time it deems appropriate upon a political party. Except as provided in request of the committee at least 30 11 CFR 9008.12(b)(7), in calculating days prior to the close of the 24 month these adjustments, amounts expended period. by Government agencies and municipal corporations in accordance with 11 [59 FR 33616, June 29, 1994, as amended at 68 FR 47416, Aug. 8, 2003; 79 FR 77851, Dec. 29, CFR 9008.53; in-kind donations by busi- 2014] nesses to the national committee or convention committee in accordance § 9008.4 Entitlement to payments from with 11 CFR 9008.9; expenditures by the fund. host committees in accordance with 11 (a) Major parties. Subject to the pro- CFR 9008.52; expenditures to partici- visions of this part, the national com- pate in or attend the convention under mittee of a major party shall be enti- 11 CFR 9008.8(b)(2); and legal and ac- tled to receive payments under 11 CFR counting services rendered in accord- 9008.6 with respect to any presidential ance with 11 CFR 9008.8(b)(4) will not be nominating convention, in amounts considered private contributions or ex- which, in the aggregate, shall not expenditures counting against the limita- ceed $4 million, as adjusted by the Con- tion. sumer Price Index under 11 CFR [59 FR 33616, June 29, 1994, as amended at 79 9008.5(a). FR 77851, Dec. 29, 2014] (b) Minor parties. Subject to the provisions of this part, the national com- § 9008.6 Payment and certification pro- mittee of a minor party shall be enti- cedures. tled to payments under 11 CFR 9008.6 (a) Optional payments; private con- with respect to any presidential nomi- tributions. (1) The national committee nating convention in amounts which, of a major or minor party may elect to in the aggregate, shall not exceed an receive all, part, or none of the amount which bears the same ratio to amounts to which it is entitled under the amount which the national com- 11 CFR 9008.4 and 9008.5. mittee of a major party is entitled to (2) If a national committee of a receive under 11 CFR 9008.5 as the num- major or minor party elects to receive ber of popular votes received in the part of the amounts to which it is enti- preceding presidential election by that tled under 11 CFR 9008.4 and 9008.5, or if minor party’s presidential candidate the Secretary determines there is a de- bears to the average number of popular ficiency in the Fund under 26 U.S.C. votes received in the preceding presi- 9008(b)(4), the national committee may dential election by all of the major receive and use private contributions, party presidential candidates. so long as the sum of the contributions (c) Limitation on payments. Payments which are used to defray convention to the national committee of a major expenses and the amount of entitle- party or a minor party under 11 CFR ments elected to be received does not 9008.6 from the account designated for exceed the total expenditure limitation such committee shall be limited to the under 11 CFR 9008.8. amounts in such account at the time of (3) All private contributions received payment. by the national committee to defray convention expenses shall be subject to § 9008.5 Adjustment of entitlement. all reporting requirements, limitations (a) The entitlements established by and prohibitions of Title 52, United 11 CFR 9008.4 shall be adjusted on the States Code. The convention com- basis of the Consumer Price Index pur- mittee may establish a separate ac- suant to the provisions of 52 U.S.C. count for private contributions or may 30116(c). deposit such contributions with pay- (b) The entitlements established by ments received from the Fund pursuant 11 CFR 9008.4 shall be adjusted so as to paragraph (d) of this section. The ac- not to exceed the difference between count(s) shall be maintained at a State

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bank, federally chartered depository and for the purpose of conducting a institution or other depository institu- presidential nominating convention or tion, the deposits or accounts of which convention-related activities. Such ex- are insured by the Federal Deposit In- penses include, but are not limited to: surance Corporation. (i) Expenses for preparing, maintain- (b) Increase in certified amount. If the ing, and dismantling the physical site application statement is filed before it of the convention, including rental of is possible to determine the cost of liv- the hall, platforms and seating, decora- ing increase for the year preceding the tions, telephones, security, convention convention, that amount determined hall utilities, and other related costs; by the increase shall be paid to the na- (ii) Salaries and expenses of conven- tional committee promptly after the tion committee employees, volunteers increase has been determined. and similar personnel, whose respon- (c) Availability of payments. The na- sibilities involve planning, manage- tional committee of a major or minor ment or otherwise conducting the con- party may receive payments under this vention; section beginning on July 1 of the cal- (iii) Salary or portion of the salary of endar year immediately preceding the any national committee employee for calendar year in which a Presidential any period of time during which, as a nominating convention of the political major responsibility, that employee party involved is held. performs services related to the con- (d) Certification of payment. After a vention; national committee has properly sub- (iv) Expenses of national committee mitted its application statement and employees, volunteers or other similar agreement as required under 11 CFR personnel if those expenses were in- 9008.3(a) (3) and (4), and upon receipt of curred in the performance of services a written request, payment of the com- for the convention in addition to the mittee’s entitlement will be certified services normally rendered to the na- by the Commission to the Secretary of tional committee by such personnel; the Treasury. (v) Expenses for conducting meetings [59 FR 33616, June 29, 1994, as amended at 79 of or related to committees dealing FR 77851, Dec. 29, 2014] with the conduct and operation of the convention, such as rules, credentials, § 9008.7 Use of funds. platform, site, contests, call, arrange- (a) Permissible uses. Any payment ments and permanent organization made under 11 CFR 9008.6 shall be used committees, including printing mate- only for the following purposes: rials and rental costs for meeting (1) Such payment may be used to de- space. fray convention expenses (including (vi) Expenses incurred in securing a the payment of deposits) incurred by or convention city and facility; on behalf of the national committee re- (vii) Expenses incurred in providing a ceiving such payments; or transportation system in the conven- (2) Such payment may be used to tion city for use by delegates and other repay the principal and interest, at a persons attending or otherwise con- commercially reasonable rate, on loans nected with the convention; the proceeds of which were used to de- (viii) Expenses for entertainment ac- fray convention expenses; or tivities which are part of the official (3) Such payment may be used to re- convention activity sponsored by the store funds (including advances from national committee, including but not the national committee to the conven- limited to dinners, concerts, and reception committee), other than contributions; except that expenses for the fol- tions to the committee for the purpose lowing activities are excluded: of defraying convention expenses, (A) Entertainment activities spon- where such funds were used to defray sored by or on behalf of candidates for convention expenses. nomination to the office of President (4) ‘‘Convention expenses’’ include all or Vice President, or State delegations; expenses incurred by or on behalf of a (B) Entertainment activities spon- political party’s national committee or sored by the national committee if the convention committee with respect to purpose of the activity is primarily for

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national committee business, such as the convention committee for the rea- fund-raising events, or selection of new sonably allocated cost of the biographi- national committee officers; cal films or materials used. (C) Entertainment activities spon- (5) Any investment of public funds or sored by persons other than the na- any other use of public funds to gen- tional committee; and erate income is permissible only if the (D) Entertainment activities prohib- income so generated is used to defray ited by law; convention expenses. Such income, less (ix) Expenses for printing convention any tax paid on it, shall be repaid to programs, a journal of proceedings, the United States Treasury as provided agendas, tickets, badges, passes, and under 11 CFR 9008.12(b)(6). other similar publications; (b) Prohibited uses. (1) No part of any (x) Administrative and office ex- payment made under 11 CFR 9008.6 penses for conducting the convention, shall be used to defray the expenses of including stationery, office supplies, any candidate, delegate, or alternate office machines, and telephone charges; delegate who is participating in any but excluded from these expenses are presidential nominating convention ex- the cost of any services supplied by the cept that the expenses of a person par- national committee at its headquarters ticipating in the convention as official or principal office if such services are personnel of the national party may be incidental to the convention and not defrayed with public funds even though utilized primarily for the convention; that person is simultaneously partici- (xi) Payment of the principal and in- pating as a delegate or candidate to the terest, at a commercially reasonable convention. This part shall not pro- rate, on loans the proceeds of which hibit candidates, delegates or alternate were used to defray convention ex- delegates who are participating in a penses; presidential nominating convention (xii) Expenses for monetary bonuses from attending official party conven- paid after the last date of the convention activities including but not lim- tion or gifts for national committee or ited to dinners, concerts and recep- convention committee employees, con- tions, where such activities are paid for sultants, volunteers and convention of- with public funds. ficials in recognition of convention-related activities or services, provided (2) Public funds shall not be used to that: defray any expense the incurring or (A) Gifts for committee employees, payment of which violates any law of consultants, volunteers and convention the United States or any law of the officials in recognition of convention- State in which such expense is incurred related activities or services do not ex- or paid, or any regulation prescribed ceed $150 total per individual and the under federal or State laws. total of all gifts does not exceed $20,000; (3) Public funds shall not be used to and pay civil or criminal penalties required (B) All monetary bonuses paid after or agreed to be paid pursuant to 52 the last date of the convention for U.S.C. 30109. Any amounts received or committee employees and consultants expended by the national committee or in recognition of convention-related convention committee of a political activities or services are provided for party to pay such penalties shall not be pursuant to a written contract made considered contributions or expendi- prior to the date of the convention and tures, except that such amounts shall are paid no later than 30 days after the be reported in accordance with 11 CFR convention; and part 104 and shall be subject to the pro- (xiii) Expenses for producing bio- hibitions of 11 CFR 110.4, 110.19(b)(2), graphical films, or similar materials, and 110.20 and parts 114 and 115. for use at the convention, about can- (c) Lost, misplaced, or stolen items. The didates for nomination or election to cost of lost, misplaced, or stolen items the office of President or Vice Presi- may not be defrayed with public funds dent, but any other political com- under certain circumstances. Factors mittee(s) that use part or all of the bio- considered by the Commission in mak- graphical films or materials shall pay ing this determination shall include,

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but not be limited to, whether the com- graph shall be subject to all reporting mittee demonstrates that it made con- requirements, limitations (except for scientious efforts to safeguard the limitations imposed by paragraphs (a) missing equipment; whether the com- (1) and (2) of this section) and prohibi- mittee sought or obtained insurance on tions of the Federal Election Campaign the items; whether the committee filed Act (52 U.S.C. 30101 et seq.). a police report; the type of equipment (b) Payments not subject to limit—(1) involved; and the number and value of Host committee expenditures. Expendi- items that were lost. tures made by the host committee [59 FR 33616, June 29, 1994, as amended at 64 shall not be considered expenditures by FR 49363, Sept. 13, 1999; 67 FR 78683, Dec. 26, the national committee and shall not 2002; 68 FR 47416, Aug. 8, 2003; 79 FR 77851, count against the expenditure limita- Dec. 29, 2014] tions of this section provided the funds are spent in accordance with 11 CFR § 9008.8 Limitation of expenditures. 9008.52. (a) National party limitations—(1) (2) Expenditures by government agen- Major parties. Except as provided by cies and municipal funds. Expenditures paragraph (a)(3) of this section, the na- made by government agencies and mu- tional committee of a major party may nicipal funds shall not be considered not incur convention expenses with re- expenditures by the national com- spect to a Presidential nominating con- mittee and shall not count against the vention which, in the aggregate, exceed expenditure limitations of this section the amount to which such committee if the funds are spent in accordance is entitled under 11 CFR 9008.4 and with the requirements of 11 CFR 9008.5. 9008.53. (2) Minor parties. Except as provided (3) Expenditures to participate in or at- by paragraph (a)(3) of this section, the tend convention. Expenditures made by national committee of a minor party presidential candidates from campaign may not incur convention expenses accounts, by delegates, or by any other with respect to a Presidential nomi- individual from his or her personal nating convention which, in the aggre- funds for the purpose of attending or gate, exceed the amount to which the participating in the convention or con- national committee of a major party is vention related activities, including, entitled under 11 CFR 9008.4 and 9008.5. but not limited to the costs of trans- (3) Authorization to exceed limitation. portation, lodging and meals, or by The Commission may authorize the na- State or local committees of a political tional committee of a major party or party on behalf of such delegates or in- minor party to make expenditures for dividuals shall not be considered ex- convention expenses, which expendi- penditures made by or on behalf of the tures exceed the limitation established national party, and shall therefore not by paragraph (a) (1) or (2) of this sec- be subject to the overall expenditure tion. This authorization shall be based limitations of this section. upon a determination by the Commis- (4) Legal and accounting services. (i) sion that, due to extraordinary and un- The payment of compensation to an in- foreseen circumstances, the expendi- dividual by his or her regular employer tures are necessary to assure the effec- for legal and accounting services ren- tive operation of the Presidential dered to or on behalf of the national nominating convention by the com- committee shall not be considered an mittee. Examples of ‘‘extraordinary expenditure and shall not count and unforeseen circumstances’’ in- against the expenditure limitations of clude, but are not limited to, a natural this section. disaster or a catastrophic occurrence (ii) The payment by the national at the convention site. In no case, how- committee of compensation to any in- ever, will such authorization entitle a dividual for legal and accounting serv- national committee to receive public ices rendered to or on behalf of the na- funds greater than the entitlement tional committee in connection with specified under 11 CFR 9008.4 and 9008.5. the presidential nominating conven- All private contributions received to tion or convention-related activities defray expenditures under this para- shall not be considered an expenditure

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and shall not count against the expend- (a) Standard reductions or discounts. A iture limitations of this section pro- commercial vendor may provide reduc- vided that: tions or discounts in the ordinary (A) The legal and accounting services course of business. A reduction or dis- relate solely to compliance with the count shall be considered in the ordi- Federal Election Campaign Act (52 nary course of business if the commer- U.S.C. 30101, et seq.) and the Presi- cial vendor has an established practice dential Election Campaign Fund Act of providing the same reductions or (26 U.S.C. Chapter 95); and discounts for the same amount of its (B) The contributions raised to pay goods or services to non-political cli- for the legal and accounting services ents, or if the reduction or discount is comply with the limitations and prohi- consistent with established practice in bitions of 11 CFR parts 110, 114 and 115. the commercial vendor’s trade or in- These contributions, when aggregated dustry. Examples of reductions or dis- with other contributions from the counts made in the ordinary course of same contributor to the political com- business include standard volume dis- mittees established and maintained by counts and reduced rates for corporate, the national political party, shall not governmental or preferred customers. exceed the amounts permitted under 11 Reductions or discounts provided under CFR 110.1(c) and 110.2(c), as applicable. paragraph (a) of this section need not (iii) The convention committee shall be reported. report contributions received to pay (b) Items provided for promotional con- for legal and accounting services on a sideration. (1) A commercial vendor separate Schedule A, and shall report may provide goods or services in ex- payments for legal and accounting change for promotional consideration services on a separate Schedule B, at- provided that doing so is in the ordi- tached to its reports. nary course of business. (5) Computerized information. Pay- (2) The provision of goods or services ments to defray the costs of producing, shall be considered in the ordinary delivering and explaining the comput- course of business under this para- erized information and materials pro- graph: vided pursuant to 11 CFR 9008.10(h), and (i) If the commercial vendor has an explaining the operation of the com- established practice of providing goods puter system’s software, shall not be or services on a similar scale and on considered expenditures and shall not similar terms to non-political clients, count against the expenditure limita- or tions of this section, provided that the (ii) If the terms and conditions under contributions raised to pay these ex- which the goods or services are pro- penses comply with the limitations and vided are consistent with established prohibitions of 11 CFR parts 110, 114 practice in the commercial vendor’s and 115. trade or industry in similar cir- [59 FR 33616, June 29, 1994, as amended at 68 cumstances. FR 47416, Aug. 8, 2003; 79 FR 77851, Dec. 29, (3) In all cases, the value of the goods 2014] or services provided shall not exceed the commercial benefit reasonably ex- § 9008.9 Receipt of goods and services pected to be derived from the unique from commercial vendors. promotional opportunity presented by Commercial vendors may sell, lease, the national nominating convention. rent or provide their goods or services (4) The convention committee shall to the national committee with respect maintain documentation showing: the to a presidential nominating conven- goods or services provided; the date(s) tion at reduced or discounted rates, or on which the goods or services were at no charge, provided that the require- provided, the terms and conditions of ments of either paragraph (a), para- the arrangement; and what pro- graph (b), or paragraph (c) of this sec- motional consideration was provided. tion are met. For purposes of this sec- In addition, the convention committee tion, commercial vendor shall have the shall disclose in its report covering the same meaning as provided in 11 CFR period the goods or services are re- 116.1(c). ceived, in a memo entry, a description

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of the goods or services provided for mittee that states the purpose of the promotional consideration, the name disbursement; and address of the commercial vendor, (3) If neither a receipted bill nor the and the dates on which the goods or supporting documentation specified in services were provided (e.g., ‘‘Generic paragraph (a)(2) (ii) or (iii) of this sec- Motor Co., Detroit, Michigan—ten tion is available, a canceled check ne- automobiles for use 7/15–7/20, received gotiated by the payee that states the on 7/14’’, or ‘‘Workers Inc., New York, purpose of the disbursement. New York—five temporary secretarial (4) Where the supporting documenta- assistants for use 8/1–8/30, received on 8/ tion required above is not available, 1’’). the committee may present a canceled (c) Items of de minimis value. Commer- check and collateral evidence to docu- cial vendors (including banks) may sell ment the convention expense. Such col- at nominal cost, or provide at no lateral evidence may include but is not charge, items of de minimis value, such limited to: as samples, discount coupons, maps, pens, pencils, or other items included (i) Evidence demonstrating that the in tote bags for those attending the disbursement is part of an identifiable convention. The items of de minimis program or project which is otherwise value may be distributed by or with sufficiently documented, such as a dis- the help of persons employed by the bursement which is one of a number of commercial vendor, or employed by or documented disbursements relating to volunteering for the national party or the operation of a committee office; a host committee. The value of the (ii) Evidence that the disbursement is items of de minimis value provided covered by a preestablished written under this paragraph need not be re- committee policy, such as a daily trav- ported. el expense policy. (d) Expenditure Limits. The value of (b) For all other disbursements: goods or services provided pursuant to (1) If from the petty cash fund, a this section will not count toward the record that states the full name and national party’s expenditure limitation mailing address of the payee and the under 11 CFR 9008.8(a). amount, date and purpose of the disbursement; or § 9008.10 Documentation of disburse- (2) A canceled check which has been ments; net outstanding convention expenses. negotiated by the payee and states the identification of the payee, and the In addition to the requirements set amount and date of the disbursement. forth at 11 CFR 102.9(b), the convention (c) For purposes of this section, payee committee must include as part of the means the person who provides the evidence of convention expenses the goods or services to the committee in following documentation: return for the disbursement, except (a) For disbursements in excess of $200 to a payee, either: that an individual will be considered a (1) A receipted bill from the payee payee under this section if he or she re- that states the purpose of the disburse- ceives $2,000 or less advanced for travel ment; or and/or subsistence and if he or she is (2) If such a receipted bill is not the recipient of the goods or services available, the following documents; purchased. (i) A canceled check negotiated by (d) For purposes of this section, the the payee; plus term purpose means the full name and (ii) One of the following documents mailing address of the payee, the date generated by the payee—a bill, invoice, and amount of the disbursement, and a voucher or contemporaneous memo- brief description of the goods or serv- randum that states the purpose of the ices purchased. disbursement; (e) Upon the request of the Commis- (iii) Where the documents specified sion the convention committee shall at paragraph (a)(2)(ii) of this section supply an explanation of the connec- are not available, a voucher or contem- tion between the disbursement and the poraneous memorandum from the com- convention.

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(f) The committee shall retain (ii) The fair market value of capital records with respect to each disburse- assets and other assets on hand; and ment and receipt, including bank (iii) Amounts owed to the committee records, vouchers, worksheets, re- in the form of credits, refunds of depos- ceipts, bills and accounts, journals, its, returns, receivables, or rebates of ledgers, fundraising solicitation mate- convention expenses; or a commer- rial, accounting systems documenta- cially reasonable amount based on the tion, and any related material docu- collectibility of those credits, returns, menting campaign receipts and dis- receivables or rebates. bursements, for a period of three years (3) The amount submitted as the pursuant to 11 CFR 102.9(c), and shall total of outstanding convention obliga- present these records to the Commis- tions under paragraph (g)(1) of this sec- sion on request. tion shall not include any accounts (g) Net outstanding convention ex- payable for non-convention expenses penses. A convention committee that is nor any amounts determined or antici- eligible to receive payments under 11 pated to be required as a repayment CFR 9008.3 shall file, no later than under 11 CFR 9008.12 or any amounts sixty days after the last day of the con- paid to secure a surety bond under 11 vention, a statement of that commit- CFR 9008.14(c). tee’s net outstanding convention ex- (4) Capital assets. For purposes of this penses. The convention committee section, the term capital asset means shall file a revised statement of net any property used in the operation of outstanding convention expenses which the convention whose purchase price shall reflect the financial position of exceeded $2000 when acquired by the the convention committee as of the end of the ninth month following the last committee. Property that must be val- day of the convention. The revised ued as capital assets under this section statement shall be filed no later than includes, but is not limited to, office 30 calendar days after the end of the equipment, furniture, vehicles and fix- ninth month following the last day of tures acquired for use in the operation the convention, and shall be accom- of the convention, but does not include panied by the interim repayment, if re- property defined as ‘‘other assets’’ quired under 11 CFR 9008.12(b)(5)(ii). under 11 CFR 9008.10(g)(5). A list of all The committee’s net outstanding con- capital assets shall be maintained by vention expenses under this section the committee, which shall include a equal the difference between para- brief description of each capital asset, graphs (g) (1) and (2) of this section: the purchase price, the date it was ac- (1) The total of: quired, the method of disposition and (i) All outstanding obligations for the amount received in disposition. convention expenses as of 45 days after The fair market value of capital assets the last day of the convention; plus may be considered to be the total origi- (ii) An estimate of the amount of nal cost of such items when acquired convention expenses that will be in- less 40%, to account for depreciation. If curred after the 45th day and before the the committee wishes to claim a high- end of the ninth month following the er depreciation percentage for an item, last day of the convention; plus it must list that capital asset on the (iii) An estimate of necessary wind- statement separately and demonstrate, ing down costs; less through documentation, the fair mar- (2) The total of: ket value of each such asset. (i) Cash on hand as of 45 days after (5) Other assets. The term other assets the last day of the convention, includ- means any property acquired by the ing: all receipts dated on or before that committee for use in raising funds or date; currency; balances on deposit in as collateral for loans. ‘‘Other assets’’ banks, savings and loan institutions, must be included on the committee’s and other depository institutions; trav- statement of net outstanding conven- eler’s checks; certificates of deposit; tion expenses if the aggregate value of treasury bills; and any other com- such assets exceeds $5000. The value of mittee investments valued at fair mar- ‘‘other assets’’ shall be determined by ket value; the fair market value of each item as

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of 45 days after the last day of the con- computerized magnetic media, such as vention, unless the item is acquired magnetic tapes or magnetic diskettes, after this date, in which case the item containing the computerized informa- shall be valued on the date it is action at the times specified in paragraph quired. A list of other assets shall be (h)(2) of this section: maintained by the committee, which (i) Information required by law to be shall include a brief description of each maintained regarding the committee’s such asset, the fair market value of receipts or disbursements; each asset, the method of disposition (ii) Records used to reconcile bank and the amount received in disposition. statements; (6) Collectibility of accounts receivable. (iii) Records relating to the acquisi- If the committee determines that an tion, use and disposition of capital as- account receivable of $500 or more, in- sets; and cluding any credit, refund, return or (iv) Any other information that may rebate, is not collectible in whole or in be used during the Commission’s audit part, the committee shall demonstrate to review the committee’s receipts, dis- through documentation that the deter- bursements, loans, debts, obligations, mination was commercially reason- or bank reconciliations. able. The documentation shall include (2) Time for Production. If the com- records showing the original amount of mittee maintains or uses computerized the account receivable, copies of cor- information containing any of the data respondence and memoranda of com- listed in paragraph (h)(1) of this sec- munications with the debtor showing tion, the Commission generally will re- attempts to collect the amount due, quest such information prior to com- and an explanation of how the lesser mencement of audit fieldwork. Such amount or full write-off was deter- request will be made in writing. The mined. committee shall produce the computer- (7) Winding down costs. The term ized information no later than 15 cal- winding down costs means: endar days after service of such re- (i) Costs associated with the termi- quest. During or after audit fieldwork, nation of the convention such as com- the Commission may request addi- plying with the post-convention re- tional or updated computerized infor- quirements of the Act and other nec- mation which expands the coverage essary administrative costs associated dates of computerized information pre- with winding down the convention, in- viously provided. During or after audit cluding office space rental, staff sala- fieldwork, the Commission may also ries and office supplies; and request additional computerized infor- (ii) Costs incurred by the convention mation which was created by or be- committee prior to 45 days after the comes available to the committee that last day of the convention for which is of assistance in the Commission’s written arrangements or commitment audit. The committee shall produce the was made on or before that date. additional or updated computerized in- (8) Review of convention committee formation no later than 15 calendar statement. The Commission will review days after service of the Commission’s the statement filed by each convention request. committee under this section. The (3) Organization of computerized infor- Commission may request further information and technical specifications. The mation with respect to statements computerized magnetic media shall be filed pursuant to 11 CFR 9008.10 during prepared and delivered at the commit- the audit of that committee under 11 tee’s expense and shall conform to the CFR 9008.11. technical specifications, including file (h) Production of computer informa- requirements, described in the Federal tion—(1) Categories of computerized infor- Election Commission’s Computerized mation to be provided. If the convention Magnetic Media Requirements for Title committee maintains or uses comput- 26 Candidates/Committees Receiving erized information containing any of Federal Funding. The data contained the categories of data listed in para- in the computerized magnetic media graphs (h)(1)(i) through (h)(1)(iv) of this provided to the Commission shall be section, the committee shall provide organized in the order specified by the

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Computerized Magnetic Media Require- (3) Once the committee receives no- ments. tice of the Commission’s final repay- (4) Additional materials and assistance. ment determination under this section, Upon request, the committee shall the committee should give preference produce documentation explaining the to the repayment over all other out- computer system’s software capabili- standing obligations of the committee, ties, such as user guides, technical except for any federal taxes owed by manuals, formats, layouts and other the committee. materials for processing and analyzing (b) Bases for repayment. The Commis- the information request. Upon request, sion may determine that the national the committee shall also make avail- committee of a political party that has able such personnel as are necessary to received payments from the Fund must explain the operation of the computer repay the United States Treasury system’s software and the computer- under any of the circumstances de- ized information prepared or main- scribed below. tained by the committee. (1) Excess payments. If the Commis- sion determines that any portion of the [59 FR 33616, June 29, 1994, as amended at 68 payments to the national committee or FR 47416, Aug. 8, 2003] convention committee under 11 CFR § 9008.11 Examinations and audits. 9008.6(b) was in excess of the aggregate payments to which the national com- The Commission shall conduct an ex- mittee was entitled under 11 CFR 9008.4 amination and audit of the convention and 9008.5, it shall so notify the na- committee no later than December 31 tional committee, and the national of the calendar year of the convention committee shall pay to the Secretary and may at any time conduct other ex- an amount equal to such portion. aminations and audits as it deems nec- (2) Excessive expenditures. If the Com- essary. The Commission will follow the mission determines that the national same procedures during the audit, and committee or convention committee will afford the committee the same incurred convention expenses in excess right to respond, as are provided for of the limitations under 11 CFR audits of publicly funded candidates 9008.8(a), it shall notify the national under 11 CFR 9007.1 and 9038.1. committee of the amount of such excessive expenditures, and the national § 9008.12 Repayments. committee shall pay to the Secretary (a) General. (1) A national committee an amount equal to the amount speci- that has received payments from the fied. Fund under 11 CFR part 9008 shall pay (3) Excessive contributions. If the Com- the United States Treasury any mission determines that the national amounts which the Commission deter- committee accepted contributions to mines to be repayable under this sec- defray convention expenses which, tion. In making repayment determina- when added to the amount of payments tions under this section, the Commis- received, exceeds the expenditure limi- sion may utilize information obtained tation of such party, it shall notify the from audits and examinations con- national committee of the amount of ducted pursuant to 11 CFR 9008.11 or the contributions so accepted, and the otherwise obtained by the Commission national committee shall pay to the in carrying out its responsibilities Secretary an amount equal to the under this subchapter. amount specified. (2) The Commission will notify the (4) Improper usage or documentation. If committee of any repayment deter- the Commission determines that any minations made under this section as amount of any payment to the national soon as possible, but not later than 3 committee or convention committee years after the last day of the Presi- under 11 CFR 9008.6(b) was used for any dential nominating convention. The purposes other than the purposes au- Commission’s issuance of an audit re- thorized at 11 CFR 9008.7 or was not port to the committee will constitute documented in accordance with 11 CFR notification for purposes of the three 9008.10, it shall notify the national year period. committee of the amount improperly

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used or documented and the national ment agency or municipal fund that is committee shall pay to the Secretary not in accordance with 11 CFR 9008.52 an amount equal to the amount speci- or 9008.53, or the acceptance of a con- fied. tribution by the host committee or (5) Unspent funds. (i) If any portion of government agency or municipal fund the payment under 11 CFR 9008.4 re- from an impermissible source. mains unspent after all convention ex- (c) Repayment determination proce- penses have been paid, that portion dures. The Commission will follow the shall be returned to the Secretary of same repayment determination proce- the Treasury. dures, and the committee has the same (ii) The national committee or con- rights and obligations as are provided vention committee shall make an infor repayment determinations involv- terim repayment of unspent funds ing publicly funded candidates under 11 based on the financial position of the CFR 9007.2 (c) through (h). committee as of the end of the ninth month following the last day of the [59 FR 33616, June 29, 1994, as amended at 60 convention, allowing for a reasonable FR 31880, June 16, 1995; 68 FR 47417, Aug. 8, amount as determined by the Commis- 2003] sion to be withheld for unanticipated contingencies. The interim repayment § 9008.13 Additional audits. shall be made no later than 30 calendar In accordance with 11 CFR 104.16(c), days after the end of the ninth month the Commission, pursuant to 11 CFR following the last day of the conven- 111.10, may upon affirmative vote of tion. If, after written request by the four members conduct an audit and national committee or convention field investigation of any committee in committee, the Commission deter- any case in which the Commission mines, upon review of evidence pre- finds reason to believe that a violation sented by either committee, that of a statute or regulation over which amounts previously refunded are need- the Commission has jurisdiction has ed to defray convention expenses, the occurred or is about to occur. Commission shall certify such amount for payment. § 9008.14 Petitions for rehearing; stays (iii) All unspent funds shall be repaid of repayment determinations. to the U.S. Treasury no later than 24 months after the last day of the con- Petitions for rehearing following the vention, unless the national committee Commission’s repayment determina- has been granted an extension of time. tion and requests for stays of repay- The Commission may grant any exten- ment determinations will be governed sion of time it deems appropriate upon by the procedures set forth at 11 CFR request of the national committee. 9007.5 and 9038.5. The Commission will (6) Income on investments of payments afford convention committees the same from the Fund. If the Commission deter- rights as are provided to publicly fund- mines that the national committee or ed candidates under 11 CFR 9007.5 and the convention committee received any 9038.5. income as a result of investment or [64 FR 49363, Sept. 13, 1999] other use of payments from the Fund pursuant to 11 CFR 9008.7(a)(5), it shall § 9008.15 Extensions of time. so notify the committee and the committee shall pay to the United States (a) It is the policy of the Commission Treasury an amount equal to the that extensions of time under 11 CFR amount determined to be income, less part 9008 will not be routinely granted. any Federal, State or local taxes on (b) Whenever a committee has a right such income. or is required to take action within a (7) The Commission may seek repay- period of time prescribed by 11 CFR ment, or may initiate an enforcement part 9008 or by notice given thereunder, action, if the convention committee the committee may apply in writing to knowingly helps, assists or participates the Commission for an extension of in the making of a convention expendi- time in which to exercise such right or ture by the host committee, govern- take such action. The committee shall

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demonstrate in the application for ex- not be reported by any city, committee tension that good cause exists for its or other organization. Subpart B also request. describes permissible sources of funds (c) An application for extension of and other permissible donations to time shall be made at least 7 calendar host committees and municipal funds. days prior to the expiration of the time In addition, subpart B describes per- period for which the extension is missible disbursements by host com- sought. The Commission may, upon a mittees and municipal funds to defray showing of good cause, grant an exten- convention expenses and to promote sion of time to a committee that has the convention city and its commerce. applied for such extension in a timely (b) Definition of host committee. A host manner. The length of time of any ex- committee is any local organization, tension granted hereunder shall be de- such as a local civic association, busi- cided by the Commission and may be ness league, chamber of commerce, real less than the amount of time sought by estate board, board of trade, or conven- the committee in its application. (d) If a committee fails to seek an ex- tion bureau, that satisfies all of the tension of time, exercise a right or following conditions: take a required action prior to the ex- (1) It is not organized for profit; piration of a time period prescribed by (2) Its net earnings do not inure to 11 CFR part 9008, the Commission may, the benefit of any private shareholder on the committee’s showing of excus- or individual; and able neglect: (3) Its principal purpose is the en- (1) Permit such committee to exer- couragement of commerce in the concise its right(s), or take such required vention city, as well as the projection action(s) after the expiration of the of a favorable image of the city to con- prescribed time period; and vention attendees. (2) Take into consideration any infor- (c) Definition of municipal fund. A mu- mation obtained in connection with nicipal fund is any fund or account of a the exercise of any such right or taking government agency, municipality, or of any such action before making deci- municipal corporation whose principal sions or determinations under 11 CFR purpose is the encouragement of com- part 9008. merce in the municipality and whose receipt and use of funds is subject to § 9008.16 Stale-dated committee checks. the control of officials of the State or local government. If the committee has checks outstanding that have not been cashed, [68 FR 47417, Aug. 8, 2003] the committee shall notify the Com- mission. The committee shall inform § 9008.51 Registration and reports. the Commission of its efforts to locate (a) Registration by host committees and the payees, if such efforts have been municipal funds. (1) Each host com- necessary, and its efforts to encourage mittee and municipal fund shall reg- the payees to cash the outstanding ister with the Commission by filing a checks. The committee shall also sub- Statement of Organization on FEC Form mit a check for the total amount of 1 within 10 days of the date on which such outstanding checks, payable to such party chooses the convention the United States Treasury. city, or within 10 days after the formation of the host committee or munic- Subpart B—Host Committees and ipal fund, whichever is later. In addi- Municipal Funds Representing tion to the information already re- a Convention City quired to be provided on FEC Form 1, the following information shall be dis- § 9008.50 Scope and definitions. closed by the registering entity on FEC (a) Scope. This subpart B governs reg- Form 1: The name and address; the istration and reporting by host com- name and address of its officers; and a mittees and municipal funds rep- list of the activities that the reg- resenting convention cities. Unsuccess- istering entity plans to undertake in ful efforts to attract a convention need connection with the convention.

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(2) Any such committee, organization (3) Such host committee or munic- or group which is unsuccessful in its ef- ipal fund shall file a final report with forts to attract the convention to a the Commission not later than 10 days city need not register under this sec- after it ceases activity that must be re- tion. ported under this section, unless such (3) Each host committee and munic- status is reflected in either the post- ipal fund required to register with the convention report or a quarterly re- Commission under paragraph (a) of this port. section, shall submit to the Commis- (c) Post-convention statements by State sion a copy of any and all written con- and local government agencies. Each gov- tracts or agreements that it has en- ernment agency of a State, munici- tered into with the city, county, or pality, or other political subdivision State hosting the convention, a host that provides facilities or services re- committee, a municipal fund, or a con- lated to a Presidential nominating convention committee, including subse- vention shall file, by letter, a state- quent written modifications to pre- ment with the Commission reporting vious contracts or agreements, unless the total amount spent to provide fa- such contracts, agreements or modi- cilities and services for the convention fications have already been submitted under 11 CFR 9008.52(b), a list of the to the Commission by the convention categories of facilities and services the committee. Each such contract or government agency provided for the agreement or modification shall be convention, the total amount spent for filed with the first report due under each category of facilities and services paragraph (b) of this section after the provided, and the total amount de- contract or agreement or modification frayed from general revenues. This is executed. statement shall be filed on the earlier (b) Post-convention and quarterly re- of: 60 days following the last day the ports by host committees and municipal convention is officially in session; or 20 funds; content and time of filing. (1) Each days prior to the presidential general host committee or municipal fund re- election. Categories of facilities and quired to register with the Commission services may include construction, se- pursuant to paragraph (a) of this sec- curity, communications, transpor- tion shall file a post convention report tation, utilities, clean up, meeting on FEC Form 4. The report shall be rooms and accommodations. This para- filed on the earlier of: 60 days following graph (c) does not apply to any activi- the last day the convention is officially ties of a State or local government in session; or 20 days prior to the presi- agency through a municipal fund that dential general election. This report are reported pursuant to paragraph (b) shall be complete as of 15 days prior to of this section. the date on which the report must be [59 FR 33616, June 29, 1994, as amended at 68 filed and shall disclose all the informa- FR 47417, Aug. 8, 2003] tion required by 11 CFR part 104 with respect to all activities related to a § 9008.52 Receipts and disbursements presidential nominating convention. of host committees. (2) If such host committee or munic- (a) Receipt of goods or services from ipal fund has receipts or makes dis- commercial vendors. Host committees bursements after the completion date may accept goods or services from of the post convention report, it shall commercial vendors under the same begin to file quarterly reports no later terms and conditions (including report- than 15 days after the end of the fol- ing requirements) set forth at 11 CFR lowing calendar quarter. This report 9008.9 for convention committees. shall disclose all transactions com- (b) Receipt of donations from busi- pleted as of the close of that calendar nesses, organizations, and individuals. quarter. Quarterly reports shall be Businesses (including banks), labor or- filed thereafter until the host com- ganizations, and other organizations or mittee or municipal fund ceases all ac- individuals may donate funds or make tivity that must be reported under this in-kind donations to a host committee section. to be used for the following purposes:

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(1) To defray those expenses incurred quirements) set forth at 11 CFR 9008.9 for the purpose of promoting the suit- for convention committees. ability of the city as a convention site; (b) Receipt and use of donations to a (2) To defray those expenses incurred municipal fund. Businesses (including for welcoming the convention banks), labor organizations, and other attendees to the city, such as expenses organizations and individuals may do- for information booths, receptions, and nate funds or make in-kind donations tours; to a municipal fund to pay for expenses (3) To defray those expenses incurred listed in 11 CFR 9008.52(b). in facilitating commerce, such as pro- [68 FR 47418, Aug. 8, 2003] viding the convention and attendees with shopping and entertainment § 9008.54 Examinations and audits. guides and distributing the samples and promotional material specified in The Commission shall conduct an ex- 11 CFR 9008.9(c); amination and audit of each host com- (4) To defray the administrative ex- mittee registered under 11 CFR 9008.51. penses incurred by the host committee, The Commission will follow the same such as salaries, rent, travel, and li- procedures during the audit, and will ability insurance; afford the committee the same right to (5) To provide the national com- respond, as are provided for audits of mittee use of an auditorium or conven- publicly funded candidates under 11 CFR 9007.1 and 9038.1, except that the tion center and to provide construction Commission will not make any repay- and convention related services for ment calculations under this section. that location such as: construction of podiums; press tables; false floors; § 9008.55 Funding for convention com- camera platforms; additional seating; mittees, host committees and mu- lighting, electrical, air conditioning nicipal funds. and loudspeaker systems; offices; office (a) Convention committees, including equipment; and decorations; any established pursuant to 11 CFR (6) To defray the costs of various 9008.3(a)(2), are subject to 11 CFR 300.10, local transportation services, including except that convention committees the provision of buses and automobiles; may accept in-kind donations from (7) To defray the costs of law enforce- host committees and municipal funds ment services necessary to assure or- provided that the in-kind donations are derly conventions; in accordance with the requirements of (8) To defray the cost of using con- 11 CFR 9008.52 and 9008.53. vention bureau personnel to provide (b) Host committees and municipal central housing and reservation serv- funds are not ‘‘agents’’ of national ices; committees of political parties or con- (9) To provide hotel rooms at no vention committees, unless they sat- charge or a reduced rate on the basis of isfy the prerequisites of 11 CFR the number of rooms actually booked 300.2(b)(1). for the convention; (c) Host committees and municipal (10) To provide accommodations and funds are not ‘‘directly or indirectly es- hospitality for committees of the par- tablished, financed, maintained, or ties responsible for choosing the sites controlled’’ by national committees of of the conventions; and political parties or convention commit- (11) To provide other similar conven- tees, unless they satisfy the pre- tion-related facilities and services. requisites of 11 CFR 300.2(c). [68 FR 47418, Aug. 8, 2003] (d) In accordance with 52 U.S.C. 30125(e)(4)(A), a person described in 11 § 9008.53 Receipts and disbursements CFR 300.60 may make a general solici- of municipal funds. tation of funds, without regard to (a) Receipt of goods and services pro- source or amount limitation, for or on vided by commercial vendors. Municipal behalf of any host committee or mu- funds may accept goods or services nicipal fund that is described in 26 from commercial vendors for conven- U.S.C. 501(c) and exempt from taxation tion uses under the same terms and under 26 U.S.C. 501(a) (or has submitted conditions (including reporting re- an application for determination of tax

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exempt status under such section) cept to the extent necessary to make where such solicitation does not speci- up any deficiency in payments received fy how the funds will or should be from the Fund due to the application of spent. 11 CFR 9005.2(b), or to defray expenses [68 FR 47418, Aug. 8, 2003, as amended at 79 which would be qualified campaign ex- FR 77851, Dec. 29, 2014] penses but for 11 CFR 9002.11(a)(3). (b) It shall be unlawful for an eligible PARTS 9009–9011 [RESERVED] candidate of a political party (other than a major party) in a Presidential PART 9012—UNAUTHORIZED EX- election or any of his or her authorized PENDITURES AND CONTRIBU- committees knowingly and willfully to TIONS accept and expend or retain contributions to defray qualified campaign ex- Sec. penses in an amount which exceeds the 9012.1 Excessive expenses. qualified campaign expenses incurred 9012.2 Unauthorized acceptance of contribu- in that election by that eligible can- tions. didate or his or her authorized com- 9012.3 Unlawful use of payments received mittee(s). from the Fund. 9012.4 Unlawful misrepresentations and falsification of statements, records or other § 9012.3 Unlawful use of payments re- evidence to the Commission; refusal to ceived from the Fund. furnish books and records. (a) It shall be unlawful for any person 9012.5 Kickbacks and illegal payments. who receives any payment under 11 AUTHORITY: 26 U.S.C. 9012. CFR part 9005, or to whom any portion SOURCE: 56 FR 35928, July 29, 1991, unless of any payment so received is trans- otherwise noted. ferred, knowingly and willfully to use, or authorize the use of, such payment § 9012.1 Excessive expenses. or any portion thereof for any purpose (a) It shall be unlawful for an eligible other than— candidate of a political party for Presi- (1) To defray the qualified campaign dent and Vice President in a Presi- expenses with respect to which such dential election or the candidate’s au- payment was made; or thorized committee(s) knowingly and (2) To repay loans the proceeds of willfully to incur qualified campaign which were used, or otherwise to re- expenses in excess of the aggregate store funds (other than contributions payments to which the eligible can- to defray qualified campaign expenses didates of a major party are entitled which were received and expended) under 11 CFR part 9004 with respect to which were used, to defray such quali- such election. fied campaign expenses. (b) It shall be unlawful for the national committee of a major or minor (b) It shall be unlawful for the na- party knowingly and willfully to incur tional committee of a major or minor expenses with respect to a presidential party which receives any payment nominating convention in excess of the under 11 CFR part 9008 to use, or au- expenditure limitation applicable with thorize the use of, such payment for respect to such committee under 11 any purpose other than a purpose au- CFR part 9008, unless the incurring of thorized by 11 CFR 9008.6. such expenses is authorized by the Commission under 11 CFR 9008.7(a)(3). § 9012.4 Unlawful misrepresentations and falsification of statements, § 9012.2 Unauthorized acceptance of records or other evidence to the contributions. Commission; refusal to furnish books and records. (a) It shall be unlawful for an eligible candidate of a major party in a Presi- It shall be unlawful for any person dential election or any of his or her au- knowingly and willfully— thorized committees knowingly and (a) To furnish any false, fictitious, or willfully to accept any contribution to fraudulent evidence, books or informa- defray qualified campaign expenses, ex- tion to the Commission under 11 CFR

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parts 9001-9008, or to include in any evi- § 9012.5 Kickbacks and illegal pay- dence, books or information so fur- ments. nished any misrepresentation of a ma- (a) It shall be unlawful for any person terial fact, or to falsify or conceal any knowingly and willfully to give or ac- evidence, books or information rel- cept any kickback or any illegal pay- evant to a certification by the Com- ment in connection with any qualified mission or any examination and audit campaign expenses of any eligible can- by the Commission under 11 CFR parts didate or his or her authorized com- 9001 et seq.; or mittee(s). (b) To fail to furnish to the Commis- (b) It shall be unlawful for the na- sion any records, books or information tional committee of a major or minor requested by the Commission for pur- party knowingly and willfully to give poses of 11 CFR parts 9001 et seq. or accept any kickback or any illegal payment in connection with any expense incurred by such committee with respect to a Presidential nominating convention.

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PART 9031—SCOPE didate to solicit or receive contributions or to incur expenditures on behalf of the candidate. The term authorized AUTHORITY: 26 U.S.C. 9031 and 9039(b). committee includes the candidate’s prin- § 9031.1 Scope. cipal campaign committee designated in accordance with 11 CFR 102.12, any This subchapter governs entitlement political committee authorized in writ- to and use of funds certified from the ing by the candidate in accordance Presidential Primary Matching Pay- with 11 CFR 102.13, and any political ment Account under 26 U.S.C. 9031 et committee not disavowed by the can- seq. The definitions, restrictions, liabil- didate in writing pursuant to 11 CFR ities and obligations imposed by this 100.3(a)(3). subchapter are in addition to those im- (b) Any withdrawal of an authoriza- posed by sections 30101–30145 of Title 52, tion shall be in writing and shall be ad- United States Code, and regulations dressed and filed in the same manner prescribed thereunder (11 CFR part 100 provided for at 11 CFR 102.12 or 102.13. through 300). Unless expressly stated to the contrary, this subchapter does not (c) For the purposes of this sub- alter the effect of any definitions, re- chapter, references to the ‘‘candidate’’ strictions, obligations and liabilities and his or her responsibilities under imposed by sections 30101–30145 of Title this subchapter shall also be deemed to 52, United States Code, or regulations refer to the candidate’s authorized prescribed thereunder (11 CFR parts 100 committee(s). through 300). (d) An expenditure by an authorized committee on behalf of the candidate [56 FR 35929, July 29, 1991, as amended at 68 who authorized the committee cannot FR 47418, Aug. 8, 2003; 68 FR 66699, Nov. 28, qualify as an independent expenditure. 2003; 73 FR 79602, Dec. 30, 2008; 79 FR 77851, Dec. 29, 2014] (e) A delegate committee, as defined in 11 CFR 100.5(e)(5), is not an author- PART 9032—DEFINITIONS ized committee of a candidate unless it also meets the requirements of 11 CFR Sec. 9032.1(a). Expenditures by delegate 9032.1 Authorized committee. committees on behalf of a candidate 9032.2 Candidate. may count against that candidate’s ex- 9032.3 Commission. penditure limitation under the cir- 9032.4 Contribution. cumstances set forth in 11 CFR 110.14. 9032.5 Matching payment account. 9032.6 Matching payment period. § 9032.2 Candidate. 9032.7 Primary election. 9032.8 Political committee. Candidate means an individual who 9032.9 Qualified campaign expense. seeks nomination for election to the 9032.10 Secretary. office of President of the United 9032.11 State. States. An individual is considered to AUTHORITY: 26 U.S.C. 9032 and 9039(b). seek nomination for election if he or SOURCE: 56 FR 35929, July 29, 1991, unless she— otherwise noted. (a) Takes the action necessary under the law of a State to qualify for a cau- § 9032.1 Authorized committee. cus, convention, primary election or (a) Notwithstanding the definition at run-off election; 11 CFR 100.5, authorized committee (b) Receives contributions or incurs means with respect to candidates (as qualified campaign expenses; defined at 11 CFR 9032.2) seeking the (c) Gives consent to any other person nomination of a political party for the to receive contributions or to incur office of President, any political com- qualified campaign expenses on his or mittee that is authorized by a can- her behalf; or

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(d) Receives written notification (1) For the selection of delegates to a from the Commission that any other national nominating convention of a person is receiving contributions or political party; making expenditures on the individ- (2) For the expression of a preference ual’s behalf and fails to disavow that for the nomination of Presidential can- activity by letter to the Commission didates; within 30 calendar days after receipt of (3) For the purposes stated in both notification. paragraphs (a) (1) and (2) of this section; or § 9032.3 Commission. (4) To nominate a Presidential can- Commission means the Federal Elec- didate. tion Commission, 999 E Street NW., (b) If separate primary elections are Washington, DC 20463. held in a State by the State and a political party, the primary election for § 9032.4 Contribution. the purposes of this subchapter will be For purposes of this subchapter, con- the election held by the political party. tribution has the same meaning given the term under 52 U.S.C. 30101(8)(A) and § 9032.8 Political committee. 11 CFR part 100, subparts B and C, ex- Political committee means any com- cept as provided at 11 CFR 9034.4(b)(4). mittee, club, association, organization [56 FR 35929, July 29, 1991, as amended at 67 or other group of persons (whether or FR 78683, Dec. 26, 2002; 79 FR 77851, Dec. 29, not incorporated) which accepts con- 2014] tributions or incurs qualified campaign expenses for the purpose of influencing, § 9032.5 Matching payment account. or attempting to influence, the nomi- Matching payment account means the nation of any individual for election to Presidential Primary Matching Pay- the office of President of the United ment Account established by the Sec- States. retary of the Treasury under 26 U.S.C. 9037(a). § 9032.9 Qualified campaign expense. (a) Qualified campaign expense means § 9032.6 Matching payment period. a purchase, payment, distribution, Matching payment period means the loan, advance, deposit, or gift of money period beginning January 1 of the cal- or anything of value— endar year in which a Presidential gen- (1) Incurred by or on behalf of a can- eral election is held and may not ex- didate or his or her authorized commit- ceed one of the following dates: tees from the date the individual be- (a) For a candidate seeking the nomi- comes a candidate through the last day nation of a party which nominates its of the candidate’s eligibility as deter- Presidential candidate at a national mined under 11 CFR 9033.5; convention, the date on which the (2) Made in connection with his or party nominates its candidate. her campaign for nomination; and (b) For a candidate seeking the nomi- (3) Neither the incurrence nor pay- nation of a party which does not make ment of which constitutes a violation its nomination at a national conven- of any law of the United States or of tion, the earlier of— any law of any State in which the ex- (1) The date the party nominates its pense is incurred or paid, or of any reg- Presidential candidate, or ulation prescribed under such law of (2) The last day of the last national the United States or of any State, ex- convention held by a major party in cept that any State law which has been the calendar year. preempted by the Federal Election Campaign Act of 1971, as amended, will § 9032.7 Primary election. not be considered a State law for pur- (a) Primary election means an election poses of this subchapter. held by a State or a political party, in- (b) An expenditure is made on behalf cluding a run-off election, or a nomi- of a candidate, including a Vice Presi- nating convention or a caucus— dential candidate, if it is made by—

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(1) An authorized committee or any 9033.11 Documentation of disbursements. other agent of the candidate for pur- 9033.12 Production of computerized informa- poses of making an expenditure; tion. (2) Any person authorized or re- AUTHORITY: 26 U.S.C. 9003(e), 9033 and quested by the candidate, an author- 9039(b). ized committee of the candidate, or an agent of the candidate to make the ex- SOURCE: 56 FR 35930, July 29, 1991, unless otherwise noted. penditure; or (3) A committee which has been re- § 9033.1 Candidate and committee quested by the candidate, by an au- agreements. thorized committee of the candidate, or by an agent of the candidate to (a) General. (1) A candidate seeking to make the expenditure, even though become eligible to receive Presidential such committee is not authorized in primary matching fund payments shall writing. agree in a letter signed by the can- (c) Except as provided in 11 CFR didate to the Commission that the can- 9034.4(e), expenditures incurred either didate and the candidate’s authorized prior to the date the individual be- committee(s) will comply with the con- comes a candidate or after the last day ditions set forth in 11 CFR 9033.1(b). of a candidate’s eligibility will be con- The candidate may submit the letter sidered qualified campaign expenses if containing the agreements required by they meet the provisions of 11 CFR this section at any time after January 9034.4(a). Expenditures described under 1 of the year immediately preceding 11 CFR 9034.4(b) will not be considered the Presidential election year. qualified campaign expenses. (2) The Commission will not consider a candidate’s threshold submission [56 FR 35929, July 29, 1991, as amended at 60 until the candidate has submitted a FR 31880, June 16, 1995; 68 FR 47418, Aug. 8, candidate agreement that meets the re- 2003] quirements of this section. § 9032.10 Secretary. (b) Conditions. The candidate shall For purposes of this subchapter, Sec- agree that: retary means the Secretary of the (1) The candidate has the burden of Treasury. proving that disbursements by the candidate or any authorized committee(s) § 9032.11 State. or agents thereof are qualified cam- State means each State of the United paign expenses as defined at 11 CFR States, Puerto Rico, American Samoa, 9032.9. the Virgin Islands, the District of Co- (2) The candidate and the candidate’s lumbia, and Guam. authorized committee(s) will comply with the documentation requirements [64 FR 49363, Sept. 13, 1999] set forth in 11 CFR 9033.11. (3) The candidate and the candidate’s PART 9033—ELIGIBILITY FOR authorized committee(s) will provide PAYMENTS an explanation, in addition to complying with the documentation require- Sec. ments, of the connection between any 9033.1 Candidate and committee agree- disbursements made by the candidate ments. or authorized committee(s) of the can- 9033.2 Candidate and committee certifi- didate and the campaign if requested cations; threshold submission. 9033.3 Expenditure limitation certification. by the Commission. 9033.4 Matching payment eligibility thresh- (4) The candidate and the candidate’s old requirements. authorized committee(s) will keep and 9033.5 Determination of ineligibility date. furnish to the Commission all docu- 9033.6 Determination of inactive candidacy. mentation for matching fund submis- 9033.7 Determination of active candidacy. sions, any books, records (including 9033.8 Reestablishment of eligibility. 9033.9 Failure to comply with disclosure re- bank records for all accounts), and sup- quirements or expenditure limitations. porting documentation and other infor- 9033.10 Procedures for initial and final de- mation that the Commission may re- terminations. quest.

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(5) The candidate and the candidate’s be repaid under 11 CFR parts 9038 and authorized committee(s) will keep and 9039. furnish to the Commission all docu- (8) The candidate and the candidate’s mentation relating to disbursements authorized committee(s) will submit and receipts including any books, the name and mailing address of the records (including bank records for all person who is entitled to receive accounts), all documentation required matching fund payments on behalf of by this section (including those re- the candidate and the name and ad- quired to be maintained under 11 CFR dress of the campaign depository des- 9033.11), and other information that the ignated by the candidate as required by Commission may request. If the can- 11 CFR part 103 and 11 CFR 9037.3. didate or the candidate’s authorized Changes in the information required by committee maintains or uses computerized information containing any of this paragraph shall not be effective the categories of data listed in 11 CFR until submitted to the Commission in a 9033.12(a), the committee will provide letter signed by the candidate or the computerized magnetic media, such as Committee treasurer. magnetic tapes or magnetic diskettes, (9) The candidate and the candidate’s containing the computerized informa- authorized committee(s) will prepare tion at the times specified in 11 CFR matching fund submissions in accord- 9038.1(b)(1) that meet the requirements ance with the Federal Election Com- of 11 CFR 9033.12(b). Upon request, doc- mission’s Guideline for Presentation in umentation explaining the computer Good Order. system’s software capabilities shall be (10) The candidate and the can- provided, and such personnel as are didate’s authorized committee(s) will necessary to explain the operation of comply with the applicable require- the computer system’s software and ments of 52 U.S.C. 30101 et seq.; 26 the computerized information prepared U.S.C. 9031 et seq. and the Commission’s or maintained by the committee shall regulations at 11 CFR parts 100–300, and be made available. 9031–9039. (6) The candidate and the candidate’s (11) The candidate and the can- authorized committee(s) will obtain didate’s authorized committee(s) will and furnish to the Commission upon repay any civil penalties included in a quest all documentation relating to funds received and disbursements made conciliation agreement or otherwise on the candidate’s behalf by other po- imposed under 52 U.S.C. 30109 against litical committees and organizations the candidate, any authorized commit- associated with the candidate. tees of the candidate or any agent (7) The candidate and the candidate’s thereof. authorized committee(s) will permit an (12) Any television commercial pre- audit and examination pursuant to 11 pared or distributed by the candidate CFR part 9038 of all receipts and dis- or the candidate’s authorized com- bursements including those made by mittee(s) will be prepared in a manner the candidate, all authorized com- which ensures that the commercial mittee(s) and any agent or person au- contains or is accompanied by closed thorized to make expenditures on be- captioning of the oral content of the half of the candidate or committee(s). commercial to be broadcast in line 21 The candidate and the candidate’s au- of the vertical blanking interval, or is thorized committee(s) shall also pro- capable of being viewed by deaf and vide any material required in connec- hearing impaired individuals via any tion with an audit, investigation, or comparable successor technology to examination conducted pursuant to 11 line 21 of the vertical blanking inter- CFR part 9039. The candidate and au- val. thorized committee(s) shall facilitate the audit by making available in one [56 FR 35930, July 29, 1991, as amended at 60 central location, office space, records FR 31880, June 16, 1995; 63 FR 45680, Aug. 27, and such personnel as are necessary to 1998, 65 FR 38424, June 21, 2000; 68 FR 47418, conduct the audit and examination, Aug. 8, 2003; 73 FR 79602, Dec. 30, 2008; 79 FR and shall pay any amounts required to 77851, Dec. 29, 2014]

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§ 9033.2 Candidate and committee cer- (iii) A maximum of $250 of each indi- tifications; threshold submission. vidual’s aggregate contributions will (a) General. (1) A candidate seeking to be considered as matchable contribu- become eligible to receive Presidential tions for the purpose of meeting the thresholds of this section. primary matching fund payments shall make the certifications set forth in 11 (iv) For purposes of this section, con- CFR 9033.2(b) to the Commission in a tributions of an individual who main- written statement signed by the can- tains residences in more than one didate. The candidate may submit the State may only be counted toward the letter containing the required certifi- $5,000 threshold for the State from cations at any time after January 1 of which the earliest contribution was the year immediately preceding the made by that contributor. Presidential election year. (c) Threshold submission. To become (2) The Commission will not consider eligible to receive matching payments, a candidate’s threshold submission the candidate shall submit documenta- until the candidate has submitted can- tion of the contributions described in didate certifications that meet the re- 11 CFR 9033.2(b)(3) to the Commission quirements of this section. for review. The submission shall follow the format and requirements of 11 CFR (b) Certifications. (1) The candidate 9036.1. shall certify that he or she is seeking nomination by a political party to the [56 FR 35930, July 29, 1991, 79 FR 77851, Dec. Office of President in more than one 29, 2014] State. For purposes of this section, in order for a candidate to be deemed to § 9033.3 Expenditure limitation certifi- be seeking nomination by a political cation. party to the office of President, the (a) If the Commission makes an ini- party whose nomination the candidate tial determination that a candidate or seeks must have a procedure for hold- the candidate’s authorized coming a primary election, as defined in 11 mittee(s) have knowingly and substan- CFR 9032.7, for nomination to that of- tially exceeded the expenditure limita- fice. For purposes of this section, the tions at 11 CFR part 9035 prior to that term political party means an associa- candidate’s application for certifi- tion, committee or organization which cation, the Commission may make an nominates an individual for election to initial determination that the can- the office of President. The fact that didate is ineligible to receive matching an association, committee or organiza- funds. tion qualifies as a political party under (b) The Commission will notify the this section does not affect the party’s candidate of its initial determination, status as a national political party for in accordance with the procedures out- purposes of 52 U.S.C. 30116(a)(1)(B) and lined in 11 CFR 9033.10(b). The can- 30116(a)(2)(B). didate may submit, within 20 calendar (2) The candidate and the candidate’s days after service of the Commission’s authorized committee(s) shall certify notice, written legal or factual mate- that they have not incurred and will rials, in accordance with 11 CFR not incur expenditures in connection 9033.10(b), demonstrating that he or she with the candidate’s campaign for has not knowingly and substantially nomination, which expenditures are in exceeded the expenditure limitations excess of the limitations under 11 CFR at 11 CFR part 9035. part 9035. (c) A final determination of the can- (3) The candidate and the candidate’s didate’s ineligibility will be made by authorized committee(s) shall certify: the Commission in accordance with the (i) That they have received match- procedures outlined in 11 CFR able contributions totaling more than 9033.10(c). $5,000 in each of at least 20 States; and (d) A candidate who receives a final (ii) That the matchable contributions determination of ineligibility under 11 are from individuals who are residents CFR 9033.3(c) shall be ineligible to re- of the State for which their contribu- ceive matching fund payments under 11 tions are submitted. CFR 9034.1.

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§ 9033.4 Matching payment eligibility actively conducting campaigns in more threshold requirements. than one State; or (a) The Commission will examine the (2) The date the candidate notifies submission made under 11 CFR 9033.1 the Commission by letter that he or and 9033.2 and either— she is not actively conducting cam- (1) Make a determination that the paigns in more than one State; or candidate has satisfied the minimum (3) The date which the Commission contribution threshold requirements determines under 11 CFR 9033.6 to be under 11 CFR 9033.2(c); or the date that the candidate is not ac- (2) Make an initial determination tively seeking election in more than that the candidate has failed to satisfy one State. the matching payment threshold re- (b) Insufficient votes. The ineligibility quirements. The Commission will no- date shall be the 30th day following the tify the candidate of its initial deter- date of the second consecutive primary mination in accordance with the proce- election in which such individual re- dures outlined in 11 CFR 9033.10(b). The ceives less than 10 percent of the num- candidate may, within 30 calendar days ber of popular votes cast for all can- after service of the Commission’s no- didates of the same party for the same tice, satisfy the threshold require- office in that primary election, if the ments or submit in accordance with 11 candidate permitted or authorized his CFR 9033.10(b) written legal or factual or her name to appear on the ballot, materials to demonstrate that he or unless the candidate certifies to the she has satisfied those requirements. A Commission at least 25 business days final determination by the Commission prior to the primary that he or she will that the candidate has failed to satisfy not be an active candidate in the pri- threshold requirements will be made in mary involved. accordance with the procedures out- (1) The Commission may refuse to ac- lined in 11 CFR 9033.10(c). cept the candidate’s certification if it (b) The Commission will make its ex- determines under 11 CFR 9033.7 that amination and determination under the candidate is an active candidate in this section as soon as practicable. the primary involved. During the Presidential election year, (2) For purposes of this paragraph, if the Commission will generally com- the candidate is running in two pri- plete its review and make its deter- mary elections in different States on mination within 15 business days. the same date, the highest percentage [56 FR 35930, July 29, 1991, as amended at 60 of votes the candidate receives in any FR 31881, June 16, 1995] one State will govern. Separate primary elections held in more than one § 9033.5 Determination of ineligibility State on the same date are not deemed date. to be consecutive primaries. If two pri- The candidate’s date of ineligibility mary elections are held on the same shall be whichever date by operation of date in the same State (e.g., a primary 11 CFR 9033.5 (a), (b), or (c) occurs first. to select delegates to a national nomi- After the candidate’s date of ineligi- nating convention and a primary for bility, he or she may only receive the expression of preference for the matching payments to the extent that nomination of candidates for election he or she has net outstanding cam- to the office of President), the highest paign obligations as defined in 11 CFR percentage of votes a candidate re- 9034.5. ceives in either election will govern. If (a) Inactive candidate. The ineligi- two or more primaries are held in the bility date shall be the day on which an same State on different dates, the ear- individual ceases to be a candidate be- liest primary will govern. cause he or she is not actively con- (3) If the candidate certifies that he ducting campaigns in more than one or she will not be an active candidate State in connection with seeking the in a particular primary, and the Com- Presidential nomination. This date mission accepts the candidate’s certifi- shall be the earliest of— cation, the primary involved shall not (1) The date the candidate publicly be counted in determining the can- announces that he or she will not be didate’s date of ineligibility under

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paragraph (b) of this section, regardless with 11 CFR 9033.10(b) written legal or of the percentage of popular votes cast factual materials to demonstrate that for the candidate in that primary. he or she is actively campaigning in (c) End of matching payment period. more than one State. The ineligibility date shall be the last (d) Final determination. A final deter- day of the matching payment period mination of inactive candidacy will be for the candidate as specified in 11 CFR made by the Commission in accordance 9032.6. with the procedures outlined in 11 CFR (d) Reestablishment of eligibility. If the 9033.10(c). Commission has determined that a candidate is ineligible under 11 CFR 9033.5 § 9033.7 Determination of active can- (a) or (b), the candidate may reestab- didacy. lish eligibility to receive matching (a) Where a candidate certifies to the funds under 11 CFR 9033.8. Commission under 11 CFR 9033.5(b) that he or she will not be an active can- § 9033.6 Determination of inactive candidate in an upcoming primary, the didacy. Commission may, nevertheless, on the (a) General. The Commission may, on basis of factors listed in 11 CFR the basis of the factors listed in 11 CFR 9033.6(b), make an initial determina- 9033.6(b) below, make a determination tion that the candidate is an active that a candidate is no longer actively candidate in the primary involved. seeking nomination for election in (b) The Commission will notify the more than one State. Upon a final de- candidate of its initial determination termination by the Commission that a within 10 business days of receiving the candidate is inactive, that candidate candidate’s certification under 11 CFR will become ineligible as provided in 11 9033.5(b) or, if the timing of the activ- CFR 9033.5. ity does not permit notice during the (b) Factors considered. In making its 10 day period, as soon as practicable determination of inactive candidacy, following campaign activity by the the Commission may consider, but is candidate in the primary state. The not limited to considering, the fol- Commission’s initial determination lowing factors: will be made in accordance with the (1) The frequency and type of public procedures outlined in 11 CFR appearances, speeches, and advertise- 9033.10(b). Within 10 business days after ments; service of the Commission’s notice the (2) Campaign activity with respect to candidate may submit, in accordance soliciting contributions or making ex- with 11 CFR 9033.10(b), written legal or penditures for campaign purposes; factual materials to demonstrate that (3) Continued employment of cam- he or she is not an active candidate in paign personnel or the use of volun- the primary involved. teers; (c) A final determination by the (4) The release of committed dele- Commission that the candidate is ac- gates; tive will be made in accordance with (5) The candidate urges his or her del- the procedures outlined in 11 CFR egates to support another candidate 9033.10(c). while not actually releasing committed delegates; § 9033.8 Reestablishment of eligibility. (6) The candidate urges supporters to (a) Candidates found to be inactive. A support another candidate. candidate who has become ineligible (c) Initial determination. The Commis- under 11 CFR 9033.5(a) on the basis that sion will notify the candidate of its ini- he or she is not actively campaigning tial determination in accordance with in more than one State may reestab- the procedures outlined in 11 CFR lish eligibility for matching payments 9033.10(b) and will advise the candidate by submitting to the Commission evi- of the date on which active cam- dence of active campaigning in more paigning in more than one State than one State. In determining wheth- ceased. The candidate may, within 15 er the candidate has reestablished eli- business days after service of the Com- gibility, the Commission will consider, mission’s notice, submit in accordance but is not limited to considering, the

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factors listed in 11 CFR 9033.6(b). The rials to demonstrate that he or she is day the Commission determines to be not in violation of those provisions. the day the candidate becomes active (c) Suspension of payments to a can- again will be the date on which eligi- didate will occur upon a final deter- bility is reestablished. mination by the Commission to sus- (b) Candidates receiving insufficient pend payments. Such final determina- votes. A candidate determined to be in- tion will be made in accordance with eligible under 11 CFR 9033.5(b) by fail- the procedures outlined in 11 CFR ing to obtain the required percentage 9033.10(c). of votes in two consecutive primaries (d)(1) A candidate whose payments may have his or her eligibility reestab- have been suspended for failure to com- lished if the candidate receives at least ply with reporting requirements may 20 percent of the total number of votes become entitled to receive payments if cast for candidates of the same party he or she subsequently files the re- for the same office in a primary elec- quired reports and pays or agrees to pay any civil or criminal penalties re- tion held subsequent to the date of the sulting from failure to comply. election which rendered the candidate (2) A candidate whose payments are ineligible. suspended for exceeding the expendi- (c) The Commission will make its de- ture limitations shall not be entitled termination under 11 CFR 9033.8 (a) or to receive further matching payments (b) without requiring the individual to under 11 CFR 9034.1. reestablish eligibility under 11 CFR 9033.1 and 2. A candidate whose eligi- [56 FR 35930, July 29, 1991, 79 FR 77851, Dec. bility is reestablished under this sec- 29, 2014] tion may submit, for matching pay- § 9033.10 Procedures for initial and ment, contributions received during in- final determinations. eligibility. Any expenses incurred during the period of ineligibility that (a) General. The Commission will fol- would have been considered qualified low the procedures set forth in this section when making an initial or final campaign expenses if the candidate had determination based on any of the fol- been eligible during that time may be lowing reasons. defrayed with matching payments. (1) The candidate has knowingly and § 9033.9 Failure to comply with disclo- substantially exceeded the expenditure sure requirements or expenditure limitations of 11 CFR part 9035 prior to limitations. the candidate’s application for certification, as provided in 11 CFR 9033.3; (a) If the Commission receives infor- (2) The candidate has failed to satisfy mation indicating that a candidate or the matching payment threshold re- his or her authorized committee(s) has quirements, as provided in 11 CFR knowingly and substantially failed to 9033.4; comply with the disclosure require- (3) The candidate is no longer ac- ments of 52 U.S.C. 30104 and 11 CFR tively seeking nomination in more part 104, or that a candidate has know- than one state, as provided in 11 CFR ingly and substantially exceeded the 9033.6; expenditure limitations at 11 CFR part (4) The candidate is an active can- 9035, the Commission may make an ini- didate in an upcoming primary despite tial determination to suspend pay- the candidate’s assertion to the con- ments to that candidate. trary, as provided in 11 CFR 9033.7; (b) The Commission will notify the (5) The Commission receives informa- candidate of its initial determination tion indicating that the candidate has in accordance with the procedures out- knowingly and substantially failed to lined in 11 CFR 9033.10(b). The can- comply with the disclosure require- didate will be given an opportunity, ments or exceeded the expenditure lim- within 20 calendar days after service of its, as provided in 11 CFR 9033.9; or the Commission’s notice, to comply (6) The Commission receives informa- with the above cited provisions or to tion indicating that substantial assets submit in accordance with 11 CFR of the candidate’s authorized com- 9033.10(b) written legal or factual mate- mittee have been undervalued or not

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included in the candidate’s statement (e) Petitions for rehearing. Following a of net outstanding campaign obliga- final determination under this section, tions or that the amount of out- the candidate may file a petition for standing campaign obligations has rehearing in accordance with 11 CFR been otherwise overstated in relation 9038.5(a). to committee assets, as provided in 11 [56 FR 35930, July 29, 1991, 79 FR 77851, Dec. CFR 9034.5(g). 29, 2014] (b) Initial determination. If the Com- mission makes an initial determina- § 9033.11 Documentation of disburse- tion that a candidate may not receive ments. matching funds for one or more of the (a) Burden of proof. Each candidate reasons indicated in 11 CFR 9033.10(a), shall have the burden of proving that the Commission will notify the can- disbursements made by the candidate didate of its initial determination. The or his or her authorized committee(s) notification will give the legal and fac- or persons authorized to make expendi- tual reasons for the determination and tures on behalf of the candidate or au- advise the candidate of the evidence on thorized committee(s) are qualified which the Commission’s initial deter- campaign expenses as defined in 11 CFR mination is based. The candidate will 9032.9. The candidate and his or her au- be given an opportunity to comply thorized committee(s) shall obtain and with the requirements at issue or to furnish to the Commission on request submit, within the time provided by any evidence regarding qualified cam- the relevant section as referred to in 11 paign expenses made by the candidate, CFR 9033.10(a), written legal or factual his or her authorized committees and materials to demonstrate that the can- agents or persons authorized to make didate has satisfied those require- expenditures on behalf of the candidate ments. Such materials may be sub- or committee(s) as provided in para- mitted by counsel if the candidate so graph (b) of this section. desires. (b) Documentation required. (1) For (c) Final determination. The Commis- disbursements in excess of $200 to a sion will consider any written legal or payee, the candidate shall present a factual materials timely submitted by canceled check negotiated by the payee the candidate before making its final and either: determination. A final determination (i) A receipted bill from the payee that the candidate has failed to satisfy that states the purpose of the disburse- the requirements at issue will be ac- ment; or companied by a written statement of (ii) If such a receipt is not available, reasons for the Commission’s action. (A) One of the following documents This statement will explain the legal generated by the payee: a bill, invoice, and factual reasons underlying the or voucher that states the purpose of Commission’s determination and will the disbursement; or summarize the results of any investiga- (B) Where the documents specified in tion upon which the determination is paragraph (b)(1)(ii)(A) of this section based. are not available, a voucher or contem- (d) Effect on other determinations. If poraneous memorandum from the can- the Commission makes an initial de- didate or the committee that states termination under this section, but de- the purpose of the disbursement; or cides to take no further action at that (iii) Where the supporting docu- time, the Commission may use the mentation required in paragraphs (b)(1) legal and factual bases on which the (i) or (ii) of this section is not avail- initial determination was based in any able, the candidate or committee may future repayment determination under present collateral evidence to docu- 11 CFR part 9038 or 9039. A determina- ment the qualified campaign expense. tion by the Commission under this sec- Such collateral evidence may include, tion may be independent of any Com- but is not limited to: mission decision to institute an en- (A) Evidence demonstrating that the forcement proceeding under 52 U.S.C. expenditure is part of an identifiable 30109. program or project which is otherwise

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sufficiently documented such as a dis- shall present these records to the Com- bursement which is one of a number of mission on request. documented disbursements relating to (d) List of capital and other assets—(1) a campaign mailing or to the operation Capital assets. The candidate or com- of a campaign office; or mittee shall maintain a list of all cap- (B) Evidence that the disbursement is ital assets whose purchase price ex- covered by a pre-established written ceeded $2000 when acquired by the cam- campaign committee policy, such as a paign. The list shall include a brief de- daily travel expense policy. scription of each capital asset, the pur- (iv) If the purpose of the disburse- chase price, the date it was acquired, ment is not stated in the accom- the method of disposition and the panying documentation, it must be in- amount received in disposition. For dicated on the canceled check nego- purposes of this section, ‘‘capital tiated by the payee. asset’’ shall be defined in accordance (2) For all other disbursements, the with 11 CFR 9034.5(c)(1). candidate shall present: (2) Other assets. The candidate or (i) A record disclosing the full name committee shall maintain a list of and mailing address of the payee, the other assets acquired for use in fund- amount, date and purpose of the dis- raising or as collateral for campaign bursement, if made from a petty cash loans, if the aggregate value of such as- fund; or sets exceeds $5000. The list shall in- (ii) A canceled check negotiated by clude a brief description of each such the payee that states the full name and asset, the fair market value of each mailing address of the payee, and the asset, the method of disposition and amount, date and purpose of the dis- the amount received in disposition. bursement. The fair market value of other assets (3) For purposes of this section: shall be determined in accordance with (i) Payee means the person who pro- 11 CFR 9034.5(c)(2). vides the goods or services to the candidate or committee in return for the [60 FR 31881, June 16, 1995, as amended at 64 disbursement; except that an indi- FR 49363, Sept. 13, 1999; 68 FR 47418, Aug. 8, vidual will be considered a payee under 2003] this section if he or she receives $1000 § 9033.12 Production of computerized or less advanced for travel and/or sub- information. sistence and if the individual is the recipient of the goods or services pur- (a) Categories of computerized informa- chased. tion to be provided. If the candidate or (ii) Purpose means the full name and the candidate’s authorized committee mailing address of the payee, the date maintains or uses computerized infor- and amount of the disbursement, and a mation containing any of the cat- brief description of the goods or serv- egories of data listed in paragraphs ices purchased. Examples of acceptable (a)(1) through (a)(9) of this section, the and unacceptable descriptions of goods committee shall provide computerized and services purchased are listed at 11 magnetic media, such as magnetic CFR 104.3(b)(3)(i)(B). tapes or magnetic diskettes, con- (4) The documentation requirements taining the computerized information of 11 CFR 102.9(b) shall also apply to at the times specified in 11 CFR disbursements. 9038.1(b)(1): (c) Retention of records. The candidate (1) Information required by law to be shall retain records with respect to maintained regarding the committee’s each disbursement and receipt, includ- receipts or disbursements; ing bank records, vouchers, work- (2) Records of allocations of expendi- sheets, receipts, bills and accounts, tures to particular state expenditure journals, ledgers, fundraising solicita- limits and to the overall expenditure tion material, accounting systems doc- limit; umentation, and any related materials (3) Disbursements for exempt fund- documenting campaign receipts and raising and exempt compliance costs, disbursements, for a period of three including the allocation of salaries and years pursuant to 11 CFR 102.9(c), and overhead expenditures;

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(4) Records of allocations of expendi- 9034.2 Matchable contributions. tures for the purchase of broadcast 9034.3 Non-matchable contributions. media; 9034.4 Use of contributions and matching (5) Records used to prepare state- payments; examples of qualified cam- ments of net outstanding campaign ob- paign expenses and non-qualified campaign expenses. ligations; 9034.5 Net outstanding campaign obliga- (6) Records used to reconcile bank tions. statements; 9034.6 Expenditures for transportation and (7) Disbursements made and reim- services made available to media per- bursements received for the cost of sonnel; reimbursements. transportation, ground services and fa- 9034.7 Allocation of travel expenditures. cilities made available to media per- 9034.8 Joint fundraising. sonnel, including records relating to 9034.9 Sale of assets acquired for fund- how costs charged to media personnel raising purposes. were determined; 9034.10 Pre-candidacy payments by multicandidate political committees deemed (8) Records relating to the acquisi- in-kind contributions and qualified cam- tion, use and disposition of capital as- paign expenses; effect of reimbursement. sets or other assets; and 9034.11 Winding down costs. (9) Any other information that may be used during the Commission’s audit AUTHORITY: 26 U.S.C. 9034 and 9039(b). to review the committee’s receipts, dis- SOURCE: 56 FR 34132, July 25, 1991; 56 FR bursements, loans, debts, obligations, 35934, July 29, 1991, unless otherwise noted. bank reconciliations or statements of net outstanding campaign obligations. § 9034.1 Candidate entitlements. (b) Organization of computerized infor- (a) A candidate who has been notified mation and technical specifications. The by the Commission under 11 CFR 9036.1 computerized magnetic media shall be that he or she has successfully satisfied prepared and delivered at the commit- eligibility and certification require- tee’s expense and shall conform to the ments is entitled to receive payments technical specifications, including file under 26 U.S.C. 9037 and 11 CFR part requirements, described in the Federal 9037 in an amount equal to the amount Election Commission’s Computerized of each matchable campaign contribu- Magnetic Media Requirements for title tion received by the candidate, except 26 Candidates/Committees Receiving that a candidate who has become ineli- Federal Funding. The data contained gible under 11 CFR 9033.5 may not re- in the computerized magnetic media ceive further matching payments re- provided to the Commission shall be gardless of the date of deposit of the organized in the order specified by the underlying contributions if he or she Computerized Magnetic Media Require- has no net outstanding campaign obli- ments. gations as defined in 11 CFR 9034.5. See (c) Additional materials and assistance. also 26 CFR parts 701 and 702 regarding Upon request, the committee shall pro- payments by the Department of the vide documentation explaining the Treasury. computer system’s software capabili- (b) If on the date of ineligibility a ties, such as user guides, technical candidate has net outstanding cam- manuals, formats, layouts and other paign obligations as defined under 11 materials for processing and analyzing CFR 9034.5, that candidate may con- the information requested. Upon re- tinue to receive matching payments for quest, the committee shall also make matchable contributions received and available such personnel as are nec- deposited on or before December 31 of essary to explain the operation of the the Presidential election year provided computer system’s software and the that on the date of payment there are computerized information prepared or remaining net outstanding campaign maintained by the committee. obligations, i.e., the sum of the contributions received on or after the date PART 9034—ENTITLEMENTS of ineligibility plus matching funds received on or after the date of ineligi- Sec. bility is less than the candidate’s net 9034.1 Candidate entitlements. outstanding campaign obligations.

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This entitlement will be equal to the (b) For purposes of this section, the lesser of: term written instrument means a check (1) The amount of contributions sub- written on a personal, escrow or trust mitted for matching; or account representing or containing the (2) The remaining net outstanding contributor’s personal funds; a money campaign obligations. order; any similar negotiable instru- (c) A candidate whose eligibility has ment; or, for contributions by credit or been reestablished under 11 CFR 9033.8 debit card, a paper record, or an elec- or who after suspension of payments tronic record that can be reproduced on has met the conditions set forth at 11 paper, of the transaction. For purposes CFR 9033.9(d) is entitled to receive pay- of this section, the term written instruments for matchable contributions for ment also means, in the case of a con- which payments were not received dur- tribution by a credit card or debit card, ing the ineligibility or suspension pe- either a transaction slip or other writ- riod. ing signed by the cardholder, or in the (d) The total amount of payments to case of such a contribution made over a candidate under this section shall not the Internet, an electronic record of exceed 50% of the total expenditure the transaction created and trans- limitation applicable under 11 CFR mitted by the cardholder, and includ- part 9035. ing the name of the cardholder and the card number, which can be maintained [56 FR 34132, July 25, 1991 and 56 FR 35934, electronically and reproduced in a July 29, 1991] written form by the recipient candidate or candidate’s committee. § 9034.2 Matchable contributions. (c) The written instrument shall be: (a) Contributions meeting the fol- Payable on demand; and to the order lowing requirements will be considered of, or specifically endorsed without matchable campaign contributions. qualification to, the Presidential can- (1) The contribution shall be a gift of didate, or his or her authorized com- money made: By an individual; by a mittee. The written instrument shall written instrument and for the purpose contain: The full name and signature of of influencing the result of a primary the contributor(s); the amount and election. date of the contribution; and the mail- (2) Only a maximum of $250 of the ag- ing address of the contributor(s). For gregate amount contributed by an indi- purposes of this section, the term sig- vidual may be matched. nature means, in the case of a contribu- (3) Before a contribution may be sub- tion by a credit card or debit card, ei- mitted for matching, it must actually ther an actual signature by the card- be received by the candidate or any of holder who is the donor on a trans- the candidate’s authorized committees action slip or other writing, or in the and deposited in a designated campaign case of such a contribution made over depository maintained by the can- the Internet, the full name and card didate’s authorized committee. number of the cardholder who is the (4) The written instrument used in donor, entered and transmitted by the making the contribution must be cardholder. dated, physically received and depos- (1) In cases of a check drawn on a ited by the candidate or authorized joint checking account, the contrib- committee on or after January l of the utor is considered to be the owner year immediately preceding the cal- whose signature appears on the check. endar year of the Presidential election, (i) To be attributed equally to other but no later than December 31 fol- joint tenants of the account, the check lowing the matching payment period as or other accompanying written docu- defined under 11 CFR 9032.6. Donations ment shall contain the signature(s) of received by an individual who is test- the joint tenant(s). If a contribution on ing the waters pursuant to 11 CFR a joint account is to be attributed 100.72(a) and 100.131(a) may be matched other than equally to the joint tenants, when the individual becomes a can- the check or other written documenta- didate if such donations meet the re- tion shall also indicate the amount to quirements of this section. be attributed to each joint tenant.

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(ii) In the case of a check for a con- other similar negotiable instruments tribution attributed to more than one are matchable contributions, provided person, where it is not apparent from that: the face of the check that each contrib- (i) At the time it is initially sub- utor is a joint tenant of the account, a mitted for matching, such instrument written statement shall accompany the is signed by each contributor and is ac- check stating that the contribution companied by a statement which speci- was made from each individual’s per- fies that the contribution was made in sonal funds in the amount so attrib- the form of a money order, cashier’s uted and shall be signed by each con- check, traveler’s check, or other simi- tributor. lar negotiable instrument, with the (iii) In the case of a contribution re- contributor’s personal funds; attributed to a joint tenant of the ac- (ii) Such statement identifies the count, the reattribution shall comply date and amount of the contribution with the requirements of 11 CFR made by money order, cashier’s check, 110.1(k) and the documentation de- traveler’s check, or other similar nego- scribed in 11 CFR 110.1 (1), (3), (5) and tiable instrument, the check or serial (6) shall accompany the reattributed number, and the name of the issuer of contribution. the negotiable instrument; and (2) Contributions in the form of (iii) Such statement is signed by each checks drawn on an escrow or trust ac- contributor. count are matchable contributions, (5) Contributions in the form of the provided that: purchase price paid for the admission (i) The contributor has equitable to any activity that primarily confers ownership of the account; and private benefits in the form of enter- (ii) The check is accompanied by a tainment to the contributor (i.e., con- statement, signed by each contributor certs, motion pictures) are matchable. to whom all or a portion of the con- The promotional material and tickets tribution is being attributed, together for the event shall clearly indicate that with the check number, amount and the ticket purchase price represents a date of contribution. This statement contribution to the Presidential can- shall specify that the contributor has didate. equitable ownership of the account and (6) Contributions in the form of a the account represents the personal purchase price paid for admission to an funds of the contributor. activity that is essentially political (3) Contributions in the form of are matchable. An ‘‘essentially polit- checks written on partnership accounts ical’’ activity is one the principal pur- or accounts of unincorporated associa- pose of which is political speech or dis- tions or businesses are matchable con- cussion, such as the traditional polit- tributions, so long as: ical dinner or reception. (i) The check is accompanied by a (7) Contributions received from a statement, signed by each contributor joint fundraising activity conducted in to whom all or a portion of the con- accordance with 11 CFR 9034.8 are tribution is being attributed, together matchable, provided that such con- with the check number, amount and tributions are accompanied by a copy date of contribution. This statement of the joint fundraising agreement shall specify that the contribution is when they are submitted for matching. made with the contributor’s personal (8) Contributions by credit or debit funds and that the account on which card are matchable contributions, pro- the contribution is drawn is not main- vided that: tained or controlled by an incorporated (i) The requirements of paragraph (b) entity; and of this section concerning a written in- (ii) The aggregate amount of the con- strument and of paragraph (c) of this tributions drawn on a partnership or section concerning a signature are sat- unincorporated association or business isfied. Contributions by credit card or does not exceed $1,000 to any one Presi- debit card where the cardholder’s name dential candidate seeking nomination. and card number are given to the re- (4) Contributions in the form of cipient candidate or candidate’s com- money orders, cashier’s checks, or mittee only orally are not matchable.

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(ii) Evidence is submitted by the (k) Contributions redesignated for a committee that the contributor has af- different election or redesignated for a firmed that the contribution is from legal and accounting compliance fund personal funds and not from funds oth- pursuant to 11 CFR 9003.3. erwise prohibited by law. [56 FR 34132, July 5, 1991; 56 FR 35934, July 29, [56 FR 34132, July 25, 1991, as amended at 56 1991, as amended at 64 FR 32397, June 17, 1999; FR 35934, July 29, 1991; 64 FR 32397, June 17, 79 FR 77851, Dec. 29, 2014] 1999; 67 FR 78683, Dec. 26, 2002] § 9034.4 Use of contributions and § 9034.3 Non-matchable contributions. matching payments; examples of A contribution to a candidate other qualified campaign expenses and non-qualified campaign expenses. than one which meets the requirements of 11 CFR 9034.2 is not matchable. Con- (a) Qualified campaign expenses—(1) tributions which are not matchable in- General. Except as provided in para- clude, for example: graph (b)(3) of this section, all con- (a) In-kind contributions of real or tributions received by an individual personal property; from the date he or she becomes a can- (b) A subscription, loan, advance, or didate and all matching payments re- deposit of money, or anything of value; ceived by the candidate shall be used (c) A contract, promise, or agree- only to defray qualified campaign ex- ment, whether or not legally enforce- penses or to repay loans or otherwise able, such as a pledge card to make a restore funds (other than contributions contribution for any such purposes (but which were received and expended to a gift of money by written instrument defray qualified campaign expenses), is not rendered unmatchable solely be- which were used to defray qualified cause the contribution was preceded by campaign expenses. a promise or pledge); (2) Testing the waters. Even though in- (d) Funds from a corporation, labor curred prior to the date an individual organization, government contractor, becomes a candidate, payments made political committee as defined in 11 in accordance with the 11 CFR CFR 100.5 or any group of persons other 100.131(a) for the purpose of deter- than those under 11 CFR 9034.2(c)(3); mining whether an individual should (e) Contributions which are made or become a candidate shall be considered accepted in violation of 52 U.S.C. 30116, qualified campaign expenses if the indi- 30118, 30119, 30121, 30122, or 30123; vidual subsequently becomes a can- (f) Contributions in the form of a didate and shall count against that check drawn on the account of a com- candidate’s limits under 52 U.S.C. mittee, corporation, union or govern- 30116(b). ment contractor even though the funds (3) Winding down costs and continuing represent personal funds earmarked by to campaign. (i) Winding down costs a contributing individual to a Presi- subject to the restrictions in 11 CFR dential candidate; 9034.11 shall be considered qualified (g) Contributions in the form of the campaign expenses. purchase price paid for an item with (ii) If the candidate continues to significant intrinsic and enduring campaign after becoming ineligible due value, such as a watch; to the operation of 11 CFR 9033.5(b), the (h) Contributions in the form of the candidate may only receive matching purchase price paid for or other other- funds based on net outstanding cam- wise induced by a chance to participate paign obligations as of the candidate’s in a raffle, lottery, or a similar draw- date of ineligibility. The statement of ing for valuable prizes; net outstanding campaign obligations (i) Contributions which are made by shall only include costs incurred before persons without the necessary donative the candidate’s date of ineligibility for intent to make a gift or made for any goods and services to be received before purpose other than to influence the re- the date of ineligibility and for which sult of a primary election; written arrangement or commitment (j) Contributions of currency of the was made on or before the candidate’s United States or currency of any for- date of ineligibility, and shall not in- eign country; and clude winding down costs until the

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date on which the candidate qualifies (2) Excessive expenditures. An expendi- to receive winding down costs under 11 ture which is in excess of any of the CFR 9034.11. Each contribution that is limitations under 11 CFR part 9035 dated after the candidate’s date of in- shall not be considered a qualified cam- eligibility may be used to continue to paign expense. The Commission will campaign, and may be submitted for calculate the amount of expenditures matching fund payments. Payments attributable to the limitations in ac- from the matching payment account cordance with 11 CFR 9035.1(a)(2). that are received after the candidate’s (3) General election and post-ineligi- date of ineligibility may be used to de- bility expenditures. Except for winding fray the candidate’s net outstanding down costs pursuant to paragraph (a)(3) campaign obligations, but shall not be of this section and certain convention used to defray any costs associated expenses described in paragraph (a)(6) with continuing to campaign unless of this section, any expenses incurred the candidate reestablishes eligibility after a candidate’s date of ineligibility, under 11 CFR 9033.8. as determined under 11 CFR 9033.5, are (4) Taxes. Federal income taxes paid not qualified campaign expenses. In ad- by the committee on non-exempt func- dition, any expenses incurred before tion income, such as interest, dividends the candidate’s date of ineligibility for and sale of property, shall be consid- goods and services to be received after ered qualified campaign expenses. the candidate’s date of ineligibility, or These expenses shall not, however, for property, services, or facilities used count against the state or overall ex- to benefit the candidate’s general elec- penditure limits of 11 CFR 9035.1(a). tion campaign, are not qualified cam- (5) Monetary bonuses paid after the paign expenses. date of ineligibility and gifts. Monetary (4) Civil or criminal penalties. Civil or bonuses paid after the date of ineligi- criminal penalties paid pursuant to the bility and gifts shall be considered Federal Election Campaign Act are not qualified campaign expenses, provided qualified campaign expenses and can- that: not be defrayed from contributions or (i) All monetary bonuses paid after matching payments. Any amounts re- the date of ineligibility for committee ceived or expended to pay such pen- employees and consultants in recogni- alties shall not be considered contribution of campaign-related activities or tions or expenditures but all amounts services: so received shall be subject to the pro- (A) Are provided for pursuant to a hibitions of the Act. Amounts received written contract made prior to the and expended under this section shall date of ineligibility; and be reported in accordance with 11 CFR (B) Are paid no later than thirty days part 104. after the date of ineligibility; and (5) Payments to candidate. Payments (ii) Gifts for committee employees, made to the candidate by his or her consultants and volunteers in recogni- committee, other than to reimburse tion of campaign-related activities or funds advanced by the candidate for services do not exceed $150 total per in- qualified campaign expenses, are not dividual and the total of all gifts does qualified campaign expenses. not exceed $20,000. (6) Payments to other authorized com- (6) Expenses incurred by ineligible can- mittees. Payments, including transfers didates attending national nominating and loans, to other committees author- conventions. Expenses incurred by an ized by the same candidate for a dif- ineligible candidate to attend, partici- ferent election are not qualified cam- pate in, or conduct activities at a na- paign expenses. tional nominating convention may be (7) Allocable expenses. Payments for treated as qualified campaign expenses, expenses subject to state allocation but such convention-related expenses under 11 CFR 106.2 are not qualified shall not exceed a total of $50,000. campaign expenses if the records re- (b) Non-qualified campaign expenses— tained are not sufficient to permit allo- (1) General. The following are examples cation to any state, such as the failure of disbursements that are not qualified to keep records of the date on which campaign expenses. the expense is incurred.

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(8) Lost, misplaced, or stolen items. The (2) Polling expenses. Polling expenses cost of lost, misplaced, or stolen items shall be attributed according to when may be considered a nonqualified cam- the results of the poll are received. If paign expense. Factors considered by the results are received on or before the Commission in making this deter- the date of the candidate’s nomination, mination shall include, but not be lim- the expenses shall be considered pri- ited to, whether the committee dem- mary election expenses. If results are onstrates that it made conscientious received from a single poll both before efforts to safeguard the missing equip- and after the date of the candidate’s ment; whether the committee sought nomination, the costs shall be allo- or obtained insurance on the items; cated between the primary and the whether the committee filed a police general election limits based on the report; the type of equipment involved; percentage of results received during and the number and value of items that each period. were lost. (3) State or national campaign offices. (c) [Reserved] Prior to the date of the last primary (d) Transfers to other campaigns—(1) election in a Presidential election Other Federal offices. If a candidate has year, overhead and salary costs in- received matching funds and is simul- curred in connection with state or na- taneously seeking nomination or elec- tional campaign offices shall be attrib- tion to another Federal office, no uted to the primary election. With re- transfer of funds between his or her gard to overhead and salary costs in- principal campaign committees or au- curred on or after June 1 of the Presi- thorized committees may be made. See dential election year, but before or on 52 U.S.C. 30116(a)(5)(C) and 11 CFR the date of nomination, the committee 110.3(c)(5) and 110.8(d). A candidate will may attribute to the general election be considered to be simultaneously an amount not to exceed 15% of the limitation on primary-election expend- seeking nomination or election to an- itures set forth at 11 CFR 110.8(a)(1). other Federal office if he or she is seek- Overhead and payroll costs associated ing nomination or election to such with winding down the campaign and Federal office under 11 CFR 110.3(c)(5). compliance activities shall be governed (2) General election. If a candidate has by paragraph (a)(3) of this section. received matching funds, all transfers (4) Campaign materials. Expenditures from the candidate’s primary election for campaign materials, including account to a legal and accounting com- bumper stickers, campaign brochures, pliance fund established for the general buttons, pens and similar items, that election must be made in accordance are purchased by the primary election with 11 CFR 9003.3(a)(1). campaign committee and later trans- (e) Attribution of expenditures between ferred to and used by the general elec- the primary and the general election tion committee shall be attributed to spending limits. The following rules the general election limits. Materials apply to candidates who receive public transferred to but not used by the gen- funding in either the primary or the eral election committee shall be attrib- general election, or both. uted to the primary election limits. (1) General rule. Any expenditure for (5) Media production costs. For media goods or services that are used for the communications that are broadcast or primary election campaign, other than published both before and after the those listed in paragraphs (e)(2) date of the candidate’s nomination, through (e)(7) of this section, shall be 50% of the media production costs shall attributed to the limits set forth at 11 be attributed to the primary election CFR 9035.1. Any expenditure for goods limits, and 50% to the general election or services that are used for the gen- limits. Distribution costs, including eral election campaign, other than such costs as air time and advertising those listed in paragraphs (e)(2) space in newspapers, shall be paid for through (e)(7) of this section, shall be 100% by the primary or general elec- attributed to the limits set forth at 11 tion campaign depending on when the CFR 110.8(a)(2), as adjusted under 11 communication is broadcast or distrib- CFR 110.17(a). uted.

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(6) Campaign communications. (i) So- obligations under this section equal licitations and fundraising costs. The the difference between paragraphs (a) costs of fundraising, including that of (1) and (2) of this section: events and solicitation costs, shall be (1) The total of all outstanding obli- attributed to the primary election or gations for qualified campaign ex- to the GELAC, depending on the pur- penses as of the candidate’s date of in- poses of the fundraising. If a candidate eligibility as determined under 11 CFR raises funds for both the primary elec- 9033.5, plus estimated necessary wind- tion and for the GELAC in a single ing down costs as defined under 11 CFR communication or through a single 9034.4(a)(3), less fundraising event, the allocation of (2) The total of: fundraising costs and the distribution (i) Cash on hand as of the close of of net proceeds will be made in the business on the last day of eligibility same manner as described in 11 CFR (including all contributions dated on or 9034.8(c)(8)(i) and (ii). before that date whether or not sub- (ii) Other communications. Except as mitted for matching; currency; bal- provided in paragraph (e)(5) of this sec- ances on deposit in banks; savings and tion, the costs of a campaign commu- loan institutions; and other depository nication that does not include a solici- institutions; traveler’s checks; certifi- tation shall be attributed to the pri- cates of deposit; treasury bills; and any mary or general election limits based other committee investments valued at on the date on which the communica- fair market value); tion is broadcast, published or mailed. (ii) The fair market value of capital The cost of a communication that is assets and other assets on hand; and broadcast, published or mailed before the date of the candidate’s nomination (iii) Amounts owed to the committee shall be attributed to the primary elec- in the form of credits, refunds of depos- tion limits. its, returns, receivables, or rebates of (7) Travel costs. Expenditures for cam- qualified campaign expenses; or a com- paign-related transportation, food, and mercially reasonable amount based on lodging by any individual, including a the collectibility of those credits, re- candidate, shall be attributed accord- turns, receivables or rebates. ing to when the travel occurs. If the (b) Liabilities. (1) The amount sub- travel occurs on or before the date of mitted as the total of outstanding cam- the candidate’s nomination, the cost is paign obligations under paragraph a primary election expense. Travel to (a)(1) of this section shall not include and from the convention shall be at- any accounts payable for non-qualified tributed to the primary election. Trav- campaign expenses nor any amounts el by a person who is working exclu- determined or anticipated to be re- sively on general election campaign quired as repayment under 11 CFR part preparations shall be considered a gen- 9038 or any amounts paid to secure a eral election expense even if the travel surety bond under 11 CFR 9038.5. occurs before the candidate’s nomina- (2) The amount submitted as esti- tion. mated necessary winding down costs under paragraph (a)(1) of this section [56 FR 35934, July 29, 1991, as amended at 60 FR 31881, June 16, 1995; 60 FR 57537, 57538, shall be broken down by expense cat- Nov. 16, 1995; 64 FR 49364, Sept. 13, 1999; 64 FR egory and quarterly or monthly time 61781, Nov. 15, 1999; 67 FR 78683, Dec. 26, 2002; period. This breakdown shall include 68 FR 47418, Aug. 8, 2003; 79 FR 77851, Dec. 29, estimated costs for office space rental, 2014] staff salaries, legal expenses, accounting expenses, office supplies, equip- § 9034.5 Net outstanding campaign ob- ment rental, telephone expenses, post- ligations. age and other mailing costs, printing (a) Within 15 calendar days after the and storage. The breakdown shall esti- candidate’s date of ineligibility, as de- mate the costs that will be incurred in termined under 11 CFR 9033.5, the can- each category from the time the state- didate shall submit a statement of net ment is submitted until the expected outstanding campaign obligations. The termination of the committee’s polit- candidate’s net outstanding campaign ical activity.

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(c) (1) Capital assets. For purposes of cluding any credit, refund, return or this section, the term capital assets rebate, is not collectible in whole or in means any property used in the oper- part, the committee shall demonstrate ation of the campaign whose purchase through documentation that the deter- price exceeded $2000 when received by mination was commercially reason- the committee. Property that must be able. The documentation shall include valued as capital assets under this sec- records showing the original amount of tion includes, but is not limited to, of- the account receivable, copies of cor- fice equipment, furniture, vehicles and respondence and memoranda of com- fixtures acquired for use in the oper- munications with the debtor showing ation of the candidate’s campaign, but attempts to collect the amount due, does not include property defined as and an explanation of how the lesser ‘‘other assets’’ under paragraph (c)(2) amount or full writeoff was deter- of this section. Capital assets include mined. items such as computer systems and (e) Contributions received from joint telecommunications systems, if the fundraising activities conducted under equipment is used together and if the 11 CFR 9034.8 may be used to pay a can- total cost of all components that are didate’s outstanding campaign obliga- used together exceeds $2000. A list of tions. all capital assets shall be maintained (1) Such contributions shall be by the committee in accordance with deemed monies available to pay out- 11 CFR 9033.11(d). The fair market standing campaign obligations as of value of capital assets shall be consid- the date these funds are received by ered to be 60% of the total original cost the fundraising representative com- of such items when acquired, except mittee and shall be included in the can- that items received after the date of in- didate’s statement of net outstanding eligibility must be valued at their fair campaign obligations. market value on the date received. A (2) The amount of money deemed candidate may claim a lower fair mar- available to pay a candidate’s net out- ket value for a capital asset by listing standing campaign obligations will that capital asset on the statement equal either— separately and demonstrating, through (i) An amount calculated on the basis documentation, the lower fair market of the predetermined allocation for- value. If the candidate receives public mula, as adjusted for 52 U.S.C. 30116 funding for the general election, a limitations; or lower fair market value shall not be (ii) If a candidate receives an amount claimed under this section for any cap- greater than that calculated under 11 ital assets transferred or sold to the CFR 9034.5(e)(2)(i), the amount actually candidate’s general election com- received. mittee. (f)(1) With each submission for (2) Other assets. The term other assets matching fund payments filed after the means any property acquired by the candidate’s date of ineligibility, the committee for use in raising funds or candidate shall certify that, as of the as collateral for campaign loans. close of business on the last business ‘‘Other assets’’ must be included on the day preceding the date of submission candidate’s statement of net out- for matching funds, his or her remain- standing campaign obligations if the ing net outstanding campaign obliga- aggregate value of such assets exceeds tions equal or exceed the amount sub- $5000. The value of ‘‘other assets’’ shall mitted for matching. be determined by the fair market value (2) A candidate who makes a submis- of each item on the candidate’s date of sion for matching fund payments after ineligibility or on the date the item is his or her date of ineligibility shall acquired if acquired after the date of also submit a revised statement of net ineligibility. A list of other assets shall outstanding campaign obligations. be maintained by the committee in ac- This revised statement shall be due be- cordance with 11 CFR 9033.11(d)(2). fore the next regularly scheduled pay- (d) Collectibility of accounts receivable. ment date, on a date to be determined If the committee determines that an and published by the Commission. This account receivable of $500 or more, in- statement shall reflect the financial

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status of the campaign as of the close file a petition for rehearing in accord- of business three business days before ance with 11 CFR 9038.5(a). the due date of the statement. The re- [56 FR 34132, July 25, 1991 and 56 FR 35934, vised statement shall also contain a July 29, 1991; 56 FR 42380, Aug. 27, 1991; 60 FR brief explanation of each change in the 31883, June 16, 1995; 64 FR 49364, Sept. 13, 1999; committee’s assets and obligations 79 FR 77851, Dec. 29, 2014] from the previous statement. (3) After a candidate’s date of ineligi- § 9034.6 Expenditures for transportation and services made available bility, if the candidate does not receive to media personnel; reimburse- the entire amount of matching funds ments. on a regularly scheduled payment date (a) General. (1) Expenditures by an due to a shortfall in the matching pay- authorized committee for transpor- ment account, the candidate shall also tation, ground services or facilities (in- submit a revised statement of net out- cluding air travel, ground transpor- standing campaign obligations. The re- tation, housing, meals, telephone serv- vised statement shall be filed on a date ice, typewriters, and computers) pro- to be determined and published by the vided to media personnel, Secret Serv- commission, which will be before the ice personnel or national security staff next regularly scheduled payment date. will be considered qualified campaign (g)(1) If the Commission receives in- expenses, and, except for costs relating formation indicating that substantial to Secret Service personnel or national assets of the candidate’s authorized security staff, will be subject to the committee(s) have been undervalued or overall expenditure limitations of 11 not included in the statement or that CFR 9035.1(a). the amount of outstanding campaign (2) Subject to the limitations in para- obligations has been otherwise over- graphs (b) and (c) of this section, com- stated in relation to committee assets, mittees may seek reimbursement from the Commission may decide to tempo- the media for the expenses described in rarily suspend further matching pay- paragraph (a)(3) of this section, and ments pending a final determination may deduct reimbursements received whether the candidate is entitled to re- from media representatives from the amount of expenditures subject to the ceive all or a portion of the matching overall expenditure limitation of 11 funds requested. CFR 9035.1(a). Expenses for which the (2) In making a determination under committee receives no reimbursement 11 CFR 9034.5(g)(1), the Commission will be considered qualified campaign will follow the procedures for initial expenses, and, with the exception of and final determinations under 11 CFR those expenses relating to Secret Serv- 9033.10 (b) and (c). The Commission will ice personnel and national security notify the candidate of its initial de- staff, will be subject to the overall ex- termination within 15 business days penditure limitation. after receipt of the candidate’s state- (3) Committees may seek reimbursement of net outstanding campaign obli- ment from the media only for the gations. Within 15 business days after billable items specified in the White service of the Commission’s notice, the House Press Corps Travel Policies and candidate may submit written legal or Procedures issued by the White House factual materials to demonstrate that Travel Office. he or she has net outstanding cam- (b) Reimbursement limits; billing. (1) paign obligations that entitle the cam- The amount of reimbursement sought paign to further matching payments. from a media representative under (3) If the candidate demonstrates paragraph (a)(2) of this section shall that the amount of outstanding cam- not exceed 110% of the media rep- paign obligations still exceeds com- resentative’s pro rata share (or a reasonable estimate of the media rep- mittee assets, he or she may continue resentative’s pro rata share) of the ac- to receive matching payments. tual cost of the transportation and (4) Following a final determination services made available. Any reim- under this section, the candidate may bursement received in excess of this

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amount shall be disposed of in accord- (A) Three percent of the actual cost ance with paragraph (d)(1) of this sec- of transportation and services provided tion. to the media representatives under this (2) For the purposes of this section, a section; or media representative’s pro rata share (B) An amount in excess of 3% rep- shall be calculated by dividing the resenting the administrative costs ac- total actual cost of the transportation tually incurred by the committee in and services provided by the total num- providing services to the media rep- ber of individuals to whom such trans- resentatives, provided that the com- portation and services are made avail- mittee is able to document the total able. For purposes of this calculation, amount of administrative costs actu- the total number of individuals shall ally incurred. include committee staff, media per- (2) For the purposes of this para- sonnel, Secret Service personnel, na- graph, ‘‘administrative costs’’ includes tional security staff and any other in- all costs incurred by the committee in dividuals to whom such transportation making travel arrangements and seek- and services are made available, except ing reimbursement, whether these that, when seeking reimbursement for transportation costs paid by the com- services are performed by committee mittee under 11 CFR 100.93 and staff or by independent contractors. 9034.7(b)(5)(i), the total number of indi- (d) Disposal of excess reimbursements. If viduals shall not include national secu- the committee receives reimburse- rity staff. ments in excess of the amount deduct- (3) No later than sixty (60) days of the ible under paragraph (c) of this section, campaign trip or event, the committee it shall dispose of the excess amount in shall provide each media representa- the following manner: tive attending the event with an (1) Any reimbursement received in itemized bill that specifies the excess of 110% of the actual pro rata amounts charged for air and ground cost of the transportation and services transportation for each segment of the made available to a media representa- trip, housing, meals, telephone service, tive shall be returned to the media rep- and other billable items specified in resentative. the White House Press Corps Travel (2) Any amount in excess of the Policies and Procedures issued by the amount deductible under paragraph (c) White House Travel Office. Payments of this section that is not required to shall be due sixty (60) days from the be returned to the media representa- date of the bill, unless the media rep- tive under paragraph (d)(1) of this sec- resentative disputes the charges. tion shall be paid to the Treasury. (c) Deduction of reimbursements from (e) Reporting. The total amount paid expenditures subject to the overall ex- by an authorized committee for the penditure limitation. (1) The Committee services and facilities described in may deduct from the amount of ex- paragraph (a)(1) of this section, plus penditures subject to the overall ex- the administrative costs incurred by penditure limitation: the committee in providing these serv- (i) The amount of reimbursements re- ices and facilities and seeking reim- ceived from media representatives in bursement for them, shall be reported payment for the transportation and as an expenditure in accordance with 11 services described in paragraph (a) of CFR 104.3(b)(2)(i). Any reimbursement this section, up to the actual cost of received by such committee under the transportation and services pro- paragraph (b)(1) of this section shall be vided to media representatives; and reported in accordance with 11 CFR (ii) An additional amount of the re- 104.3(a)(3)(ix). imbursements received from media representatives, representing the adminis- [60 FR 31883, June 16, 1995; 60 FR 57537, Nov. trative costs incurred by the com- 16, 1995; 64 FR 42583, Aug. 5, 1999; 68 FR 69595, mittee in providing these services to Dec. 15, 2003] the media representatives and seeking reimbursement for them, equal to:

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§ 9034.7 Allocation of travel expendi- also be maintained and made available tures. by the committee. (a) Notwithstanding the provisions of (5)(i) If any individual, including a 11 CFR 106.3, expenditures for travel re- candidate, uses a government aircraft for campaign-related travel, the can- lating to the campaign of a candidate didate’s authorized committee shall seeking nomination for election to the pay the appropriate government entity office of President by any individual, an amount not less than the applicable including a candidate, shall, pursuant rate set forth in 11 CFR 100.93(e). to the provisions of paragraph (b) of (ii) [Reserved] this section, be qualified campaign ex- (iii) If any individual, including a penses and be reported by the can- candidate, uses a government convey- didate’s authorized committee(s) as ex- ance, other than an aircraft, for cam- penditures. paign-related travel, the candidate’s (b)(1) For a trip which is entirely authorized committee shall pay the ap- campaign-related, the total cost of the propriate government entity an trip shall be a qualified campaign ex- amount equal to the amount required pense and a reportable expenditure. under 11 CFR 100.93(d). (2) For a trip which includes cam- (iv) If any individual, including a paign-related and non-campaign re- candidate, uses accommodations, in- lated stops, that portion of the cost of cluding lodging and meeting rooms, the trip allocable to campaign activity during campaign-related travel, and shall be a qualified campaign expense the accommodations are paid for by a and a reportable expenditure. Such por- government entity, the candidate’s au- tion shall be determined by calculating thorized committee shall pay the ap- what the trip would have cost from the propriate government entity an point of origin of the trip to the first amount equal to the usual and normal campaign-related stop and from that charge for the accommodations, and stop through each subsequent cam- shall maintain documentation sup- paign-related stop, back to the point of porting the amount paid. origin. If any campaign activity, other (v) For travel by aircraft, the com- than incidental contacts, is conducted mittee shall maintain documentation at a stop, that stop shall be considered as required by 11 CFR 100.93(j)(1) in ad- campaign-related. Campaign activity dition to any other documentation re- includes soliciting, making, or accept- quired in this section. For travel by ing contributions, and expressly advo- other conveyances, the committee cating the election or defeat of the shall maintain documentation of the candidate. Other factors, including the commercial rental rate as required by setting, timing and statements or ex- 11 CFR 100.93(j)(3) in addition to any pressions of the purpose of an event other documentation required in this and the substance of the remarks or section. speech made, will also be considered in (6) Travel expenses of a candidate’s determining whether a stop is cam- spouse and family when accompanying paign-related. the candidate on campaign-related (3) For each trip, an itinerary shall travel may be treated as qualified cam- be prepared and such itinerary shall be paign expenses and reportable expendi- made available by the committee for tures. If the spouse or family members Commission inspection. The itinerary conduct campaign-related activities, shall show the time of arrival and de- their travel expenses will be treated as parture and the type of event held. qualified campaign expenses and re- (4) For trips by government convey- portable expenditures. ance or by charter, a list of all pas- (7) If any individual, including a can- sengers on such trip, along with a des- didate, incurs expenses for campaign- ignation of which passengers are and related travel, other than by use of which are not campaign-related, shall government conveyance or accom- be made available for Commission in- modations, an amount equal to that spection. When required to be created, portion of the actual cost of the con- a copy of the government’s or the char- veyance or accommodations which is ter company’s official manifest shall allocable to all passengers, including

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the candidate, who are traveling for (ii) Used to pay a candidate’s net out- campaign purposes will be a qualified standing campaign obligations as pro- campaign expense and shall be reported vided in 11 CFR 9034.5; by the committee as an expenditure. (iii) Used to defray qualified cam- (i) If the trip is by charter, the actual paign expenses; cost for each passenger shall be deter- (iv) Used to defray exempt legal and mined by dividing the total operating accounting costs; or cost for the charter by the total num- (v) If in excess of a candidate’s net ber of passengers transported. The outstanding campaign obligations or amount which is a qualified campaign expenditure limit, used in any manner expense and a reportable expenditure consistent with 11 CFR 113.2, including shall be calculated in accordance with repayment of funds under 11 CFR part the formula set forth at 11 CFR 9038. 9034.7(b)(2) on the basis of the actual (b) Fundraising representatives—(1) Es- cost per passenger multiplied by the tablishment or selection of fundraising number of passengers traveling for representative. The participants in a campaign purposes. joint fundraising effort under this sec- (ii) If the trips is by non-charter com- tion shall either establish a separate mercial transportation, the actual cost committee or select a participating shall be calculated in accordance with committee, to act as fundraising rep- the formula set forth at 11 CFR resentative for all participants. The 9034.7(b)(2) on the basis of the commercial fare. Such actual cost shall be a fundraising representative shall be a qualified campaign expense and a re- reporting political committee and an portable expenditure. authorized committee of each can- (8) Non-commercial travel on air- didate. If the participants establish a craft, and travel on other means of separate committee to act as the fund- transportation not operated for com- raising representative, the separate mercial passenger service is governed committee shall not be a participant in by 11 CFR 100.93. any other joint fundraising effort, but the separate committee may conduct [60 FR 31884, June 16, 1995, as amended at 68 more than one joint fundraising effort FR 69596, Dec. 15, 2003; 74 FR 63968, Dec. 7, for the participants. 2009] (2) Separate fundraising committee as § 9034.8 Joint fundraising. fundraising representative. A separate fundraising committee established by (a) General. Nothing in this section the participants to act as fundraising shall supersede 11 CFR part 300, which representative for all participants prohibits any person from soliciting, shall— receiving, directing, transferring, or (i) Be established as a reporting po- spending any non-Federal funds, or litical committee under 11 CFR 100.5; from transferring Federal funds for (ii) Collect contributions; Federal election activities. (1) Permissible participants. Presi- (iii) Pay fundraising costs from gross dential primary candidates who receive proceeds and funds advanced by par- matching funds under this subchapter ticipants; and may engage in joint fundraising with (iv) Disburse net proceeds to each other candidates, political committees participant. or unregistered committees or organi- (3) Participating committee as fund- zations. raising representative. A participant se- (2) Use of funds. Contributions re- lected to act as fundraising representa- ceived as a result of a candidate’s par- tive for all participants shall— ticipation in a joint fundraising activ- (i) Be a political committee as de- ity under this section may be— fined in 11 CFR 100.5; (i) Submitted for matching purposes (ii) Collect contributions; however, in accordance with the requirements of other participants may also collect 11 CFR 9034.2 and the Federal Election contributions and then forward them Commission’s Guideline for Presen- to the fundraising representative as re- tation in Good Order; quired by 11 CFR 102.8;

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(iii) Pay fundraising costs from gross (A) The names of all committees par- proceeds and funds advanced by participating in the joint fundraising ac- ticipants; and tivity whether or not such committees (iv) Disburse net proceeds to each are political committees under 11 CFR participant. 100.5; (4) Independent fundraising agent. The (B) The allocation formula to be used participants or the fundraising rep- for distributing joint fundraising pro- resentative may hire a commercial ceeds; fundraising firm or other agent to as- (C) A statement informing contribu- sist in conducting the joint fundraising tors that, notwithstanding the stated activity. In that case, however, the allocation formula, they may designate fundraising representative shall still be their contributions for a particular responsible for ensuring that the rec- participant or participants; and ordkeeping, reporting and documenta- (D) A statement informing contribution requirements set forth in this sub- tors that the allocation formula may chapter are met. change if a contributor makes a con- (c) Joint fundraising procedures. Any tribution which would exceed the joint fundraising activity under this amount that contributor may give to section shall be conducted in accord- any participant. ance with the following requirements: (ii) If one or more participants en- (1) Written agreement. The partici- gage in the joint fundraising activity pants in a joint fundraising activity solely to satisfy outstanding debts, the shall enter into a written agreement, notice shall also contain a statement whether or not all participants are po- informing contributors that the alloca- litical committees under 11 CFR 100.5. tion formula may change if a partici- The written agreement shall identify pant receives sufficient funds to pay its the fundraising representative and outstanding debts. shall state a formula for the allocation (4) Separate depository account. (i) The of fundraising proceeds. The formula participants or the fundraising rep- shall be stated as the amount or per- resentative shall establish a separate centage of each contribution received depository account to be used solely to be allocated to each participant. The for the receipt and disbursement of the fundraising representative shall retain joint fundraising proceeds. All con- the written agreement for a period of tributions deposited into the separate three years and shall make it available depository account must be permissible to the Commission on request. under Title 52, United States Code. (2) Funds advanced for fundraising Each political committee shall amend costs. (i) Except as provided in 11 CFR its Statement of Organization to re- 9034.8(c)(2)(ii), the amount of funds ad- flect the account as an additional de- vanced by each participant for fund- pository. raising costs shall be in proportion to (ii) The fundraising representative the allocation formula agreed upon shall deposit all joint fundraising pro- under 11 CFR 9034.8(c)(1). ceeds in the separate depository ac- (ii) A participant may advance more count within ten days of receipt as re- than its proportionate share of the quired by 11 CFR 103.3. The fundraising fundraising costs; however, the amount representative may delay distribution advanced which is in excess of the par- of the fundraising proceeds to the participant’s proportionate share shall not ticipants until all contributions are re- exceed the amount that participant ceived and all expenses are paid. could legally contribute to the remain- (iii) For contribution reporting and ing participants. See 11 CFR limitation purposes, the date of receipt 102.12(c)(2), part 110, and 9034.4(b)(6). of a contribution by a participating po- (3) Fundraising notice. In addition to litical committee is the date that the any notice required under 11 CFR contribution is received by the fund- 110.11, a joint fundraising notice shall raising representative. The fundraising be included with every solicitation for representative shall report contribu- contributions. tions in the reporting period in which (i) This notice shall include the fol- they are received. Participating polit- lowing information: ical committees shall report joint

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fundraising proceeds in accordance representative may reallocate the sur- with 11 CFR 9034.8(c)(9) when such plus funds. The fundraising representa- funds are received from the fundraising tive shall not reallocate funds so as to representative. allow candidates seeking to extinguish (5) Recordkeeping requirements. (i) The outstanding debts to rely on the re- fundraising representative and partici- ceipt of matching funds to pay the re- pating committees shall screen all con- mainder of their debts; rather, all tributions received to insure that the funds to which a participant is entitled prohibitions and limitations of 11 CFR under the allocation formula shall be parts 110 and 114 are observed. Partici- deemed funds available to pay the can- pating political committees shall make didate’s outstanding campaign obliga- their contributor records available to tions as provided in 11 CFR 9034.5(c). the fundraising representative to en- (iii) Reallocation shall be based upon able the fundraising representative to the remaining participant’s propor- carry out its duty to screen contribu- tionate shares under the allocation for- tions. mula. If reallocation results in a viola- (ii) The fundraising representative tion of a contributor’s limit under 11 shall collect and retain contributor in- CFR 110.1, the fundraising representa- formation with regard to gross pro- tive shall return to the contributor the ceeds as required under 11 CFR 102.8 amount of the contribution that ex- and shall also forward such informa- ceeds the limit. tion to participating political commit- (iv) Earmarked contributions which tees. exceed the contributor’s limit to the (iii) The fundraising representative designated participant under 11 CFR shall retain the records required under part 110 may not be reallocated by the 11 CFR 9033.11 regarding fundraising fundraising representative without the disbursements for a period of three prior written permission of the contrib- years. Commercial fundraising firms or utor. A written instrument made pay- agents shall forward such information able to one of the participants shall be to the fundraising representative. considered an earmarked contribution (6) Contribution limitations. Except to unless a written statement by the con- the extent that the contributor has tributor indicates that it is intended previously contributed to any of the for inclusion in the general proceeds of participants, a contributor may make the fundraising activity. a contribution to the joint fundraising effort which contribution represents (8) Allocation of expenses and distribu- the total amount that the contributor tion of net proceeds. (i) If participating could contribute to all of the partici- committees are not affiliated as de- pants under the applicable limits of 11 fined in 11 CFR 110.3 prior to the joint CFR 110.1 and 110.2. fundraising activity and are not com- (7) Allocation of gross proceeds. (i) The mittees of the same political party: fundraising representative shall allo- (A) After gross contributions are al- cate proceeds according to the formula located among the participants under stated in the fundraising agreement. 11 CFR 9034.8(c)(7), the fundraising rep- Each contribution received shall be al- resentative shall calculate each par- located among the participants in ac- ticipant’s share of expenses based on cordance with the allocation formula, the percentage of the total receipts unless the circumstances described in each participant had been allocated. To paragraphs (c)(7) (ii), (iii) or (iv) of this calculate each participant’s net pro- section apply. Funds may not be dis- ceeds, the fundraising representative tributed or reallocated so as to maxi- shall subtract the participant’s share mize the matchability of the contribu- of expenses from the amount that par- tions. ticipant has been allocated from gross (ii) If distribution according to the proceeds. allocation formula extinguishes the (B) A participant may only pay ex- debts of one or more participants or if penses on behalf of another participant distribution under the formula results subject to the contribution limits of 11 in a violation of the contribution lim- CFR part 110. See also 11 CFR its of 11 CFR 110.1(b), the fundraising 9034.4(b)(6).

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(C) The expenses from a series of § 9034.9 Sale of assets acquired for fundraising events or activities shall be fundraising purposes. allocated among the participants on a (a) General. A candidate may sell as- per-event basis regardless of whether sets donated to the candidate’s author- the participants change or remain the ized committee(s) or otherwise ac- same throughout the series. quired for fundraising purposes (See 11 (ii) If participating committees are CFR 9034.5(c)(2)), subject to the limita- affiliated as defined in 11 CFR 110.3 tions and prohibitions of Title 52, prior to the joint fundraising activity United States Code and 11 CFR parts or if participants are party committees 110 and 114. of the same political party, expenses (b) Sale after end of matching payment need not be allocated among those par- period. A candidate whose outstanding ticipants. Payment of such expenses by debts exceed his or her cash on hand an unregistered committee or organiza- after the end of the matching payment tion on behalf of an affiliated political period as determined under 11 CFR committee may cause the unregistered 9032.6 may dispose of assets acquired organization to become a political for fundraising purposes in a sale to a committee. wholesaler or other intermediary who (iii) Payment of expenses may be will in turn sell such assets to the pub- made from gross proceeds by the fund- lic, provided that the sale to the wholesaler or intermediary is an arms-length raising representative. transaction. Sales made under this sub- (9) Reporting of receipts and disburse- section will not be subject to the limi- ments—(i) Reporting receipts. (A) The tations and prohibitions of Title 52, fundraising representative shall report United States Code and 11 CFR parts all funds received in the reporting pe- 110 and 114. riod in which they are received. Each Schedule A filed by the fundraising [56 FR 34132, July 25, 1991 and 56 FR 35934, representative under this section shall July 29, 1991, as amended at 79 FR 77851, Dec. 29, 2014] clearly indicate that the contributions reported on that schedule represent § 9034.10 Pre-candidacy payments by joint fundraising proceeds. multicandidate political committees (B) After distribution of net proceeds, deemed in-kind contributions and each participating political committee qualified campaign expenses; effect shall report its share of net proceeds of reimbursement. received as a transfer-in from the fund- (a) A payment by a multicandidate raising representative. Each partici- political committee is an in-kind con- pating political committee shall also tribution to, and qualified campaign file a memo Schedule A itemizing its expense by, a Presidential candidate, share of gross receipts as contributions even though made before the individual from original contributors to the ex- becomes a candidate under 11 CFR 100.3 tent required under 11 CFR 104.3(a). and 9032.2, if— (ii) Reporting disbursements. The fund- (1) The expenditure is made on or raising representative shall report all after January 1 of the year imme- disbursements in the reporting period diately following the last Presidential in which they are made. Each partici- election year; pant shall report in a memo Schedule B (2) With respect to the goods or serv- his or her total allocated share of these ices involved, the candidate accepted or received them, requested or sug- disbursements in the same reporting gested their provision, was materially period in which net proceeds are dis- involved in the decision to provide tributed and reported and include the them, or was involved in substantial amount on page 4 of Form 3–P, under discussions about their provision; and ‘‘Expenditures Subject to Limit.’’ (3) The goods or services are— [56 FR 35934, July 29, 1991; 56 FR 42380, Aug. (i) Polling expenses for determining 27, 1991, as amended at 67 FR 49132, July 29, the favorability, name recognition, or 2002; 79 FR 77851, Dec. 29, 2014] relative support level of the candidate involved;

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(ii) Compensation paid to employees, tion as of the candidate’s date of ineli- consultants, or vendors for services gibility; plus rendered in connection with estab- (ii) The candidate’s expenses exempt lishing and staffing offices in States from the expenditure limitations as of where Presidential primaries, cau- the candidate’s date of ineligibility; ex- cuses, or preference polls are to be cept that held, other than offices in the can- (iii) The winding down limitation didate’s home state and in or near the shall be no less than $100,000. District of Columbia; (c) Allocation of primary and general (iii) Administrative expenses, includ- election winding down costs. A candidate ing rent, utilities, office supplies and who runs in both the primary and gen- equipment, in connection with estab- eral election may divide winding down lishing and staffing offices in States expenses between his or her primary where Presidential primaries, cau- and general election committees using cuses, or preference polls are to be any reasonable allocation method. An held, other than offices in the can- allocation method is reasonable if it di- didate’s home state and in or near the vides the total winding down costs be- District of Columbia; or tween the primary and general election (iv) Expenses of individuals seeking committees and results in no less than to become delegates in the Presidential one third of total winding down costs nomination process. allocated to each committee. A can- (b) Notwithstanding paragraph (a) of didate may demonstrate than an allo- this section, if the candidate, through cation method is reasonable even if ei- an authorized committee, reimburses ther the primary or the general elec- the multicandidate political com- tion committee is allocated less than mittee within 30 days of becoming a one third of total winding down costs. candidate, the payment shall not be (d) deemed an in-kind contribution for ei- Primary winding down costs during ther entity, and the reimbursement the general election period. A primary shall be an expenditure and a qualified election candidate who does not run in campaign expense of the candidate. the general election may receive and use matching funds for these purposes [68 FR 47419, Aug. 8, 2003] either after he or she has notified the Commission in writing of his or her § 9034.11 Winding down costs. withdrawal from the campaign for (a) Winding down costs. Winding down nomination or after the date of the costs are costs associated with the ter- party’s nominating convention, if he or mination of political activity related she has not withdrawn before the con- to a candidate’s seeking his or her vention. A primary election candidate nomination for election, such as the who runs in the general election, re- costs of complying with the post elec- gardless of whether the candidate re- tion requirements of the Federal Elec- ceives public funds for the general election Campaign Act and the Presi- tion, must wait until 31 days after the dential Primary Matching Payment general election before using any Account Act, and other necessary ad- matching funds for winding down costs ministrative costs associated with related to the primary election. No ex- winding down the campaign, including penses incurred by a primary election office space rental, staff salaries, and candidate who runs in the general elec- office supplies. Winding down costs are tion prior to 31 days after the general qualified campaign expenses. election shall be considered primary (b) Winding down limitation. The total winding down costs. amount of winding down costs that may be paid for, in whole or part, with [68 FR 47419, Aug. 8, 2003] matching funds shall not exceed the lesser of: PART 9035—EXPENDITURE (1) 10% of the overall expenditure LIMITATIONS limitation pursuant to 11 CFR 9035.1; or (2) 10% of the total of: Sec. (i) The candidate’s expenditures sub- 9035.1 Campaign expenditure limitation; ject to the overall expenditure limita- compliance and fundraising exemptions.

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9035.2 Limitation on expenditures from per- didate’s authorized committee(s), or sonal or family funds. agents under 11 CFR 109.37(a)(3), and 9035.3 Contributions to and expenditures by that exceed the coordinated party ex- Vice Presidential candidates. penditure limitation for the Presi- AUTHORITY: 26 U.S.C. 9035 and 9039(b). dential general election at 11 CFR SOURCE: 56 FR 35491, July 29, 1991, unless 109.32(a); and otherwise noted. (iv) Other in-kind contributions received or accepted by the candidate or § 9035.1 Campaign expenditure limita- the candidate’s authorized com- tion; compliance and fundraising mittee(s) or agents. exemptions. (4) The amount of each in-kind con- (a) Spending limit. (1) No candidate or tribution attributed to the expenditure his or her authorized committee(s) limitations under this section is the shall knowingly incur expenditures in usual and normal charge for the goods connection with the candidate’s cam- or services provided to the candidate or paign for nomination, which expendi- the candidate’s authorized com- tures, in the aggregate, exceed mittee(s) as an in-kind contribution. $10,000,000 (as adjusted under 52 U.S.C. (b) Allocation of expenditures. Each 30116(c)), except that the aggregate ex- candidate receiving or expecting to re- penditures by a candidate in any one ceive matching funds under this sub- State shall not exceed the greater of: 16 chapter shall also allocate his or her cents (as adjusted under 52 U.S.C. expenditures in accordance with the 30116(c)) multiplied by the voting age provisions of 11 CFR 106.2. population of the State (as certified under 52 U.S.C. 30116(e)); or $200,000 (as (c) Compliance, fundraising and short- adjusted under 52 U.S.C. 30116(c)). fall bridge loan exemptions. (1) A can- (2) The Commission will calculate didate may exclude from the overall the amount of expenditures attrib- expenditure limitation set forth in utable to the overall expenditure limit paragraph (a) of this section an amount or to a particular state using the full equal to 15% of the overall expenditure amounts originally charged for goods limitation as exempt legal and ac- and services rendered to the committee counting compliance costs under 11 and not the amounts for which such ob- CFR 100.146. In the case of a candidate ligations were settled and paid, unless who does not run in the general elec- the committee can demonstrate that tion, for purposes of the expenditure the lower amount paid reflects a rea- limitations set forth in this section, sonable settlement of a bona fide dis- 100% of salary, overhead and computer pute with the creditor. expenses incurred after a candidate’s (3) In addition to expenditures made date of ineligibility may be treated as by a candidate or the candidate’s au- exempt legal and accounting compli- thorized committee(s) using campaign ance expenses beginning with the first funds, the Commission will attribute to full reporting period after the can- the candidate’s overall expenditure didate’s date of ineligibility. Can- limitation and to the expenditure limi- didates who continue to campaign or tations of particular states under 11 re-establish eligibility may not treat CFR 110.8 the total amount of all: 100% of salary, overhead and computer (i) Coordinated expenditures under 11 expenses incurred during the period be- CFR 109.20; tween the date of ineligibility and the (ii) Coordinated communications date on which the candidate either re- under 11 CFR 109.21 that are in-kind establishes eligibility or ceases to con- contributions received or accepted by tinue to campaign as exempt legal and the candidate, the candidate’s author- accounting compliance expenses. For ized committee(s), or agents, under 11 purposes of the expenditure limitations CFR 109.21(b); set forth in this section, candidates (iii) Coordinated party expenditures, who run in the general election, re- including party coordinated commu- gardless of whether they receive public nications pursuant to 11 CFR 109.37 funds, must wait until 31 days after the that are in-kind contributions received general election before they may treat or accepted by the candidate, the can- 100% of salary, overhead and computer

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expenses as exempt legal and account- the candidate’s ability to pay, any re- ing compliance expenses. payments required under 11 CFR part (2) A candidate may exclude from the 9038. If the candidate or his or her com- overall expenditure limitation of 11 mittee knowingly incurs expenditures CFR 9035.1 the amount of exempt fund- in excess of the limitations of 11 CFR raising costs specified in 11 CFR 110.8(a), the Commission may seek civil 100.152(c). penalties under 11 CFR part 111 in addi- (3) If any matching funds to which tion to any repayment determinations the candidate is entitled are not paid made on the basis of such excessive ex- to the candidate, or are paid after the penditures. date on which payment is due, the can- (2) Expenditures made using a credit didate may exclude from the overall card for which the candidate is jointly expenditure limitation in paragraph (a) or solely liable will count against the of this section the amount of all inter- limits of this section to the extent that est charges that accrued during the the full amount due, including any fi- shortfall period on all loans obtained nance charge, is not paid by the com- by the candidate or authorized committee within 60 days after the closing mittee that are guaranteed or secured date of the billing statement on which with matching funds, provided the can- the charges first appear. For purposes didate submits documentation as to of this section, the closing date shall be the amount of all interest charges on the date indicated on the billing state- such loans. The shortfall period begins ment which serves as the cutoff date on the first regularly scheduled pay- for determining which charges are in- ment date on which the candidate does cluded on that billing statement. not receive the entire amount of (b) For purposes of this section, the matching funds and ends on the pay- term immediate family means a can- ment date when the candidate receives didate, spouse, and any child, parent, the previously certified matching funds grandparent, brother, half-brother, sis- or the date on which the Commission ter, or half-sister of the candidate, and revises the amount previously certified the spouses of such persons. to eliminate the entitlement to the (c) For purposes of this section, per- previously certified matching funds. sonal funds has the same meaning as (d) Candidates not receiving matching specified in 11 CFR 9003.2. funds. The expenditure limitations of [56 FR 35491, July 29, 1991, as amended at 68 11 CFR 9035.1 shall not apply to a can- FR 4002, Jan. 27, 2003] didate who does not receive matching funds at any time during the matching § 9035.3 Contributions to and expendi- payment period. tures by Vice Presidential candidates. [64 FR 49364, Sept. 13, 1999, as amended at 67 FR 78683, Dec. 26, 2002; 68 FR 47420, Aug. 8, (a) Aggregation of contributions and ex- 2003; 79 FR 77851, Dec. 29, 2014] penditures. For purposes of the limitations on contributions and expendi- § 9035.2 Limitation on expenditures tures of this part and part 110, con- from personal or family funds. tributions to, and expenditures by, the (a)(1) No candidate who has accepted authorized committee of a candidate matching funds shall knowingly make who becomes the nominee of a political expenditures from his or her personal party for the office of Vice President of funds, or funds of his or her immediate the United States shall be aggregated family, in connection with his or her with contributions to and expenditures campaign for nomination for election by the publicly funded primary can- to the office of President which exceed didate who obtains that political par- $50,000, in the aggregate. This section ty’s nomination for the office of Presi- shall not operate to prohibit any mem- dent of the United States, provided ber of the candidate’s immediate fam- that the contributions to or expendi- ily from contributing his or her per- tures by the authorized committee of sonal funds to the candidate, subject to the Vice Presidential candidate were the limitations of 11 CFR part 110. The made on or after the date on which— provisions of this section also shall not (1) The Presidential or Vice Presi- limit the candidate’s liability for, nor dential candidate publicly indicates

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that the two candidates intend to run sion for matching fund payments in ac- on the same ticket; cordance with the format for such sub- (2) The candidate for the office of missions set forth in 11 CFR 9036.1(b). Vice President accepts an offer by the The candidate may submit the thresh- publicly funded primary candidate for old submission simultaneously with or the office of President, or by the Presi- subsequent to his or her submission of dential candidate’s agent(s), to run on the candidate agreement and certifi- the same ticket; or cations required by 11 CFR 9033.1 and (3) The Presidential and Vice Presi- 9033.2. dential committees become affiliated (b) Format for threshold submission. (1) pursuant to 11 CFR 100.5(g)(4)(i) or (ii). For each State in which the candidate (b) Exceptions. The following expenditures, if incurred by the authorized certifies that he or she has met the re- committee of a candidate who subse- quirements of the certifications in 11 quently becomes the nominee of a po- CFR 9033.2(b), the candidate shall sub- litical party for the office of Vice mit an alphabetical list of contributors President of the United States, will not showing: be aggregated under paragraph (a) of (i) Each contributor’s full name and this section: residential address; (1) The cost of attendance by the can- (ii) The occupation and name of em- didate, the candidate’s family, and the ployer for individuals whose aggregate candidate’s authorized committee’s contributions exceed $200 in an election staff at a political party’s national cycle; nominating convention, including the (iii) The date of deposit of each con- cost of transportation, lodging, and tribution into the designated campaign subsistence; depository; (2) The cost of legal and accounting (iv) The full dollar amount of each services associated with background contribution submitted for matching checks during the Vice Presidential se- purposes; lection process; and (v) The matchable portion of each (3) The cost of raising funds for the contribution submitted for matching expenses listed in paragraphs (b)(1) and (b)(2) of this section. purposes; (vi) The aggregate amount of all [64 FR 61781, Nov. 15, 1999] matchable contributions from that contributor submitted for matching PART 9036—REVIEW OF MATCHING purposes; FUND SUBMISSIONS AND CER- (vii) A notation indicating which TIFICATION OF PAYMENTS BY contributions were received as a result COMMISSION of joint fundraising activities. (2) For each list of contributors gen- Sec. erated directly or indirectly from com- 9036.1 Threshold submission. puterized files or computerized records, 9036.2 Additional submissions for matching the candidate shall submit computer- fund payments. 9036.3 Submission errors and insufficient ized magnetic media, such as magnetic documentation. tapes or magnetic diskettes, con- 9036.4 Commission review of submissions. taining the information required by 11 9036.5 Resubmissions. CFR 9036.1(b)(1) in accordance with 11 9036.6 Continuation of certification. CFR 9033.12. AUTHORITY: 26 U.S.C. 9036 and 9039(b). (3) The candidate shall submit a full- SOURCE: 56 FR 34132, July 25, 1991; 56 FR size photocopy of each check or written 35941, July 29, 1991, unless otherwise noted. instrument and of supporting documentation in accordance with 11 CFR § 9036.1 Threshold submission. 9034.2 for each contribution that the (a) Time for submission of threshold candidate submits to establish eligi- submission. At any time after January 1 bility for matching funds. For purposes of the year immediately preceding the of the threshold submission, the photo- Presidential election year, the can- copies shall be segregated alphabeti- didate may submit a threshold submis- cally by contributor within each State,

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and shall be accompanied by and ref- ments. Additional information on the erenced to copies of the relevant de- documentation required to accompany posit slips. In lieu of submitting photo- such contributions is found in the Com- copies, the candidate may submit dig- mission’s Guideline for Presentation in ital images of checks and other mate- Good Order. See 11 CFR 9033.1(b)(9). rials in accordance with the procedures (8) The candidate shall submit all specified in 11 CFR 9036.2(b)(1)(vi). Dig- contributions in accordance with the ital images of contributions do not Federal Election Commission’s Guide- need to be segregated alphabetically by line for Presentation in Good Order. contributor within each State. (9) Contributions that are not sub- (4) The candidate shall submit bank mitted in compliance with this section documentation, such as bank-validated shall not count toward the threshold deposit slips or unvalidated deposit amount. slips accompanied by the relevant bank (c) Threshold certification by Commis- statements, which indicate that the sion. (1) After the Commission has de- contributions submitted were deposited termined under 11 CFR 9033.4 that the into a designated campaign depository. candidate has satisfied the eligibility (5) For each State in which the can- and certification requirements of 11 didate certifies that he or she has met CFR 9033.1 and 9033.2, the Commission the requirements to establish eligi- will notify the candidate in writing bility, the candidate shall submit a that the candidate is eligible to receive listing, alphabetically by contributor, primary matching fund payments as of all checks returned by the bank to provided in 11 CFR part 9034. date as unpaid (e.g., stop payments, (2) If the Commission makes a deter- non-sufficient funds) regardless of mination of a candidate’s eligibility whether the contribution was sub- under 11 CFR 9036.1(a) in a Presidential mitted for matching. This listing shall election year, the Commission shall be accompanied by a full-size photo- certify to the Secretary, within 10 cal- copy of each unpaid check, and copies endar days after the Commission has of the associated debit memo and bank made its determination, the amount to statement. which the candidate is entitled. (6) For each State in which the can- (3) If the Commission makes a deter- didate certifies that he or she has met mination of a candidate’s eligibility the requirements to establish eligi- under 11 CFR 9036.1(a) in the year pre- bility, the candidate shall submit a ceding the Presidential election year, listing, in alphabetical order by con- the Commission will notify the can- tributor, of all contributions that were didate that he or she is eligible to re- refunded to the contributor, regardless ceive matching fund payments; how- of whether the contributions were sub- ever, the Commission’s determination mitted for matching. For each refunded will not result in a payment of funds to contribution, the listing shall state the the candidate until after January 1 of contributor’s full name and address, the Presidential election year. the deposit date and batch number, an [56 FR 34132, July 25, 1991, as amended at 56 indication of which matching fund sub- FR 35941, July 29, 1991; 64 FR 42585, Aug. 5, mission the contribution was included 1999; 64 FR 49365, Sept. 13, 1999; 68 FR 47420, in, if any, and the amount and date of Aug. 8, 2003] the refund. The listing shall be accompanied by a full-sized photocopy of § 9036.2 Additional submissions for each refunded contributor check. matching fund payments. (7) In the case of a contribution made (a) Time for submission of additional by a credit or debit card, including one submissions. The candidate may submit made over the Internet, the candidate additional submissions for payments to shall provide sufficient documentation the Commission on dates to be deter- to the Commission to insure that each mined and published by the Commis- such contribution was made by a law- sion. On the last two submission dates ful contributor who manifested an in- in the year prior to the election year tention to make the contribution to and on each submission date after the the candidate or authorized committee beginning of the matching payment pe- that submits it for matching fund pay- riod, the candidate may not make more

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than one additional submission, and ei- documentation shall either be alpha- ther one resubmission under 11 CFR betized and referenced to copies of the 9036.5 or one corrected submission relevant deposit slip, but not seg- under 11 CFR 9036.2(c) or (d)(2), as ap- regated by State as required in the propriate. threshold submission; or such photo- (b) Format for additional submissions. copies may be batched in deposits of 50 The candidate may obtain additional contributions or less and cross-ref- matching fund payments subsequent to erenced by deposit number and se- the Commission’s threshold certifi- quence number within each deposit on cation and payment of primary match- the contributor list. In lieu of submit- ing funds to the candidate by filing an ting photocopies, the candidate may additional submission for payment. All submit digital images of checks, writ- additional submissions for payments ten instruments and deposit slips as filed by the candidate shall be made in specified in the Computerized Magnetic accordance with the Federal Election Media Requirements. The candidate Commission’s Guideline for Presen- may also submit digital images of con- tation in Good Order. tributor redesignations, reattributions (1) The first submission for matching and supporting statements and mate- funds following the candidate’s thresh- rials needed to verify the matchability old submission shall contain all the of contributions. The candidate shall matchable contributions included in provide the computer equipment and the threshold submission and any addi- software needed to retrieve and read tional contributions to be submitted the digital images, if necessary, at no for matching in that submission. This cost to the Commission, and shall in- submission shall contain all the infor- clude digital images of every contribu- mation required for the threshold sub- tion received and imaged on or after mission except that: the date of the previous matching fund (i) The candidate is not required to request. Contributions and other docu- resubmit the candidate agreement and mentation not imaged shall be sub- certifications of 11 CFR 9033.1 and mitted in photocopy form. The can- 9033.2; didate shall maintain the originals of (ii) The candidate is required to sub- all contributor redesignations, remit an alphabetical list of contributors attributions and supporting statements (either solely in magnetic media from and materials that are submitted for or in both printed and magnetic media matching as digital images. forms), but not segregated by State as (vii) In the case of a contribution required in the threshold submission; made by a credit or debit card, includ- (iii) The candidate is required to sub- ing one made over the Internet, the mit a listing, alphabetical by contrib- candidate shall provide sufficient docu- utor, of all checks returned unpaid, but mentation to the Commission to insure not segregated by State as required in that each such contribution was made the threshold submission; by a lawful contributor who manifested (iv) The candidate is required to sub- an intention to make the contribution mit a listing, in alphabetical order by to the candidate or authorized com- contributor, of all contributions re- mittee that submits it for matching funded to the contributor but not seg- fund payments. Additional information regated by State as required in the on the documentation required to ac- threshold submission. company such contributions is found in (v) The occupation and employer’s the Commission’s Guideline for Presen- name need not be disclosed on the con- tation in Good Order. See 11 CFR tributor list for individuals whose ag- 9033.1(b)(9). gregate contributions exceed $200 in (2) Following the first submission the election cycle, but such informa- under 11 CFR 9036.2(b)(1), candidates tion is subject to the recordkeeping may request additional matching funds and reporting requirements of 52 U.S.C. on dates prescribed by the Commission 30102(c)(3), 30104(b)(3)(A) and 11 CFR by making a full submission as re- 102.9(a)(2), 104.3(a)(4)(i); and quired under 11 CFR 9036.2(b)(1). The (vi) The photocopies of each check or amount requested for matching may written instrument and of supporting include contributions received up to

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the last business day preceding the year. Corrected submissions and re- date of the request. submissions will be reviewed by the (c) Additional submissions submitted in Commission in accordance with 11 CFR non-Presidential election year. The can- 9036.4 and 9036.5. Submissions and re- didate may submit additional contribu- submissions will not be considered to tions for review during the year pre- be corrected unless the projected dollar ceding the presidential election year; value of nonmatchable contributions however, the amount of each submis- has been reduced to no more than 15% sion made during this period must ex- of the amount requested. ceed $50,000. Additional submissions filed by a candidate in a non-Presi- [56 FR 34132, July 25, 1991; 56 FR 41891, Aug. 23, 1991; 60 FR 31885, June 16, 1995; 64 FR dential election year will not result in 42585, Aug. 5, 1999; 64 FR 49365, Sept. 13, 1999; payment of matching funds to the can- 68 FR 47420, Aug. 8, 2003; 79 FR 77852, Dec. 29, didate until after January 1 of the 2014] Presidential election year. If the projected dollar value of the nonmatch- § 9036.3 Submission errors and insuffi- able contributions exceeds 15% of the cient documentation. amount requested, the procedures de- Contributions which are otherwise scribed in 11 CFR 9036.2(d)(2) shall matchable may be rejected for match- apply, unless the submission was made ing purposes because of submission er- on the last submission date in Decem- rors or insufficient supporting docu- ber of the year before the Presidential mentation. Contributions, other than election year. those defined in 11 CFR 9034.3 or in the (d) Certification of additional payments form of money orders, cashier’s checks, by Commission. (1) When a candidate or similar negotiable instruments, may who is eligible under 11 CFR 9033.4 sub- become matchable if there is a proper mits an additional submission for pay- resubmission in accordance with 11 ment in the Presidential election year, CFR 9036.5 and 9036.6. Insufficient docu- and before the candidate’s date of ineli- mentation or submission errors include gibility, the Commission will review but are not limited to: the additional submission and will cer- (a) Discrepancies in the written in- tify to the Secretary at least once a strument, such as: month on dates to be determined and (1) Instruments drawn on other than published by the Commission, an personal accounts of contributors and amount to which the candidate is enti- not signed by the contributing indi- tled in accordance with 11 CFR vidual; 9034.1(b). See 11 CFR 9036.4 for Commis- (2) Signature discrepancies; and sion procedures for certification of additional payments. (3) Lack of the contributor’s signa- (2) After a candidate’s date of ineligi- ture, the amount or date of the con- bility, the Commission will review tribution, or the listing of the com- each additional submission and resub- mittee or candidate as payee. mission, and will certify to the Sec- (b) Discrepancies between listed con- retary, at least once a month on dates tributions and the written instrument to be determined and published by the or supporting documentation, such as: Commission, an amount to which the (1) The listed amount requested for ineligible candidate is entitled in ac- matching exceeds the amount con- cordance with 11 CFR 9034.1(b), unless tained on the written instrument; the projected dollar value of the non- (2) A written instrument has not been matchable contributions contained in submitted to support a listed contribu- the submission or resubmission exceeds tion; 15% of the amount requested. In the (3) The submitted written instrument latter case, the Commission will return cannot be associated either by the additional submission or resubmis- accountholder identification or signa- sion to the candidate and request that ture with the listed contributor; or it be corrected, unless the resubmission (4) A discrepancy between the listed was made on the last date for re- contribution and the supporting bank submissions in September of the year documentation or the bank documenta- following the Presidential election tion is omitted.

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(c) Discrepancies within or between sion date, and will certify to the Sec- contributor lists submitted, such as: retary the amount to which the can- (1) The address of the contributor is didate is entitled on the regularly omitted or incomplete or the contribu- scheduled certification date for the tor’s name is alphabetized incorrectly, original submission. Corrected submis- or more than one contributor is listed sions made after this five-day period per item; will be reviewed subsequent to the next (2) A discrepancy in aggregation regularly scheduled submission date, within or between submissions which and the Commission will certify to the results in a request that more than $250 Secretary the amount to which the be matched for that contributor, or a candidate is entitled on the next regu- listing of a contributor more than once larly scheduled certification date. Each within the same submission; or corrected submission shall only con- (3) A written instrument has been tain contributions previously sub- previously submitted and matched in mitted for matching in the returned full or is listed twice in the same sub- submission and no new or additional mission. contributions. (d) The omission of information, sup- (b) Acceptance of submission for review porting statements, or documentation of matchability. If the Commission de- required by 11 CFR 9034.2. termines that a submission made under 11 CFR part 9036 satisfies the require- § 9036.4 Commission review of submis- ments of 11 CFR 9036.1(b) and 9036.2 (b), sions. (c) and (d), and the Federal Election (a) Non-acceptance of submission for re- Commission’s Guideline for Presen- view of matchability. (1) The Commis- tation in Good Order, it will review the sion will make an initial review of each matchability of the contributions con- submission made under 11 CFR part tained therein. The Commission, in 9036 to determine if it substantially conducting its review, may utilize sta- meets the format requirements of 11 tistical sampling techniques. Based on CFR 9036.1(b) and 9036.2(b) and the Fed- the results of its review, the Commis- eral Election Commission’s Guideline sion may calculate a matchable for Presentation in Good Order. If the amount for the submission which is Commission determines that a submis- less than the amount requested by the sion does not substantially meet these candidate. If the Commission certifies requirements, it will not review the for payment to the Secretary an matchability of the contributions con- amount that is less than the amount tained therein. requested by the candidate in a par- (2) For submissions made in the year ticular submission, or reduces the before the Presidential election year amount of a subsequent certification to (other than submissions made on the the Secretary by adjusting a previous last submission date in that year), and certification made under 11 CFR submissions made after the candidate’s 9036.2(c)(1), the Commission will notify date of ineligibility, the Commission the candidate in writing of the fol- will stop reviewing the submission lowing: once the projected dollar value of non- (1) The amount of the difference be- matchable contributions exceeds 15% tween the amount requested and the of the amount requested, as provided in amount to be certified by the Commis- 11 CFR 9036.2 (c) or (d), as applicable. sion; (3) Under either paragraphs (a)(1) or (2) The amount of each contribution (a)(2) of this section, the Commission and the corresponding contributor’s will return the submission to the can- name for each contribution that the didate and request that it be corrected Commission has rejected as nonmatch- in accordance with the applicable re- able and the reason that it is not quirements. If the candidate makes a matchable; or if statistical sampling is corrected submission within 5 business used, the estimated amount of con- days after the Commission’s return of tributions by type and the reason for the original, the Commission will re- rejection; view the corrected submission prior to (3) The amount of contributions that the next regularly scheduled submis- have been determined to be matchable

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and that the Commission will certify (1) Resubmit the entire submission; to the Secretary for payment; and or (4) A statement that the candidate (2) Make a written request for the may supply the Commission with addi- identification of the specific contribu- tional documentation or other infor- tions that were rejected for matching, mation in the resubmission of any re- and resubmit those specific contribu- jected contribution under 11 CFR 9036.5 tions. in order to show that a rejected con- (b) Time for presentation of resubmis- tribution is matchable under 11 CFR sions. If the candidate chooses to resub- 9034.2. mit any contributions under 11 CFR (c) Adjustment of amount to be certified 9036.5(a), the contributions shall be re- by Commission. (1) The candidate shall submitted on dates to be determined notify the Commission as soon as pos- and published by the Commission. The sible if the candidate or the candidate’s candidate may not make any resubmis- authorized committee(s) has knowl- sions later than the first Tuesday in edge that a contribution submitted for September of the year following the matching does not qualify under 11 Presidential election year. CFR 9034.2 as a matchable contribu- (c) Format for resubmissions. All re- tion, such as a check returned to the submissions filed by the candidate committee for insufficient funds or a shall be made in accordance with the contribution that has been refunded, so Federal Election Commission’s Guide- that the Commission may properly ad- line for Presentation in Good Order. In just the amount to be certified for pay- making a presentation of resubmitted ment. contributions, the candidate shall fol- (2) After the candidate’s date of ineli- low the format requirements as speci- gibility, if the candidate does not re- fied in 11 CFR 9036.2(b)(1), except that: ceive the entire amount of matching (1) The candidate need not provide funds on a regularly scheduled pay- photocopies of written instruments, ment date due to a shortfall in the supporting documentation and bank matching payment account, prior to documentation unless it is necessary to each subsequent payment date on supplement the original documenta- which the candidate receives payments tion. from any previous certification, the (2) Each resubmitted contribution Commission may revise the amount shall be referenced to the submission in previously certified for payment pursu- which it was first presented. ant to 11 CFR 9034.5(f). The Commis- (3) Each list of resubmitted contribu- sion will promptly notify the Secretary tions shall reflect the aggregate and the candidate of any revision to amount of contributions submitted for the amount certified. matching from each contributor as of (d) Commission audit of submissions. the date of the original submission. The Commission may determine, for (4) Each list of resubmitted contribu- the reasons stated in 11 CFR part 9039, tions shall reflect the aggregate that an audit and examination of con- amount of contributions submitted for tributions submitted for matching pay- matching from each contributor as of ment is warranted. The audit and ex- the date of the resubmission. amination shall be conducted in ac- (5) Each list of resubmitted contribu- cordance with the procedures of 11 CFR tions shall only contain contributions part 9039. previously submitted for matching and [56 FR 34133, July 25, 1991] no new or additional contributions. (6) Each resubmission shall be ac- § 9036.5 Resubmissions. companied by a statement that the (a) Alternative resubmission methods. candidate has corrected his or her con- Upon receipt of the Commission’s no- tributor records (including the data tice of the results of the submission re- base for those candidates maintaining view pursuant to 11 CFR 9036.4(b), or of their contributor list on computer). an inquiry pursuant to 11 CFR 9039.3 (d) Certification of resubmitted con- that results in a downward adjustment tributions. Contributions that the Com- to the amount of certified matching mission determines to be matchable funds, a candidate may choose to: will be certified to the Secretary at

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least once a month on dates to be de- Monday in March of the year following termined and published by the Com- the election. No contribution will be mission. If the candidate chooses to re- matched if it is submitted after the quest the specific contributions re- last submission date, regardless of the jected for matching pursuant to 11 CFR date the contribution was deposited. 9036.5(a)(2), the amount certified shall [56 FR 34134, July 25, 1991] equal only the matchable amount of the particular contribution that meets the standards on resubmission, rather PART 9037—PAYMENTS AND than the amount projected as being REPORTING nonmatchable based on that contribution due to the sampling techniques Sec. used in reviewing the original submis- 9037.1 Payments of Presidential primary sion. matching funds. 9037.2 Equitable distribution of funds. (e) Initial determinations. If the can- 9037.3 Deposits of Presidential primary didate resubmits a contribution for matching funds. matching and the Commission deter- 9037.4 Alphabetized schedules. mines that the rejected contribution is AUTHORITY: 26 U.S.C. 9037 and 9039(b). still non-matchable, the Commission will notify the candidate in writing of § 9037.1 Payments of Presidential pri- its determination. The Commission mary matching funds. will advise the candidate of the legal Upon receipt of a written certifi- and factual reasons for its determina- cation from the Commission, but not tion and of the evidence on which that before the beginning of the matching determination is based. The candidate payment period, the Secretary will may submit written legal or factual promptly transfer the amount certified materials to demonstrate that the con- from the matching payment account to tribution is matchable within 30 cal- the candidate. A matching fund certifi- endar days after service of the Com- mission’s notice. Such materials may cation may not result in full payment be submitted by counsel if the can- by the Secretary in the case of a short- didate so desires. fall in the matching payment account. (f) Final determinations. The Commis- See 26 CFR 702.9037–1 and 702.9037–2. sion will consider any written legal or [56 FR 34134, July 25, 1991] factual materials timely submitted by the candidate in making its final deter- § 9037.2 Equitable distribution of mination. A final determination by the funds. Commission that a contribution is not In making such transfers to can- matchable will be accompanied by a didates of the same political party, the written statement of reasons for the Secretary will seek to achieve an equi- Commission’s action. This statement table distribution of funds available in will explain the reasons underlying the the matching payment account, and Commission’s determination and will the Secretary will take into account, summarize the results of any investiga- in seeking to achieve an equitable dis- tion upon which the determination is tribution of funds available in the based. matching payment account, the se- quence in which such certifications are [56 FR 34134, July 25, 1991 and 56 FR 35941, July 29, 1991; 60 FR 31885, June 16, 1995] received. See 26 CFR 702.9037–2(c) regarding partial payments to candidates § 9036.6 Continuation of certification. in the case of a shortfall in the match- Candidates who have received matching payment account. ing funds and who are eligible to con- [56 FR 34134, July 25, 1991] tinue to receive such funds may continue to submit additional submissions § 9037.3 Deposits of Presidential pri- for payment to the Commission on mary matching funds. dates specified in the Federal Election Upon receipt of any matching funds, Commission’s Guideline for Presen- the candidate shall deposit the full tation in Good Order. The last date for amount received into a checking ac- first-time submissions will be the first count maintained by the candidate’s

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principal campaign committee in the (3) Information obtained pursuant to depository designated by the can- any audit and examination conducted didate. The account(s) shall be main- under 11 CFR 9038.1(a) (1) and (2) may tained at a State bank, federally char- be used by the Commission as the tered depository institution or other basis, or partial basis, for its repay- depository institution, the deposits of ment determinations under 11 CFR which are insured by the Federal De- 9038.2. posit Insurance Corporation. (b) Conduct of fieldwork. (1) If the candidate or the candidate’s authorized [56 FR 35944, July 29, 1991] committee does not maintain or use § 9037.4 Alphabetized schedules. any computerized information containing the data listed in 11 CFR If the authorized committee(s) of a 9033.12, the Commission will give the candidate file a schedule of itemized candidate’s authorized committee at receipts, disbursements, or debts and least two weeks’ notice of the Commis- obligations pursuant to 11 CFR 104.3 sion’s intention to commence that was generated directly or indi- fieldwork on the audit and examina- rectly from computerized files or tion. The fieldwork shall be conducted records, the schedule shall list in al- at a site provided by the committee. If phabetical order the sources of the re- the candidate or the candidate’s au- ceipts, the payees or the creditors, as thorized committee maintains or uses appropriate. In the case of individuals, computerized information containing such schedule shall list all contribu- any of the data listed in 11 CFR 9033.12, tors, payees, and creditors in alphabet- the Commission generally will request ical order by surname. such information prior to commence- [60 FR 31885, June 16, 1995] ment of audit fieldwork. Such request will be made in writing. The committee shall produce the computerized PART 9038—EXAMINATIONS AND information no later than 15 calendar AUDITS days after service of such request. Upon receipt of the computerized infor- Sec. mation requested and compliance with 9038.1 Audit. the technical specifications of 11 CFR 9038.2 Repayments. 9033.12(b), the Commission will give the 9038.3 Liquidation of obligations; repayment. candidate’s authorized committee at 9038.4 Extensions of time. least two weeks’ notice of the Commis- 9038.5 Petitions for rehearing; stays of re- sion’s intention to commence payment determinations. fieldwork on the audit and examina- 9038.6 Stale-dated committee checks. tion. The fieldwork shall be conducted 9038.7 Administrative record. at a site provided by the committee. During or after audit fieldwork, the AUTHORITY: 26 U.S.C. 9038 and 9039(b). Commission may request additional or SOURCE: 56 FR 35945, July 29, 1991, unless updated computerized information otherwise noted. which expands the coverage dates of computerized information previously § 9038.1 Audit. provided, and which may be used for (a) General. (1) The Commission will purposes including, but not limited to, conduct an audit of the qualified cam- updating a statement of net out- paign expenses of every candidate and standing campaign obligations, or up- his or her authorized committee(s) who dating the amount chargeable to a received Presidential primary match- state expenditure limit. During or after ing funds. The audit may be conducted audit fieldwork, the Commission may at any time after the date of the can- also request additional computerized didate’s ineligibility. information which was created by or (2) In addition, the Commission may becomes available to the committee conduct other examinations and audits and that is of assistance in the Com- from time to time as it deems nec- mission’s audit. The committee shall essary to carry out the provisions of produce the additional or updated com- this subchapter. puterized information no later than 15

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calendar days after service of the Com- or other information requested by the mission’s request. Commission, the Commission may (i) Office space and records. On the issue an order pursuant to 52 U.S.C. date scheduled for the commencement 30107(a)(1) or a subpoena or subpoena of fieldwork, the candidate or his or duces tecum pursuant to 52 U.S.C. her authorized committee(s) shall pro- 30107(a)(3). The procedures set forth in vide Commission staff with office space 11 CFR 111.11 through 111.15, as appro- and committee records in accordance priate, shall apply to the production of with the candidate and committee such records, materials, evidence or agreement under 11 CFR 9033.1(b)(6). other information as specified in the (ii) Availability of committee personnel. order, subpoena or subpoena duces On the date scheduled for the com- tecum. mencement of fieldwork, the candidate (2) Fieldwork will include the fol- or his or her authorized committee(s) lowing steps designed to keep the can- shall have committee personnel didate and committee informed as to present at the site of the fieldwork. the progress of the audit and to expe- Such personnel shall be familiar with dite the process: the committee’s records and operation (i) Entrance conference. At the outset and shall be available to Commission of the fieldwork, Commission staff will staff to answer questions and to aid in hold an entrance conference, at which locating records. the candidate’s representatives will be (iii) Failure to provide staff, records or advised of the purpose of the audit and office space. If the candidate or his or the general procedures to be followed. her authorized committee(s) fail to Future requirements of the candidate provide adequate office space, per- and his or her authorized committee, sonnel or committee records, the Com- such as possible repayments to the mission may seek judicial intervention United States Treasury, will also be under 52 U.S.C. 30107 or 26 U.S.C. 9040(c) discussed. Committee representatives to enforce the candidate and com- shall provide information and records mittee agreement made under 11 CFR necessary to conduct the audit, and 9033.1(b). Before seeking judicial inter- Commission staff will be available to vention, the Commission will notify answer committee questions. the candidate of his or her failure to (ii) Review of records. During the comply with the agreement and will fieldwork, Commission staff will re- recommend corrective action to bring view committee records and may con- the candidate into compliance. Upon duct interviews of committee per- receipt of the Commission’s notifica- sonnel. Commission staff will be avail- tion, the candidate will have 10 cal- able to explain aspects of the audit and endar days in which to take the correc- examination as it progresses. Addi- tive action indicated or to otherwise tional meetings between Commission demonstrate to the Commission in staff and committee personnel may be writing that he or she is complying held from time to time during the with the candidate and committee fieldwork to discuss possible audit agreement. findings and to resolve issues arising (iv) If, in the course of the audit during the course of the audit. process, a dispute arises over the docu- (iii) Exit conference. At the conclusion mentation sought or other require- of the fieldwork, Commission staff will ments of the candidate agreement, the hold an exit conference to discuss with candidate may seek review by the committee representatives the staff’s Commission of the issues raised. To preliminary findings and recommenda- seek review, the candidate shall submit tions that the staff anticipates it will a written statement, within 10 calendar present to the Commission for ap- days after the disputed Commission proval. Commission staff will advise staff request is made, describing the committee representatives at this con- dispute and indicating the candidate’s ference of the committee’s opportunity proposed alternative(s). to respond to these preliminary find- (v) If the candidate or his or her au- ings; the projected timetables regard- thorized committee fails to produce ing the issuance of the Preliminary particular records, materials, evidence Audit Report, the Audit Report, and

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any repayment determination; the documentation requested by the Com- committee’s opportunity for an admin- mission. Such materials may be sub- istrative review of any repayment de- mitted by counsel if the candidate so termination; and the procedures in- desires. volved in Commission repayment de- (d) Approval and issuance of audit re- terminations under 11 CFR 9038.2. port. (1) Before voting on whether to (3) Commission staff may conduct ad- issue and approve an audit report, the ditional fieldwork after the completion Commission will consider any written of the fieldwork conducted pursuant to legal and factual materials timely sub- 11 CFR 9038.1(b) (1) and (2). Factors mitted by the candidate or his or her that may necessitate such follow-up authorized committee in accordance fieldwork include, but are not limited with paragraph (c) of this section. The to, the following: Commission-approved audit report may (i) Committee responses to audit address issues other than those con- findings; tained in the Preliminary Audit Re- (ii) Financial activity of the committee subsequent to the fieldwork port. In addition, this report will con- conducted pursuant to 11 CFR tain a repayment determination made 9038.1(b)(1); by the Commission pursuant to 11 CFR (iii) Committee responses to Commis- 9038.2(c)(1). sion repayment determinations made (2) The audit report may contain under 11 CFR 9038.2. issues that warrant referral to the Of- (4) The Commission will notify the fice of General Counsel for possible en- candidate and his or her authorized forcement proceedings under 52 U.S.C. committee if follow-up fieldwork is 30109 and 11 CFR part 111. necessary. The provisions of 11 CFR (3) Addenda to the audit report may 9038.1(b) (1) and (2) shall apply to any be approved and issued by the Commis- additional fieldwork conducted. sion from time to time as cir- (c) Preliminary Audit Report: Issuance cumstances warrant and as additional by Commission and committee response. information becomes available. Such (1) Commission staff will prepare a addenda may be based on follow-up written Preliminary Audit Report, fieldwork conducted under paragraph which will be provided to the com- (b)(3) of this section, and/or informa- mittee after it is approved by an af- tion ascertained by the Commission in firmative vote of four (4) members of the normal course of carrying out its the Commission. The Preliminary supervisory responsibilities. The proce- Audit Report may include— dures set forth in paragraphs (c) and (d) (i) An evaluation of procedures and (1) and (2) of this section will be fol- systems employed by the candidate and lowed in preparing such addenda. The committee to comply with applicable addenda will be placed on the public provisions of the Federal Election record as set forth in paragraph (e) of Campaign Act, the Presidential Elec- this section. Such addenda may also in- tion Campaign Fund Act and Commis- clude additional repayment determina- sion regulations; (ii) The accuracy of statements and tion(s). reports filed with the Commission by (e) Public release of audit report. (1) the candidate and committee; and The Commission will consider the (iii) Preliminary calculations regard- audit report in an open session agenda ing future repayments to the United document. The Commission will pro- States Treasury. vide the candidate and the committee (2) The candidate and his or her au- with copies of any agenda document to thorized committee may submit in be considered in an open session 24 writing within 60 calendar days after hours prior to releasing the agenda receipt of the Preliminary Audit Re- document to the public. port, legal and factual materials dis- (2) Following Commission approval of puting or commenting on the proposed the audit report, the report will be for- findings contained in the Preliminary warded to the committee and released Audit Report. In addition, the com- to the public. The Commission will mittee shall submit any additional provide the candidate and committee

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with copies of the audit report ap- after the close of the matching pay- proved by the Commission 24 hours be- ment period. The Commission’s fore releasing the report to the public. issuance of the audit report to the can- (f)(1) Sampling. In conducting an didate under 11 CFR 9038.1(d) will con- audit of contributions pursuant to this stitute notification for purposes of this section, the Commission may utilize section. generally accepted statistical sampling (3) Once the candidate receives notice techniques to quantify, in whole or in of the Commission’s repayment deter- part, the dollar value of related audit mination under this section, the can- findings. A projection of the total didate should give preference to the re- amount of violations based on apparent payment over all other outstanding ob- violations identified in such a sample ligations of his or her committee, ex- may become the basis, in whole or in cept for any federal taxes owned by the part, of any audit finding. committee. (2) A committee in responding to a (4) Repayments may be made only sample-based finding concerning exces- from the following sources: personal sive or prohibited contributions shall funds of the candidate (without regard respond only to the specific sample items used to make the projection. If to the limitations of 11 CFR 9035.2), the committee demonstrates that any contributions and federal funds in the apparent errors found among the sam- committee’s account(s), and any addi- ple items were not errors, the Commis- tional funds raised subject to the limi- sion shall make a new projection based tations and prohibitions of the Federal on the reduced number of errors in the Election Campaign Act of 1971, as sample. amended. (3) Within 30 days of service of the (b) Bases for repayment—(1) Payments Final Audit Report, the committee in excess of candidate’s entitlement. The shall submit a check to the United Commission may determine that cer- States Treasury for the total amount tain portions of the payments made to of any excessive or prohibited contribu- a candidate from the matching pay- tions not refunded, reattributed or re- ment account were in excess of the ag- designated in a timely manner in ac- gregate amount of payments to which cordance with 11 CFR 103.3(b) (1), (2) or such candidate was entitled. Examples (3); or take any other action required of such excessive payments include, by the Commission with respect to but are not limited to, the following: sample-based findings. (i) Payments made to the candidate after the candidate’s date of ineligi- [56 FR 35945, July 29, 1991; 56 FR 42380, Aug. 27, 1991; 60 FR 31885, June 16, 1995; 64 FR bility where it is later determined that 61781, Nov. 15, 1999; 79 FR 77852, Dec. 29, 2014] the candidate had no net outstanding campaign obligations as defined in 11 § 9038.2 Repayments. CFR 9034.5; (a) General. (1) A candidate who has (ii) Payments or portions of pay- received payments from the matching ments made to the candidate which are payment account shall pay the United later determined to have been exces- States Treasury any amounts which sive due to the operation of the Com- the Commission determines to be re- mission’s expedited payment proce- payable under this section. In making dures as set forth in the Federal Elec- repayment determinations under this tion Commission’s Guideline for Pres- section, the Commission may utilize entation in Good Order; information obtained from audits and (iii) Payments or portions of pay- examinations conducted pursuant to 11 ments made on the basis of matched CFR 9038.1 and part 9039 or otherwise contributions later determined to have obtained by the Commission in car- been non-matchable; rying out its responsibilities under this (iv) Payments or portions of pay- subchapter. ments made to the candidate which are (2) The Commission will notify the later determined to have been exces- candidate of any repayment determina- sive due to the candidate’s failure to tions made under this section as soon include funds received by a fundraising as possible, but not later than 3 years representative committee under 11

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CFR 9034.8 on the candidate’s state- the candidate bears to the candidate’s ment of net outstanding campaign obli- total deposits, as of 90 days after the gations under 11 CFR 9034.5; and candidate’s date of ineligibility. For (v) Payments or portions of pay- the purposes of this paragraph ments made to the candidate on the (b)(2)(iii)— basis of the debts reflected in the can- (A) Total deposits is defined in ac- didate’s statement of net outstanding cordance with 11 CFR 9038.3(c)(2); and campaign obligations, which debts are (B) In seeking repayment for non- later settled for an amount less than qualified campaign expenses from com- that stated in the statement of net mittees that have received matching outstanding campaign obligations. fund payments after the candidate’s (2) Use of funds for non-qualified cam- date of ineligibility, the Commission paign expenses. (i) The Commission may will review committee expenditures to determine that amount(s) of any pay- determine at what point committee ac- ments made to a candidate from the matching payment account were used counts no longer contain matching for purposes other than those set forth funds. In doing this, the Commission in paragraphs (b)(2)(i) (A)–(C) of this will review committee expenditures section: from the date of the last matching fund (A) Defrayal of qualified campaign payment to which the candidate was expenses; entitled, using the assumption that the (B) Repayment of loans which were last payment has been expended on a used to defray qualified campaign ex- last-in, first-out basis. penses; and (iv) Repayment determinations under (C) Restoration of funds (other than 11 CFR 9038.2(b)(2) will include all non- contributions which were received and qualified campaign expenses paid be- expended to defray qualified campaign fore the point when committee ac- expenses) which were used to defray counts no longer contain matching qualified campaign expenses. funds, including non-qualified cam- (ii) Examples of Commission repay- paign expenses listed on the can- ment determinations under 11 CFR didate’s statement of net outstanding 9038.2(b)(2) include, but are not limited campaign obligations that may result to, the following: in a separate repayment determination (A) Determinations that a candidate, under 11 CFR 9038.2(b)(1). a candidate’s authorized committee(s) (v) If a candidate or a candidate’s au- or agents have made expenditures in thorized committee(s) exceeds both the excess of the limitations set forth in 11 overall expenditure limitation and one CFR part 9035; or more State expenditure limitations, (B) Determinations that funds de- as set forth at 11 CFR 9035.1(a), the re- scribed in 11 CFR 9038.2(b)(2)(i) were ex- payment determination under 11 CFR pended in violation of State or Federal 9038.2(b)(2)(ii)(A) shall be based on only law; the larger of either the amount exceed- (C) Determinations that funds de- ing the State expenditure limitation(s) scribed in 11 CFR 9038.2(b)(2)(i) were expended for expenses resulting from a or the amount exceeding the overall violation of State or Federal law, such expenditure limitation. as the payment of fines or penalties; (3) Failure to provide adequate docu- and mentation. The Commission may deter- (D) Determinations that funds de- mine that amount(s) spent by the can- scribed in 11 CFR 9038.2(b)(2)(i) were ex- didate, the candidate’s authorized com- pended for costs associated with con- mittee(s), or agents were not docu- tinuing to campaign after the can- mented in accordance with 11 CFR didate’s date of ineligibility. 9033.11. The amount of any repayment (iii) The amount of any repayment sought under this section shall be de- sought under this section shall bear termined by using the formula set the same ratio to the total amount de- forth in 11 CFR 9038.2(b)(2)(iii). termined to have been used for non- (4) The Commission may determine qualified campaign expenses as the that the candidate’s net outstanding amount of matching funds certified to campaign obligations, as defined in 11

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CFR 9034.5, reflect a surplus. The Com- that the Commission provide such can- mission may determine that the net in- didate with an opportunity to address come derived from an investment or the Commission in open session to other use of surplus public funds after demonstrate that no repayment, or a the candidate’s date of ineligibility, lesser repayment, is required. The can- less Federal, State and local taxes paid didate should identify in this request on such income, shall be paid to the the repayment issues he or she wants Treasury. to address at the oral hearing. If the (c) Repayment determination proce- Commission decides by an affirmative dures. The Commission’s repayment devote of four (4) of its members to grant termination will be made in accord- the candidate’s request, it will inform ance with the procedures set forth at the candidate of the date and time set paragraphs (c)(1) through (c)(4) of this for the oral hearing. At the date and section. time set by the Commission, the can- (1) Repayment determination. The didate or candidate’s designated rep- Commission will provide the candidate resentative will be allotted an amount with a written notice of its repayment determination(s). This notice will be of time in which to make an oral pres- included in the Commission’s audit re- entation to the Commission based upon port prepared pursuant to 11 CFR the legal and factual materials sub- 9038.1(d), or inquiry report pursuant to mitted under paragraph (c)(2)(ii) of this 11 CFR 9039.3, and will set forth the section. The candidate or representa- legal and factual reasons for such de- tive will also have the opportunity to termination(s), as well as the evidence answer any questions from individual upon which any such determination is members of the Commission. based. The candidate shall repay to the (3) Repayment determination upon re- United States Treasury in accordance view. In deciding whether to revise any with paragraph (d) of this section, the repayment determination(s) following amount which the Commission has de- an administrative review pursuant to termined to be repayable. paragraph (c)(2) of this section, the (2) Administrative review of repayment Commission will consider any submis- determination. If a candidate disputes sion made under paragraph (c)(2)(i) and the Commission’s repayment deter- any oral hearing conducted under para- mination(s), he or she may request an graph (c)(2)(ii), and may also consider administrative review of the deter- any new or additional information mination(s) as set forth in paragraph from other sources. A determination (c)(2)(i) of this section. following an administrative review (i) Submission of written materials. A that a candidate must repay a certain candidate who disputes the Commis- amount will be accompanied by a writ- sion’s repayment determination(s) ten statement of reasons supporting shall submit in writing, within 60 cal- the Commission’s determination(s). endar days after service of the Com- This statement will explain the legal mission’s notice, legal and factual ma- and factual reasons underlying the terials demonstrating that no repay- Commission’s determination(s) and ment, or a lesser repayment, is re- will summarize the results of any in- quired. Such materials may be sub- vestigation(s) upon which the deter- mitted by counsel if the candidate so desires. The candidate’s failure to mination(s) are based. timely raise an issue in written mate- (d) Repayment period. (1) Within 90 rials presented pursuant to this para- calendar days of service of the notice of graph will be deemed a waiver of the the Commission’s repayment deter- candidate’s right to raise the issue at mination(s), the candidate shall repay any future stage of proceedings includ- to the United States Treasury the ing any petition for review filed under amounts which the Commission has de- 26 U.S.C. 9041(a). termined to be repayable. Upon appli- (ii) Oral hearing. A candidate who cation by the candidate, the Commis- submits written materials pursuant to sion may grant an extension of up to 90 paragraph (c)(2)(i) of this section may calendar days in which to make repay- at the same time request in writing ment.

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(2) If the candidate requests an ad- notify the Commission of such newly- ministrative review of the Commis- discovered assets. Newly-discovered as- sion’s repayment determination(s) sets may include refunds, rebates, late- under paragraph (c)(2) of this section, arriving receivables, and actual re- the time for repayment will be sus- ceipts for capital assets in excess of the pended until the Commission has con- value specified in any previously-sub- cluded its administrative review of the mitted statement of net outstanding repayment determination(s). Within 30 campaign obligations. Newly-discov- calendar days after service of the no- ered assets may serve as a basis for ad- tice of the Commission’s post-adminis- ditional repayment determinations trative review repayment determina- under 11 CFR 9038.2(f). tion(s), the candidate shall repay to (h) Petitions for rehearing; stays pend- the United States Treasury the amounts which the Commission has de- ing appeal. The candidate may file a pe- termined to be repayable. Upon appli- tition for rehearing of a repayment de- cation by the candidate, the Commis- termination in accordance with 11 CFR sion may grant an extension of up to 90 9038.5(a). The candidate may request a calendar days in which to make repay- stay of a repayment determination in ment. accordance with 11 CFR 9038.5(c) pend- (3) Interest shall be assessed on all ing the candidate’s appeal of that re- repayments made after the initial 90- payment determination. day repayment period established at [56 FR 35945, July 29, 1991, as amended at 60 paragraph (d)(1) of this section or the FR 31886, June 16, 1995; 60 FR 57538, 57539, 30-day repayment period established at Nov. 16, 1995; 61 FR 69020, Dec. 31, 1996; 68 FR paragraph (d)(2) of this section. The 47421, Aug. 8, 2003] amount of interest due shall be the greater of: § 9038.3 Liquidation of obligations; re- (i) An amount calculated in accord- payment. ance with 28 U.S.C. 1961 (a) and (b); or (a) The candidate may retain (ii) The amount actually earned on amounts received from the matching the funds set aside under this section. payment account for a period not ex- (e) Computation of time. The time periods established by this section shall ceeding 6 months after the matching be computed in accordance with 11 CFR payment period to pay qualified cam- 111.2. paign expenses incurred by the can- (f) Additional repayments. Nothing in didate. this section will prevent the Commis- (b) After all obligations have been sion from making additional repay- liquidated, the candidate shall so in- ment determinations on one or more of form the Commission in writing. the bases set forth at 11 CFR 9038.2(b) (c)(1) If on the last day of candidate after it has made a repayment deter- eligibility the candidate’s net out- mination on any such basis. The Com- standing campaign obligations, as de- mission may make additional repay- fined in 11 CFR 9034.5, reflect a surplus, ment determinations where there exist the candidate shall within 30 calendar facts not used as the basis for any pre- days of the ineligibility date repay to vious determination. Any such addi- the Secretary an amount which rep- tional repayment determination will resents the amount of matching funds be made in accordance with the provi- contained in the candidate’s surplus. sions of this section. The amount shall be an amount equal (g) Newly-discovered assets. If, after to that portion of the surplus which any repayment determination made bears the same ratio to the total sur- under this section, a candidate or his plus that the total amount received by or her authorized committee(s) re- the candidate from the matching pay- ceives or becomes aware of assets not previously included in any statement ment account bears to the total depos- of net outstanding campaign obliga- its made to the candidate’s accounts. tions submitted pursuant to 11 CFR (2) For purposes of this subsection, 9034.5, the candidate or his or her au- total deposits means all deposits to all thorized committee(s) shall promptly

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candidate accounts minus transfers be- (2) Take into consideration any infor- tween accounts, refunds, rebates, reim- mation obtained in connection with bursements, checks returned for insuf- the exercise of any such right or taking ficient funds, proceeds of loans and of any such action before making deci- other similar amounts. sions or determinations under 11 CFR (3) Notwithstanding the payment of part 9038. any amounts to the United States [56 FR 35945, July 29, 1991, as amended at 60 Treasury under this section, the Com- FR 31887, June 16, 1995] mission may make surplus repayment determination(s) which require repay- § 9038.5 Petitions for rehearing; stays ment in accordance with 11 CFR 9038.2. of repayment determinations. (a) Petitions for rehearing. (1) Fol- § 9038.4 Extensions of time. lowing the Commission’s final deter- (a) It is the policy of the Commission mination under 11 CFR 9033.10 or that extensions of time under 11 CFR 9034.5(g) or the Commission’s repay- part 9038 shall not be routinely grant- ment determination under 11 CFR ed. 9038.2(c), the candidate may file a petition for rehearing setting forth the re- (b) Whenever a candidate has a right lief desired and the legal and factual or is required to take action within a basis in support. To be considered by period of time prescribed by 11 CFR the Commission, petitions for rehear- part 9038 or by notice given thereunder, ing must: the candidate may apply in writing to (i) Be filed within 20 calendar days the Commission for an extension of after service of the Commission’s final time in which to exercise such right or determination or repayment deter- take such action. The candidate shall mination; demonstrate in the application for ex- (ii) Raise new questions of law or fact tension that good cause exists for his that would materially alter the Com- or her request. mission’s final determination or repay- (c) An application for extension of ment determination; and time shall be made at least 7 calendar (iii) Set forth clear and convincing days prior to the expiration of the time grounds why such questions were not period for which the extension is and could not have been presented dur- sought. The Commission may, upon a ing the original determination process. showing of good cause, grant an exten- (2) If a candidate files a timely peti- sion of time to a candidate who has ap- tion under this section challenging a plied for such extension in a timely Commission repayment determination, manner. The length of time of any ex- the time for repayment of the amount tension granted hereunder will be de- at issue will be suspended until the cided by the Commission and may be Commission serves notice on the can- less than the amount of time sought by didate of its determination on the peti- the candidate in his or her application. tion. The time periods for making re- If a candidate seeks an extension of payment under 11 CFR 9038.2(d) shall any 60-day response period under 11 apply to any amounts determined to be CFR part 9038, the Commission may repayable following the Commission’s grant no more than one extension to consideration of a petition for rehear- that candidate, which extension shall ing under this section. not exceed 15 days. (b) Effect of failure to raise issues. The (d) If a candidate fails to seek an ex- candidate’s failure to raise an argu- tension of time, exercise a right or ment in a timely fashion during the take a required action prior to the ex- original determination process or in a piration of a time period prescribed by petition for rehearing under this sec- 11 CFR part 9038 the Commission may, tion, as appropriate, shall be deemed a on the candidate’s showing of excus- waiver of the candidate’s right to able neglect: present such arguments in any future (1) Permit such candidate to exercise stage of proceedings including any pe- his or her right(s), or take such re- tition for review filed under 26 U.S.C. quired action(s) after the expiration of 9041(a). An issue is not timely raised in the prescribed time period; and a petition for rehearing if it could have

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been raised earlier in response to the the case suggest that the status quo Commission’s original determination. should be maintained. (c) Stay of repayment determination (4) All stays shall require the pay- pending appeal. (1)(i) The candidate ment of interest on the amount at may apply to the Commission for a issue. The amount of interest due shall stay of all or a portion of the amount be calculated from the date 30 days determined to be repayable under this after service of the Commission’s re- section or under 11 CFR 9038.2 pending payment determination under 11 CFR the candidate’s appeal of that repay- 9038.2(c) and shall be the greater of: ment determination pursuant to 26 (i) An amount calculated in accord- U.S.C. 9041(a). The repayment amount ance with 28 U.S.C. 1961 (a) and (b); or requested to be stayed shall not exceed (ii) The amount actually earned on the amount at issue on appeal. the funds set aside under this section. (ii) A request for a stay shall be made [56 FR 35945, July 29, 1991, as amended at 60 in writing and shall be filed within 30 FR 31887, June 16, 1995] calendar days after service of the Com- mission’s decision on a petition for re- § 9038.6 Stale-dated committee checks. hearing under paragraph (a) of this sec- If the committee has checks out- tion, or, if no petition for rehearing is standing to creditors or contributors filed, within 30 calendar days after that have not been cashed, the com- service of the Commission’s repayment mittee shall notify the Commission. determination under 11 CFR 9038.2(c). The committee shall inform the Com- (2) The Commission’s approval of a mission of its efforts to locate the pay- stay request will be conditioned upon ees, if such efforts have been necessary, the candidate’s presentation of evi- and its efforts to encourage the payees dence in the stay request that he or to cash the outstanding checks. The she: committee shall also submit a check (i) Has placed the entire amount at for the total amount of such out- issue in a separate interest-bearing ac- standing checks, payable to the United count pending the outcome of the ap- States Treasury. peal and that withdrawals from the account may only be made with the joint § 9038.7 Administrative record. signatures of the candidate or his or her agent and a Commission represent- (a) The Commission’s administrative ative; or record for final determinations under 11 CFR part 9033, sections 9034.5, 9036.5 (ii) Has posted a surety bond guaran- and part 9039, and for repayment deter- teeing payment of the entire amount minations under 11 CFR 9038.2, consists at issue plus interest; or of all documents or materials sub- (iii) Has met the following criteria: mitted to the Commission for its con- (A) He or she will suffer irreparable sideration in making those determina- injury in the absence of a stay; and, if tions. The administrative record will so, that include the certification of the Com- (B) He or she has made a strong mission’s vote(s), the audit report that showing of the likelihood of success on is sent to the committee (for repay- the merits of the judicial action. ment determinations), the state- (C) Such relief is consistent with the ment(s) of reasons, and the candidate public interest; and agreement. The committee may in- (D) No other party interested in the clude documents or materials in the proceedings would be substantially administrative record by submitting harmed by the stay. them within the time periods set forth (3) In determining whether the can- at 11 CFR 9033.3(b), 9033.4(a)(2), didate has made a strong showing of 9033.6(c), 9033.7(b), 9033.9(b), 9034.5(g)(2), the likelihood of success on the merits 9036.5(e), 9038.1(c) and 9038.2(c)(2), as ap- under paragraph (c)(2)(iii)(B) of this propriate. section, the Commission may consider (b) The Commission’s administrative whether the issue on appeal presents a record for determinations under 11 CFR novel or admittedly difficult legal part 9033, sections 9034.5, 9036.5 and question and whether the equities of 9038.2 and part 9039 does not include:

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(1) Documents and materials in the (1) Any and all materials and commu- files of individual Commissioners or nications which the candidate and his employees of the Commission that do or her authorized committee(s) submit not constitute a basis for the Commis- or provide under 11 CFR part 9036 and sion’s decisions because they were not in response to inquiries or requests of circulated to the Commission and were the Commission and its staff; not referenced in documents that were (2) Disclosure reports on file with the circulated to the Commission; Commission; and (2) Transcripts or audio tapes of Com- (3) Other publicly available docu- mission discussions other than tran- ments. scripts or audio tapes of oral hearings (b) In carrying out the Commission’s pursuant to 11 CFR 9038.2(c)(2), al- responsibilities under this subchapter, though such transcripts or tapes may Commission staff may contact rep- be made available under 11 CFR parts 4 resentatives of the candidate and his or or 5; or her authorized committee(s) to discuss (3) Documents properly subject to questions and to request documenta- privileges such as an attorney-client tion concerning committee activities privilege, or items constituting attor- and any submission made under 11 CFR ney work product. part 9036. (c) The administrative record identified in paragraph (a) of this section is § 9039.3 Examination and audits; in- the exclusive record for the Commis- vestigations. sion’s determinations under 11 CFR (a) General. (1) The Commission will part 9033, §§ 9034.5, 9036.5 and 9038.2 and consider information obtained in its part 9039. continuing review under 11 CFR 9039.2 [60 FR 31888, June 16, 1995] in making any certification, determination or finding under this sub- PART 9039—REVIEW AND chapter. If the Commission decides by INVESTIGATION AUTHORITY an affirmative vote of four of its members that additional information must be obtained in connection with any Sec. such certification, determination or 9039.1 Retention of books and records. 9039.2 Continuing review. finding, it will conduct a further in- 9039.3 Examinations and audits; investiga- quiry. A decision to conduct an inquiry tions. under this section may be based on information that is obtained under 11 AUTHORITY: 26 U.S.C. 9039. CFR 9039.2, received by the Commission SOURCE: 56 FR 35949, July 29, 1991, unless from outside sources, or otherwise otherwise noted. ascertained by the Commission in carrying out its supervisory responsibil- § 9039.1 Retention of books and ities under the Presidential Primary records. Matching Payment Account Act and The candidate and his or her author- the Federal Election Campaign Act. ized committee(s) shall keep all books, (2) An inquiry conducted under this records and other information required section may be used to obtain informa- under 11 CFR 9033.11, 9034.2 and part tion relevant to candidate eligibility, 9036 for a period of three years pursu- matchability of contributions and re- ant to 11 CFR 102.9(c) and shall furnish payments to the United States Treas- such books, records and information to ury. Information obtained during such the Commission on request. an inquiry may be used as the basis, or partial basis, for Commission certifi- § 9039.2 Continuing review. cations, determinations and findings (a) In reviewing candidate submis- under 11 CFR parts 9033, 9034, 9036 and sions made under 11 CFR part 9036 and 9038. Information thus obtained may in otherwise carrying out its respon- also be the basis of, or be considered in sibilities under this subchapter, the connection with, an investigation Commission may routinely consider in- under 52 U.S.C. 30109 and 11 CFR part formation from the following sources: 111.

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(3) Before conducting an inquiry (vi) Production of documents under under this section, the Commission subpoena; will attempt to obtain relevant infor- (vii) Depositions. mation under the continuing review (3) The provisions of 52 U.S.C. 30109 provisions of 11 CFR 9039.2. Matching and 11 CFR part 111 will not apply to payments will not be withheld pending inquiries conducted under this section the results of an inquiry under this sec- except that the provisions of 11 CFR tion unless the Commission finds pat- 111.12 through 111.15 shall apply to any ent irregularities suggesting the possi- orders or subpoenas issued by the Com- bility of fraud in materials submitted mission. by, or in the activities of, the can- (4) If, at the close of the inquiry, the didate or his or her authorized com- Commission determines that no action mittee(s). or no further action is warranted, the (b) Procedures. (1) The Commission Commission shall so notify the can- will notify the candidate of its decision didate. If the inquiry results in an ad- to conduct an inquiry under this sec- justment to the amount of certified tion. The notice will summarize the matching funds, the procedures set legal and factual basis for the Commis- forth at 11 CFR 9036.5 or 9038.1 shall be sion’s decision. followed, as appropriate. If the inquiry (2) The Commission’s inquiry may in- coincides with an audit undertaken clude, but is not limited to, the fol- pursuant to 11 CFR 9038.1, the informa- lowing: tion obtained in the inquiry will be uti- (i) A field audit of the candidate’s lized in making the repayment deter- books and records; mination. If the inquiry results in an (ii) Field interviews of agents and initial or additional repayment deter- representatives of the candidate and mination, the procedures set forth at 11 his or her authorized committee(s); CFR 9038.2, 9038.4, and 9038.5 shall be (iii) Verification of reported con- followed. tributions by contacting reported contributors; [56 FR 35949, July 29, 1991; 56 FR 42380, Aug. (iv) Verification of disbursement in- 27, 1991; 60 FR 31888, June 16, 1995; 79 FR formation by contacting reported ven- 77852, Dec. 29, 2014] dors; (v) Written questions under order; PARTS 9040–9099 [RESERVED]

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Part Page 9400–9404 [Reserved] 9405 Procedures for disclosure of records under the Freedom of Information Act ...... 367 9407 Implementation of the Government in the Sun- shine Act ...... 376 9409 Testimony by Commission employees relating to official information and production of official records in legal proceedings ...... 380 9410 Implementation of the Privacy Act of 1974 ...... 386 9411 Standards of conduct ...... 390 9420 Nondiscrimination on the basis of handicap in programs or activities conducted by the U.S. Elec- tion Assistance Commission ...... 390 9428 National Voter Registration Act (42 U.S.C. 1973gg– 1 et seq.) ...... 395 9430 Debt collection...... 399 9431–9499 [Reserved]

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implementation of the FOIA activities resentative of the news media if that of the Commission. person can demonstrate a solid basis FOIA Public Liaison means a person for expecting publication by a news or- designated by the Chief FOIA Officer ganization (whether or not the jour- under § 9405.3(d) to assist in the resolu- nalist is actually employed by the enti- tion of any disputes between the re- ty). A publication contract would quester and the Commission. present a solid basis for such an expec- FOIA request means to seek the re- tation. The Commission may also con- lease of records under 5 U.S.C. 552, as sider the past publication record of the amended. requester in making this determina- General Counsel means the General tion. Counsel of the Commission or his or Requester is any person who submits her designee. a FOIA request to the Commission for Non-commercial scientific institution release of a record under 5 U.S.C. 552, means an organization that is not oper- as amended. ated on a commercial basis and which Review means the process of exam- is operated solely for the purpose of ining a document located in response conducting scientific research, the re- to a commercial use request to deter- sults of which are not intended to pro- mine whether any portion of the docu- mote any particular product or indus- ment located is exempt from disclo- try. sure. Review also refers to processing Record means any information that any document for disclosure, i.e., doing would be a Commission record subject all that is necessary to excise exempt to the requirements of this part when portions of the document or otherwise maintained by the Commission in any prepare the document for release. Re- format, including, but not limited to, view time includes time spent consid- an electronic format. Record includes ering any formal objection to disclo- information that is maintained for the sure made by a business submitter re- Commission by an entity under Gov- questing confidential treatment but ernment contract for the purposes of does not include time spent resolving records management. general legal or policy issues regarding Representative of the news media the application of exemptions. means any person or entity that gath- ers information of potential interest to Search means all time spent review- a segment of the public, uses editorial ing, manually or by automated means, skills to turn the raw materials into a Commission records for the purpose of distinct work, and distributes that locating those records that are respon- work to an audience. As used in this sive to a FOIA request, including, but paragraph, ‘‘news’’ means information not limited to, page-by-page or line-by- that is about current events or that line identification of material within would be of current interest to the pub- documents and also includes reason- lic. Examples of news media entities able efforts to locate and retrieve in- include, but are not limited to, tele- formation from records maintained in vision or radio stations broadcasting to electronic form or format. Search time the public at large, web logs, and pub- does not include review of material to lishers of periodicals (but only in those determine whether the material is ex- instances in which these entities can empt from disclosure. qualify as disseminators of news, as defined in this paragraph) who make § 9405.3 Policy on disclosure of records. their products available for purchase or subscription by the general public. As (a) The Commission will make the used in this paragraph, a ‘‘web log’’ fullest possible disclosure of records to means a publicly available Web site, the public, consistent with the rights usually maintained by an individual, of individuals to privacy, the rights of with regular entries of commentary, individuals and other entities with re- descriptions of events, or other mate- spect to trade secrets and commercial rial. A freelance journalist may be re- or financial information entitled to garded as working for a news media en- privileged and confidential treatment, tity and therefore, considered a rep- and the need for the Commission to

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promote free internal policy delibera- exempt Commission records, or portions and to pursue its official activi- tions of records, not previously made ties without undue disruption. public under 5 U.S.C. 552(a)(1) and (b) All Commission records shall be (a)(2). available to the public unless they are (d) The Commission shall maintain specifically exempt under this part. and make available current indexes (c) In the interest of efficiency and and supplements providing identifying economy, the Commission’s preference information regarding any matter is to furnish records to requesters in issued, adopted, or promulgated after electronic format, when possible. July 4, 1967. These indexes and supple- (d) To carry out this policy, the Com- ments shall be published and made mission shall designate a Chief Free- available on at least a quarterly basis dom of Information Act Officer (Chief for public distribution unless the Com- FOIA Officer). The Chief FOIA Officer mission determines by Notice in the shall designate one or more Commis- FEDERAL REGISTER that publication sion officials, as appropriate, as FOIA Public Liaison and/or as FOIA Officers. would be unnecessary, impracticable, A FOIA Public Liaison shall serve as a or not feasible due to budgetary consid- supervisory official to whom a FOIA erations. Nevertheless, copies of any requester can raise questions about the index or supplement shall be made service the FOIA requester has re- available upon request at a cost not to ceived. A FOIA Officer shall have the exceed the direct cost of duplication. authority, subject to the direction and (e) If documents or files contain both supervision of the Chief FOIA Officer, disclosable and non-disclosable infor- the requirements of this part, and the mation, the non-disclosable informa- FOIA, to make decisions concerning tion will be deleted and the disclosable disclosure of records to the public. information released, unless the disclosable portions cannot be reason- § 9405.4 Availability of records. ably segregated from the other por- (a) The FOIA and its provisions apply tions in a manner which will allow only to existing Commission records; meaningful information to be dis- the FOIA does not require the creation closed. of new records. (f) All records created in the process (b) In accordance with 5 U.S.C. of implementing provisions of 5 U.S.C. 552(a)(2), the Commission shall make 552 will be maintained by the Commis- the following materials available for sion in accordance with the authority public inspection and copying: granted by the National Archives and (1) Statements of policy and interpre- Records Service of the General Serv- tation that have been adopted by the ices Administration. Commission but have not been pub- (g) The Commission encourages the lished in the FEDERAL REGISTER; public to explore the information (2) Administrative staff manuals and available on the Commission’s Web instructions to staff that affect a mem- site, located at http://www.eac.gov. ber of the public; (3) Copies of all records, regardless of § 9405.5 Categories of exemptions. form or format, that have been released to any person under this para- (a) No FOIA requests under 5 U.S.C. graph and that, because of their nature 552 shall be denied release unless the or subject matter, the Commission de- record contains, or its disclosure would termines have become or are likely to reveal, matters that are: become the subject of subsequent re- (1) Specifically authorized under cri- quests for substantially the same teria established by an Executive Order records; and to be kept secret in the interest of na- (4) A general index of the records re- tional defense or foreign policy and ferred to in paragraph (b)(3) of this sec- are, in fact, properly classified under tion. such Executive Order; (c) In accordance with 5 U.S.C. (2) Related solely to the internal per- 552(a)(3), the Commission shall make sonnel rules and practices of the Com- available, upon proper request, all non- mission;

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(3) Specifically exempted from disclo- data or information separately from sure by statute, provided that such other material being submitted to the statute: Commission; (i) Requires that the matters be with- (ii) A request for confidential treat- held from the public in such a manner ment shall be addressed to the Chief as to leave no discretion on the issue, FOIA Officer, U.S. Election Assistance or Commission, 1201 New York Avenue, (ii) Establishes particular criteria for NW., Suite 300, Washington, DC 20005 withholding or refers to particular and shall indicate clearly on the enve- types of matters to be withheld; lope that it is a request for confidential (4) Trade secrets and commercial or treatment. financial information obtained from a person that are privileged or confiden- (iii) With each submission of, or offer tial. Such information includes con- to submit, business information which fidential business information which a submitter desires to be treated as concerns or relates to the trade se- confidential under paragraph (a)(4) of crets, processes, operations, style of this section, the submitter shall pro- works, or apparatus, or to the produc- vide the following, which may be dis- tion, sales, shipments, purchases, closed to the public: transfers, identification of customers, (A) A written description of the na- inventories, or amount of source of in- ture of the subject information and a come, profits, losses, or expenditures of justification for the request for its con- any person, firm, partnership, corpora- fidential treatment, and tion, or other organization, if the dis- (B) A certification in writing under closure is likely to have the effect of oath that substantially identical infor- either impairing the Commission’s mation is not available to the public. ability to obtain such information as is (iv) Approval or denial of requests necessary to perform its statutory shall be made only by the Chief FOIA functions or causing substantial harm Officer or his or her designees. A denial to the competitive position of the per- shall be in writing, shall specify the son, firm, partnership, corporation, or reason for the denial, and shall advise other organization from which the in- the submitter of the right to appeal to formation was obtained, unless the Commission is required by law to dis- the Commission. close such information. For purposes of (v) For good cause shown, the Com- this section, trade secret means a se- mission may grant an appeal from a de- cret, commercially valuable plan, for- nial by the Chief FOIA Officer or his or mula, process, or device that is used for her designee if the appeal is filed with- the making, preparing, compounding, in 15 days after receipt of the denial. or processing of trade commodities and An appeal shall be addressed to the that can be said to be the end product Chief FOIA Officer, U.S. Election As- of either innovation or substantial ef- sistance Commission, 1201 New York fort. Examples of trade secrets may in- Avenue, NW., Suite 300, Washington, clude, but are not limited to, plans, DC 20005 and shall clearly indicate that schematics, specifications of materials it is a confidential submission appeal. used in production, source code used to An appeal will be decided within 20 develop software, technical descrip- days after its receipt (excluding Satur- tions of manufacturing process, quality days, Sundays, and legal holidays) un- control methodology, and test results. less an extension, stated in writing The following procedures shall be used with the reasons therefore, has been for submitting business information in provided to the person making the ap- confidence: peal. (i) Clearly mark any portion of any (vi) Any business information sub- data or information being submitted that in the submitter’s opinion is a mitted in confidence and determined to trade secret or commercial and finan- be entitled to confidential treatment cial information that the submitter is shall be maintained in confidence by claiming should be treated as privi- the Commission and not disclosed ex- leged and confidential and submit such cept as required by law. In the event

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that any business information sub- leted and the exemption under which mitted to the Commission is not enti- the deletion is made shall be indicated tled to confidential treatment, the sub- on the released portion of the record, mitter will be permitted to withdraw unless including that indication would the tender unless it is the subject of a harm an interest protected by an ex- request under the FOIA or of judicial emption in paragraph (a) of this sec- discovery proceedings. tion under which the deletion is made. (5) Interagency or intra-agency If technically feasible, the amount of memoranda or letters that would not the information deleted shall be indi- be available by law to a party in litiga- cated at the place in the record where tion with the Commission; such deletion is made. (6) Personnel and medical files and (c) If a requested record is one of an- similar files, the disclosure of which other government agency or deals with would constitute a clearly unwarranted subject matter to which a government invasion of personal privacy; agency other than the Commission has (7) Records or information compiled exclusive or primary responsibility, for law enforcement purposes, but only the request for such a record shall be to the extent that the production of promptly referred by the Commission such law enforcement records or infor- to that agency for disposition or guid- mation: ance as to disposition. (i) Could reasonably be expected to (d) Nothing in this part authorizes interfere with enforcement pro- withholding of information or limiting ceedings; the availability of records to the pub- (ii) Would deprive a person of a right lic, except as specifically provided; nor to a fair trial or an impartial adjudica- is this part authority to withhold in- tion; formation from Congress. (iii) Could reasonably be expected to [73 FR 54257, Sept. 18, 2008, as amended at 75 constitute an unwarranted invasion of FR 49814, Aug. 16, 2010] personal privacy; (iv) Could reasonably be expected to § 9405.6 Discretionary release of ex- disclose the identity of a confidential empt records. source, including a State, local, or for- The Commission may, in its discre- eign agency or authority or any pri- tion, release requested records despite vate institution that furnished infor- the applicability of the exemptions in mation on a confidential basis, and, in § 9405.5, if it determines that it is in the the case of a record or information public interest and that the rights of compiled by a criminal law enforce- third parties would not be prejudiced. ment authority in the course of a The Executive Director will have the criminal investigation, or by an agency authority to determine that requested conducting a lawful national security records may be released despite other- intelligence investigation, information wise applicable exemptions. furnished by a confidential source; (v) Would disclose techniques and § 9405.7 Requests for records. procedures for law enforcement inves- (a) Requests for copies of Commis- tigations or prosecutions or would dis- sion records under the FOIA shall be close guidelines for law enforcement made in writing and addressed to the investigations or prosecutions if such Chief FOIA Officer, U.S. Election As- disclosure could reasonably be ex- sistance Commission, 1201 New York pected to risk circumvention of the Avenue, NW., Suite 300, Washington, law; or DC 20005. The request shall reasonably (vi) Could reasonably be expected to describe the records sought with suffi- endanger the life or physical safety of cient specificity with respect to names, any individual. dates, and subject matter to permit the (b) Any portion of a record that rea- records to be located. A requester will sonably can be segregated from the bal- be promptly advised if the records can- ance of the record shall be provided to not be located on the basis of the de- any individual requesting such record scription given and that further identi- after deletion of the portions which are fying information must be provided be- exempt. The amount of information de- fore the request can be satisfied.

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(b) Requests for Commission records quantity of separate and distinct and copies thereof shall specify the records that are the subject of a single preferred form or format (including request; or electronic formats) of the response. (3) Necessary for consultation with The Commission shall accommodate another agency that has a substantial requesters as to form or format if the interest in the determination of the re- record is readily available in that form quest. or format. When requesters do not (e) If the Commission determines specify the form or format of the re- that an extension of time is necessary sponse, the Commission shall respond to respond to a request satisfying the in the form or format in which the doc- unusual circumstances specified in ument is most accessible to the Com- paragraph (c) of this section, the Com- mission. In the interest of efficiency mission shall so notify the requester and economy, the Commission’s pref- and give the requester an opportunity erence is to furnish records to request- to limit the scope of the request so ers in electronic format, whenever pos- that it may be processed within the sible. time limit prescribed in paragraph (c) (c) The Commission shall determine of this section or arrange with the within 20 working days after receipt of Commission an alternative time frame a request, or 20 working days after an for processing the request or a modified appeal is granted, whether to comply request. with such request, unless in unusual (f) The Commission may aggregate circumstances the time is extended. and process as a single request requests The 20-day period shall commence on by the same requester, or a group of re- the date on which the request was first questers acting in concert, if the Com- received by the appropriate component mission reasonably believes that the of the Commission, but in any event, requests actually constitute a single not later than 10 days after the request request that would otherwise satisfy is first received by the component of the unusual circumstances specified in the Commission designated to receive requests under this part. The 20-day pe- paragraph (c) of this section, and the riod shall not be tolled by the Commis- requests involve clearly related mat- sion except— ters. (1) The Commission may make one (g) The Commission will process re- request of the requester for informa- quests under the FOIA based on the tion and toll the 20-day period while it order they are received. is awaiting such information that it (h) The Commission shall consider has reasonably requested from the re- requests for the expedited processing of quester. requests in cases where the requester (2) If it is necessary to clarify with demonstrates a compelling need for the requester issues regarding fee as- such processing. sessment. (1) The term ‘‘compelling need’’ (3) Under paragraphs (c)(1) or (2) of means, with respect to a request made this section, the Commission’s receipt by a person primarily engaged in dis- of the requester’s response to the Com- seminating information, urgency to in- mission’s request for information or form the public concerning actual or clarification ends the tolling period. alleged Federal government activity. (d) In the event the time is extended (2) Requesters for expedited proc- under paragraph (c) of this section, the essing must include in their requests a requester shall be notified of the rea- statement setting forth the basis for sons for the extension and the date on the claim that a ‘‘compelling need’’ ex- which a determination is expected to ists for the requested information, cer- be made. An extension may be made if tified by the requester to be true and it is— correct to the best of his or her knowl- (1) Necessary to locate records or edge and belief. transfer them from physically separate (3) The Commission shall determine facilities; or whether to grant a request for expe- (2) Necessary to search for, collect, dited processing and notify the re- and appropriately examine a large quester of such determination within

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10 days of receipt of the request. Deni- in the form in which it was originally als of requests for expedited processing requested. may be appealed as set forth in § 9405.8. (c) The appeal request should be de- The Commission shall expeditiously livered or addressed to the Chief FOIA determine any such appeal. As soon as Officer, U.S. Election Assistance Com- practicable, the Commission shall mission, 1225 New York Avenue, NW., process the documents responsive to a Suite 1100, Washington, DC 20005. request for which expedited processing (d) The requester may state facts and is granted. cite legal or other authorities as he or (i) Any person denied access to she deems appropriate in support of the records by the Commission shall be no- appeal request. tified immediately of the denial, in- (e) The Commission will make a de- cluding the reasons for the decision termination with respect to any appeal and notified of his or her right to ap- within 20 working days after receipt of peal the adverse determination to the the appeal (or within such extended pe- Commission. riod as is permitted under § 9405.7). If, (j) The date of receipt of a request on appeal, the denial of the request for under this part shall be the date on a record or a copy is in whole or in part which the Chief FOIA Officer actually upheld, the Commission shall advise receives the request. the requester of the denial and shall (k) Each request received by the notify him or her of the provisions for Chief FOIA Officer will be assigned an judicial review of that determination individualized tracking number. Re- as set forth in 5 U.S.C. 552(a)(4). questers may call (866) 747–1471 and, (f) Because of the risk of misunder- using the tracking number, obtain in- standing inherent in oral communica- formation about the request, including tions, the Commission will not enter- the date on which the Commission tain any appeal from an alleged denial originally received the request and an or failure to comply with an oral re- estimated date on which the Commis- quest. Any person who has orally re- sion will complete action on the requested a copy of a record that he or quest. she believes to have been improperly [73 FR 54257, Sept. 18, 2008, as amended at 75 denied should resubmit the request in FR 49814, Aug. 16, 2010] writing as set forth in § 9405.7.

§ 9405.8 Appeals of denials of requests § 9405.9 Fees in general. for records. (a) Generally. The Commission will (a) Any person who has been notified charge fees that recoup the full allow- under § 9405.7(i) that his/her request for able direct costs it incurs. The Com- inspection of a record or for a copy of mission will use the most efficient and a record has been denied, or who has least costly means to comply with re- received no response within 20 working quests for documentation. days (or within such extended period as (b) Manual searches for records. The is permitted under § 9405.7(d)) after the Commission will charge fees at the sal- request has been received by the Com- ary rate(s) (basic pay plus 16 percent) mission, or who has received no re- of the employee(s) making the search. sponse within 20 days after a request (c) Computer searches for records. The for expedited processing has been re- Commission will charge the actual di- ceived by the Commission, may appeal rect cost of operating the central proc- the adverse determination or the fail- essing unit (CPU) for that portion of ure to respond by requesting the Com- operating time that is directly attrib- mission to direct that the record be utable to searching for records respon- made available or that the expedited sive to a FOIA request and operator/ processing shall occur. programmer salary apportionable to (b) The appeal request shall be in the search. writing, shall clearly and prominently (d) Review of records. Only requesters state on the envelope or other cover who are seeking documents for com- and at the top of the first page ‘‘FOIA mercial use may be charged for time Appeal,’’ and shall identify the record spent reviewing records to determine

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whether they are exempt from manda- (h) Receipt of fees. A receipt for fees tory disclosure. Charges may be as- paid will be given upon request. Refund sessed only for the initial review (i.e., of fees paid for services actually ren- the review undertaken the first time dered will not be made. the Commission analyzes the applica- (i) Restrictions on assessing fees. The bility of a specific exemption to a par- Commission shall not assess search ticular record or portion of a record). fees or duplication fees under this para- Records or portions of records withheld graph if the Commission fails to com- in full under an exemption that is sub- ply with any time limit in these regu- sequently determined not to apply may lations. The Commission will not be reviewed again to determine the ap- charge fees to any requester, including plicability of other exemptions not pre- commercial use requesters, if the cost viously considered. The costs for such a of collecting a fee would be equal to or subsequent review are assessable. The greater than the fee itself. With the ex- Commission will charge at the salary ception of requesters seeking docu- rate(s) (basic pay plus 16 percent) of ments for a commercial use, the Com- the employee(s) reviewing records. mission will not charge fees for the (e) Duplication of records. Records will first 100 pages of duplication and the be duplicated at a rate of fifteen (15) first two hours of search time. cents per page. For copies prepared by (1) The elements to be considered in computers, such as tapes, CDs, DVDs, determining the ‘‘cost of collecting a or printouts, the Commission shall fee’’ are the administrative costs of re- charge the actual cost, including oper- ceiving and recording a requester’s re- ator time, of production. For other mittance and processing the fee for de- methods of reproduction or duplica- posit in the Treasury Department’s tion, the Commission will charge the special account. actual direct costs of producing the (2) For purposes of these restrictions document(s). If the Commission esti- on assessment of fees, the word mates that duplication charges are ‘‘pages’’ means paper copies of 8.5″ × 11″ likely to exceed $25, it shall notify the or 11″ × 14″. Thus, requesters are not en- requester of the estimated amount of titled to 100 computer disks, for exam- fees, unless the requester has indicated ple. in advance a willingness to pay fees as (3) For purposes of these restrictions high as those anticipated. Such a no- on assessment of fees, the term ‘‘search tice shall offer a requester the oppor- time’’ means manual search. To apply tunity to confer with agency personnel this term to searches made by com- with the object of reformulating the re- puter, the Commission will determine quest to meet his or her needs at a the hourly cost of operating the CPU lower cost. and the operator’s hourly salary plus 16 (f) Other charges. The Commission percent. When the cost of such search will recover the full costs of providing (including operator time and the cost services such as those enumerated of operating the computer to process a below when it provides them in re- request) equals the equivalent dollar sponse to a direct request for such amount of two hours of salary of the services: person performing the search (i.e., the (1) Certifying that records are true operator), the Commission will begin copies; or assessing charges for computer search. (2) Sending records by special methods such as express mail. § 9405.10 Fees to be charged—cat- (g) Payment of fees. Remittance shall egories of requesters. be in the form either of a personal There are four categories of FOIA re- check or bank draft drawn on a bank in questers: Commercial use requesters; the United States or a postal money educational and non-commercial sci- order. Remittance shall be made pay- entific institutions; representatives of able to the order of the Treasury of the the news media; and all other request- United States and mailed to the Chief ers. FOIA Officer, U.S. Election Assistance (a) Commercial use requesters. When Commission, 1225 New York Avenue, the Commission receives a request for NW., Suite 1100, Washington, DC 20005. documents for commercial use, it will

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assess charges that recover the full di- fact that the fee has been received by rect costs of searching for, reviewing the Commission within the 30-day for release, and duplicating the record grace period, even if it is not processed, sought. Commercial use requesters are will suffice to stay the accrual of inter- neither entitled to two hours of free est. Interest will be at the rate pre- search time nor 100 free pages of dupli- scribed in section 3717 of title 31 of the cation. The Commission may recover United States Code and will accrue the cost of searching for and reviewing from the date of the billing. records even if there is ultimately no (b) Charges for unsuccessful search. disclosure of records (see § 9405.11(b)). The Commission may assess charges (b) Educational and non-commercial for time spent searching, even if it fails scientific institution requesters. The Com- to locate the records or if the records mission shall provide documents to re- located are determined to be exempt questers in this category for the cost of from disclosure. If the Commission es- reproduction alone, excluding charges timates that search charges are likely for the first 100 pages. To be eligible for to exceed $25, it shall notify the re- inclusion in this category, requesters quester of the estimated amount of must show that the record is being fees, unless the requester has indicated made as authorized by and under the in advance his willingness to pay fees auspices of a qualifying institution and as high as those anticipated. Such a that the records are not sought for a notice shall offer the requester the op- commercial use but are sought in the portunity to confer with agency per- furtherance of scholarly (if the request sonnel with the object of reformulating is from an educational institution) or the request to meet his or her needs at scientific (if the request is from a non- a lower cost. commercial scientific institution) re- (c) Aggregating requests. A requester search. may not file multiple requests at the (c) Representatives of the news media. same time, each seeking portions of a The Commission shall provide docu- document or documents, solely in order ments to requesters in this category to avoid payment of fees. When the for the cost of reproduction alone, ex- Commission reasonably believes that a cluding charges for the first 100 pages. requester or a group of requestors act- To be eligible for inclusion in this cating in concert has submitted requests egory, the requester must fit the defi- that constitute a single request involv- nition of a representative of the news ing clearly related matters, the Com- media as stated in § 9405.2, and the re- mission may aggregate those requests quest must not be made for commercial and charge accordingly. One element to use. For purposes of this paragraph, a be considered in determining whether a request for records supporting the news belief would be reasonable is the time dissemination function of the requester period over which the requests have oc- shall not be considered to be a request curred. that is for commercial use. (d) Advance payments. The Commis- (d) All other requesters. The Commis- sion may not require a requester to sion shall charge requesters who do not make an advance payment (i.e., pay- fit into any of the categories above fees ment before work is commenced or that recover the full reasonable direct continued on a request) unless: cost of searching for and reproducing (1) The Commission estimates or de- records that are responsive to the re- termines that allowable charges that a quest, except that the first 100 pages of requester may be required to pay are reproduction and the first two hours of likely to exceed $250. Then, the Com- search time shall be furnished without mission will notify the requester of the charge. likely cost and obtain satisfactory assurance of full payment where the re- § 9405.11 Miscellaneous fee provisions. quester has a history of prompt pay- (a) Charging Interest—notice and rate. ment of FOIA fees or require an ad- The Commission may begin assessing vance payment of an amount up to the interest charges on an unpaid bill full estimated charges in the case of re- starting on the 31st day following the questers with no history of payment; day on which the billing was sent. The or

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(2) A requester has previously failed § 9407.1 Purpose and scope. to pay a fee charged in a timely fashion This part contains the regulations of (i.e., within 30 days of the date of the the U.S. Election Assistance Commis- billing). Then, the Commission may re- sion implementing the Government in quire the requester to: the Sunshine Act (5 U.S.C. 552b). Con- (i) Pay the full amount owed plus any sistent with the Act, it is the policy of applicable interest as provided above the Commission that the public is enti- or demonstrate that he or she has, in tled to the fullest practicable informa- fact, paid the fee, and tion regarding its decision making (ii) Make an advance payment of the processes. This part sets forth the basic full amount of the estimated fee before responsibilities of the Commission the agency begins to process a new re- with regard to this policy and offers quest or a pending request from that guidance to members of the public who requester. wish to exercise the rights established (3) When the Commission acts under by the Act. These regulations also ful- paragraphs (d)(1) or (2) of this section, fill the requirement of 5 U.S.C. 552b(g) the administrative time limits pre- that each agency subject to the Act scribed in 5 U.S.C. 552(a)(6) will begin promulgates regulations to implement only after the Commission has received the open meeting requirements of para- payments described in paragraphs (d)(1) graphs (b) through (f) of section 552b. and (2) of this section. (e) Effect of Debt Collection Act of 1982. § 9407.2 Definitions. The Commission shall comply with the As used in this part, the term— provisions of the Debt Collection Act, Commission means the U.S. Election including disclosure to consumer re- Assistance Commission, established by porting agencies and use of collection the Help America Vote Act of 2002, 42 agencies, where appropriate, to encour- U.S.C. 15301 et seq. age repayment. Commissioner means an individual appointed to the Commission by the § 9405.12 Waiver or reduction of President and confirmed by the Senate charges. under section 203 of the Help America Records responsive to a request will Vote Act of 2002, 42 U.S.C. 15323. be furnished without charge when the Executive Director means the Execu- Chief FOIA Officer determines, based tive Director of the Commission or his on all available information, that dis- or her designee. closure of the requested information is General Counsel means the General in the public interest because it is like- Counsel of the Commission or his or ly to contribute significantly to public her designee. understanding of the operations or ac- Meeting means the deliberations of at tivities of the government and is not least three Commissioners where such primarily in the commercial interest of deliberations determine or result in the the requester. joint conduct or disposition of official Commission business. A deliberation PART 9407—IMPLEMENTATION OF conducted through telephone or similar THE GOVERNMENT IN THE SUN- communications equipment in which SHINE ACT all persons participating can hear each other shall be considered a meeting. Sec. For the purposes of this section, ‘‘joint 9407.1 Purpose and scope. conduct’’ does not include situations 9407.2 Definitions. where the requisite number of members 9407.3 Open meetings. is physically present in one place but 9407.4 Notice of meetings. not conducting agency business as a 9407.5 Closed meetings. body. In addition, the term ‘‘meeting’’ 9407.6 Procedures for closing meetings. does not include a process of notation 9407.7 Recordkeeping requirements. voting by circulated memorandum for 9407.8 Public availability of records. the purpose of expediting consideration AUTHORITY: 5 U.S.C. 552b. of official Commission business. The SOURCE: 73 FR 54257, Sept. 18, 2008, unless term ‘‘meeting’’ also does not include otherwise noted. deliberations on whether to:

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(1) Schedule a meeting; to accommodate the public attendance (2) Hold a meeting with less than anticipated for the meeting. When open seven days notice, as provided in meetings are conducted through tele- § 9407.4(e); phone or similar communications (3) Change the subject matter of a equipment, the Commission shall make publicly announced meeting or the de- an effort to provide sufficient access to termination of the Commission to open the public in a manner which allows or close a meeting or portions of a the public to clearly hear, see, or oth- meeting to public observation, as pro- erwise follow the proceedings. The vided in § 9407.4(f); meeting room or other forum selected (4) Change the time or place of an an- shall be sufficient to accommodate a nounced meeting, as provided in reasonable number of interested mem- § 9407.4(g); (5) Close a meeting or portions of a bers of the public. The Commission meeting, as provided in § 9407.5; or shall ensure that public meetings are (6) Withhold from disclosure informa- held at a reasonable time and are read- tion pertaining to a meeting or por- ily accessible to individuals with dis- tions of a meeting, as provided in abilities. § 9407.5. (e) Members of the public attending Public observation means attendance open Commission meetings may use by one or more members of the public small electronic audio recording de- at a meeting of the Commission but vices to record the proceedings. The does not include participation in the use of any other recording equipment meeting. and cameras requires advance coordi- Public participation means the presen- nation with and notice to the Commis- tation or discussion of information, sion’s Communications Office. The raising of questions, or other manner chair or acting chair of the Commis- of involvement in a meeting of the sion may prohibit, at any time, the use Commission by one or more members of any recording equipment during a of the public in a manner that contrib- public meeting if he or she determines utes to the disposition of Commission that such recording would disrupt the business. orderly conduct of the meeting. § 9407.3 Open meetings. § 9407.4 Notice of meetings. (a) The Commissioners shall not jointly conduct, determine, or dispose (a) Except as otherwise provided in of agency business other than in ac- this section, the Commission shall cordance with this section. make a public announcement at least (b) Except as otherwise provided in seven days prior to a meeting. this part, every portion of every Com- (b) The public announcement shall mission meeting shall be open to public include: observation. (1) The time and place of the meet- (c) No additional right to participate ing; in Commission meetings is granted to (2) The subject matter of the meet- any person by this part. Meetings of ing; the Commission, or portions of a meet- (3) Whether the meeting is to be ing, shall be open to public participa- open, closed, or portions of a meeting tion only when an announcement to will be closed; that effect is issued under § 9407.4(b)(4). (4) Whether public participation will Public participation shall be conducted be allowed; and in an orderly, non-disruptive manner and in accordance with any procedures (5) The name and telephone number as the chairperson of the meeting may of the person who will respond to reestablish. Public participation may be quests for information about the meet- terminated at any time for any reason. ing. (d) When holding open meetings, the (c) The public announcement require- Commission shall make a diligent ef- ment shall be implemented by: fort to provide appropriate space, suffi- (1) Publishing the announcement on cient visibility, and adequate acoustics the Commission’s Web site; and

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(2) Distributing the announcement to taining to such meeting or portions of affected government entities and per- a meeting may be withheld from the sons and organizations that the Execu- public only if the Commission deter- tive Director determines may have an mines that such meeting or portions of interest in the subject matter of the a meeting or the disclosure of such in- meeting. formation is likely to: (d) The announcement will be sub- (1) Disclose matters that are: mitted for publication in the FEDERAL (i) Specifically authorized under cri- REGISTER immediately following the teria established by an Executive Order public posting and distribution noted to be kept secret in the interest of na- in paragraph (c) of this section. tional defense or foreign policy, and (e) A meeting may be held with less (ii) To be properly classified under than seven days notice if a majority of that Executive Order; the Commission determines by re- (2) Relate solely to the internal per- corded vote that the business of the sonnel rules and practices of the Com- Commission so requires. The Commis- mission; sion shall make a public announcement (3) Disclose matters specifically ex- to this effect at the earliest practicable empted from disclosure by statute time. The announcement shall include (other than the Freedom of Informa- the information required by paragraph tion Act, 5 U.S.C. 552) provided that the (b) of this section and shall be issued in statute: accordance with those procedures set (i) Requires that the matters be with- forth in paragraphs (c) and (d) of this held from the public in such a manner section that are practicable given the as to leave no discretion on the issue, available period of time. or (f) The subject matter of an an- (ii) Establishes particular criteria for nounced meeting or the determination withholding or refers to particular of the Commission to open or close a types of matters to be withheld; meeting or portions of a meeting to (4) Disclose the trade secrets and public observation may be changed commercial or financial information only if: obtained from a person and privileged (1) A majority of the Commissioners or confidential; determine by a recorded vote that (5) Involve either accusing any per- agency business so requires and that no son of a crime or formally censuring earlier announcement of the change any person; was possible, (6) Disclose information of a personal (2) The Commission publicly an- nature, if disclosure would constitute a nounces the change and the vote of clearly unwarranted invasion of per- each Commissioner upon such change sonal privacy; at the earliest practicable time. (7) Disclose either investigatory (3) The announcement of the change records compiled for law enforcement noted in paragraph (f)(2) of this section purposes or information which, if writ- is issued in accordance with those pro- ten, would be contained in such records cedures set forth in paragraphs (c) and but only to the extent that the produc- (d) of this section that are practicable tion of the records or information given the available period of time. would: (g) The time or place of an announced (i) Interfere with enforcement pro- meeting may be changed only if a pub- ceedings, lic announcement of the change is (ii) Deprive a person of a right to ei- made at the earliest practicable time. ther a fair trial or an impartial adju- The announcement shall be issued in dication, accordance with those procedures set (iii) Constitute an unwarranted inva- forth in paragraphs (c) and (d) of this sion of personal privacy, section that are practicable given the (iv) Disclose the identity of a con- available period of time. fidential source or sources and, in the case of a record compiled either by a § 9407.5 Closed meetings. criminal law enforcement authority in (a) A meeting or portions of a meet- the course of a criminal investigation ing may be closed and information per- or by an agency conducting a lawful

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national security intelligence inves- meeting may be withheld under tigation, confidential information fur- § 9407.5(a) only when a majority of the nished only by the confidential source members of the Commission vote to or sources, take the action. (v) Disclose investigative techniques (b) A separate vote of the Commis- and procedures, or sioners shall be taken with respect to (vi) Endanger the life or physical each meeting or portion of a meeting safety of law enforcement personnel; proposed to be closed and with respect (8) Disclose information contained in to information which is proposed to be or related to examination, operating, withheld. A single vote may be taken or condition reports prepared by, on be- with respect to a series of meetings or half of, or for the use of an agency re- portions of a meeting that are proposed sponsible for the regulation or super- to be closed, so long as each meeting or vision of financial institutions; portion of a meeting in the series in- (9) Disclose information the pre- volves the same particular matter and mature disclosure of which would be is scheduled to be held no more than 30 likely to significantly frustrate imple- days after the initial meeting in the se- mentation of a proposed action of the ries. The vote of each participating Commission. This exception shall not Commission member shall be recorded, apply in any instance where the Com- and no proxies shall be allowed. mission has already disclosed to the (c) A person whose interests may be public the content or nature of the pro- directly affected by a portion of a posed action or where the Commission meeting may request in writing that is required by law to make such disclo- the Commission close that portion of sure on its own initiative prior to tak- the meeting for any of the reasons re- ing final action on the proposal; or ferred to in § 9407.5(a)(5), (6), or (7) . (10) Specifically concern the issuance Upon the request of a Commissioner, a of a subpoena by the Commission; or recorded vote shall be taken whether the participation of the Commission in to close such meeting or a portion of a a civil action or proceeding, an action meeting. in a foreign court or international tri- (d) Before the Commission may hold bunal, or an arbitration; or the initi- a meeting that is closed, in whole or ation, conduct, or disposition by the part, a certification shall be obtained Commission of a particular case of for- from the General Counsel that, in his mal adjudication under the procedures or her opinion, the meeting may prop- in 5 U.S.C. 554 or otherwise involving a erly be closed. The certification shall determination on the record after op- be in writing and shall state each ap- portunity for a hearing. plicable exemption provision from (b) Before a meeting or portions of a § 9407.5(a). meeting may be closed to public observation, the Commission shall deter- (e) Within one day of a vote taken mine, notwithstanding the exemptions under this section, the Commission set forth in paragraph (a) of this sec- shall make publicly available a written tion, whether the public interest re- copy of such vote reflecting the vote of quires that the meeting or portions of each Commissioner. a meeting be open consistent with Fed- (f) In the case of the closure of a eral law. The Commission may open a meeting or portions thereof, the Com- meeting or portions of a meeting that mission shall make publicly available could be closed under paragraph (a) of within one day of the vote on such ac- this section if the Commission finds it tion a full written explanation of the to be in the public interest to do so and reasons for the closing with a list of all the disclosure is not otherwise prohib- persons expected to attend the meeting ited by Federal law. and their affiliation.

§ 9407.6 Procedures for closing meet- § 9407.7 Recordkeeping requirements. ings. (a) The Commission shall maintain (a) A meeting or portions of a meet- either a complete transcript or elec- ing may be closed and information per- tronic recording of the proceedings of taining to a meeting or portions of a each meeting.

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(b) In the case of either a meeting or pursuant to the requirements of 11 CFR portions of a meeting closed to the part 9405. public under § 9407.5(a)(8) or (10), the [73 FR 54257, Sept. 18, 2008, as amended at 75 Commission shall maintain a complete FR 49814, Aug. 16, 2010] transcript, an electronic recording, or a set of minutes of the proceedings. If PART 9409—TESTIMONY BY COM- minutes are maintained, they shall fully and clearly describe all matters MISSION EMPLOYEES RELATING discussed and shall provide a full and TO OFFICIAL INFORMATION AND accurate summary of any actions PRODUCTION OF OFFICIAL taken and the reasons for which such RECORDS IN LEGAL PRO- actions were taken, including a de- CEEDINGS scription of the views expressed on any item and a record reflecting the vote of Sec. each Commissioner. All documents 9409.1 Purpose and scope. considered in connection with any ac- 9409.2 Applicability. 9409.3 Definitions. tion shall be identified in the minutes. 9409.4 Production or disclosure prohibited (c) The transcript, electronic record- unless approved by appropriate Commis- ing, or copy of the minutes of a meet- sion official. ing shall disclose the identity of each 9409.5 Procedures for demand for testimony speaker. or production of documents. (d) The Commission shall maintain a 9409.6 Service of subpoenas or requests. complete verbatim copy of the tran- 9409.7 Factors to be considered by the Gen- eral Counsel. script, a complete electronic recording, 9409.8 Processing demands or requests. or a complete copy of the minutes of 9409.9 Final determination. the proceedings of each meeting for at 9409.10 Restrictions that apply to testi- least two years, or for one year after mony. the conclusion of any Commission pro- 9409.11 Restrictions that apply to released ceeding with respect to which the records. meeting was held, whichever occurs 9409.12 Procedure when a decision is not later. made prior to the time a response is required. 9409.13 Procedures when the General Coun- § 9407.8 Public availability of records. sel directs an employee not to testify or The Commission shall make avail- provide documents. able to the public the transcript, elec- 9409.14 Fees. tronic recording, or minutes of a meet- 9409.15 Penalties. ing, except for items of discussion or AUTHORITY: 44 U.S.C. 3102.

testimony that relate to matters the SOURCE: 73 FR 54271, Sept. 18, 2008, unless Commission has determined to contain otherwise noted. information that may be withheld under § 9407.5(a). This information shall § 9409.1 Purpose and scope. be made available as soon as prac- (a) This part sets forth policies and ticable after each meeting on the Com- procedures you must follow when you mission’s Web site. Otherwise, requests submit a demand or request to an em- to receive or review transcripts, elec- ployee of the United States Election tronic recordings, or minutes of a Assistance Commission to produce offi- meeting should be addressed to the cial records and information, or pro- Communications Director, U.S. Elec- vide testimony relating to official in- tion Assistance Commission, 1201 New formation, in connection with a legal York Avenue, NW., Suite 300, Wash- proceeding. You must comply with ington, DC 20005. Copies of a transcript, these requirements when you request a transcription of the electronic re- the release or disclosure of official cording, or the minutes of a meeting records and information. (except for items of discussion or testi- (b) The Commission intends these mony that relate to matters withheld provisions to: under § 9407.5) shall be furnished at cost (1) Promote economy and efficiency to any person upon written request in its programs and operations;

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(2) Minimize the possibility of involv- § 9409.3 Definitions. ing the Commission in controversial As used in this part, the term— issues not related to its functions; Commission means the U.S. Election (3) Maintain the Commission’s im- Assistance Commission, established by partiality among private litigants the Help America Vote Act of 2002, 42 where the Commission is not a named U.S.C. 15301 et seq. party; and Commission employee or employee (4) Protect sensitive, confidential in- means: formation and the deliberative proc- (a) Any current or former officer or esses of the Commission. employee of the Commission; (c) In providing for these require- (b) Any other individual hired ments, the Commission does not waive through contractual agreement by or the sovereign immunity of the United on behalf of the Commission or who States. has performed or is performing services (d) This part is intended only to pro- under an agreement for the Commis- vide guidance for the internal oper- sion; and ations of the Commission and to in- (c) Any individual who served or is form the public about Commission pro- serving in any consulting or advisory cedures concerning the service of proc- capacity to the Commission, whether ess and responses to demands or re- formal or informal. quests. The procedures specified in this (d) This definition does not include part, or the failure of any Commission persons who are no longer employed by employee to follow the procedures the Commission and who are retained specified in this part, are not intended or hired as expert witnesses or who to create, do not create, and may not agree to testify about general matters, be relied upon to create a right or ben- matters available to the public, or efit, substantive or procedural, en- matters with which they had no spe- forceable at law by a party against the cific involvement or responsibility dur- United States. ing their employment with the Com- mission. § 9409.2 Applicability. Demand means a subpoena, or an (a) This part applies to demands and order or other command of a court or requests to employees for factual or ex- other competent authority, for the pro- pert testimony relating to official in- duction, disclosure, or release of records or for the appearance and testi- formation, or for production of official mony of a Commission employee that records or information, in legal pro- is issued in a legal proceeding. ceedings in which the Commission is General Counsel means the General not a named party. However, it does Counsel of the Commission or a person not apply to: to whom the General Counsel has dele- (1) Demands upon or requests for a gated authority under this part. Commission employee to testify as to Legal proceeding means any matter facts or events that are unrelated to before a court of law, administrative his or her official duties or that are un- board or tribunal, commission, admin- related to the functions of the Commis- istrative law judge, hearing officer, or sion; other body that conducts a legal or ad- (2) Demands upon or requests for a ministrative proceeding. Legal pro- former Commission employee to testify ceeding includes all phases of litiga- as to matters in which the former em- tion. ployee was not directly or materially Records or official records and informa- involved while at the Commission; tion means: (3) Requests for the release of records (a) All documents and materials that under the Freedom of Information Act, are Commission records under the 5 U.S.C. 552, or the Privacy Act, 5 Freedom of Information Act (5 U.S.C. U.S.C. 552a; and 552); (4) Congressional demands and re- (b) All other documents and mate- quests for testimony or records. rials contained in files of the Commis- (b) [Reserved] sion; and

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(c) All other information or mate- (b) If a subpoena is served on the rials acquired by a Commission em- Commission or a Commission employee ployee in the performance of his or her before submitting a written request official duties or because of his or her and receiving a final determination, official status. the Commission will oppose the sub- Request means any informal request, poena on grounds that the request was by whatever method, for the produc- not submitted in accordance with this tion of records and information or for part. testimony that has not been ordered by (c) A written request must contain a court or other competent authority. the following information: Testimony means any written or oral (1) The caption of the legal pro- statements, including depositions, an- ceeding, docket number, name and ad- swers to interrogatories, affidavits, dress of the court or other authority declarations, interviews, and state- involved; and the procedural posture of ments made by an individual in con- the legal proceeding. nection with a legal proceeding. (2) A copy of the complaint or equivalent document setting forth the asser- § 9409.4 Production or disclosure pro- tions in the case and any other plead- hibited unless approved by appro- ing or document necessary to show rel- priate Commission official. evance; (a) No employee or former employee (3) A list of categories of records of the Commission shall, in response to sought, a detailed description of how a demand of a court or other authority, the information sought is relevant to produce a record or disclose any infor- the issues in the legal proceeding, and mation relating to any record of the a specific description of the substance Commission, or disclose any informa- of the testimony or records sought; tion or produce any material acquired (4) A statement as to how the need as part of the performance of his offi- for the information outweighs the need cial duties or because of his official to maintain any confidentiality of the status without the prior, written ap- information and outweighs the burden proval of the General Counsel of the on the Commission to produce the Commission. records or provide testimony; (b) Any expert or opinion testimony (5) A statement indicating that the by a former employee of the Commis- information sought is not available sion shall be excepted from the require- from another source, from other per- ments of this part where the testimony sons or entities, or from the testimony involves only general expertise gained of someone other than a Commission while employed at the Commission. employee, such as a retained expert; (6) If testimony is requested, the in- § 9409.5 Procedures for demand for tended use of the testimony, a general testimony or production of docu- summary of the desired testimony, and ments. a showing that no document could be (a) A demand directed to the Com- provided and used in lieu of testimony; mission for the testimony of a Commis- (7) A description of all prior decision employee or for the production of sions, orders, or pending motions in the documents shall be served in accord- case that bear upon the relevance of ance with the Federal Rules of Civil the requested records or testimony; Procedure, Federal Rules of Criminal (8) The name, address, and telephone Procedure, or applicable State proce- number of counsel to each party in the dures and shall be directed to the Gen- case; eral Counsel, U.S. Election Assistance (9) An estimate of the amount of Commission, 1201 New York Avenue, time that the requester and other par- NW., Suite 300, Washington, DC 20005. ties will require of each Commission Acceptance of a demand shall not con- employee for time spent by the em- stitute an admission or waiver with re- ployee to prepare for testimony, in spect to jurisdiction, propriety of serv- travel, and for attendance in the legal ice, improper venue, or any other de- proceeding; and fense in law or equity available under (10) Whether travel by the Commis- the applicable laws or rules. sion employee is required to provide

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the testimony; or, in lieu of in-person (a) The purposes of this part are met; testimony, whether a deposition may (b) Allowing such testimony or pro- be taken at the employee’s duty sta- duction of records would be necessary tion. to prevent a miscarriage of justice; (d) The Commission reserves the (c) The Commission has an interest right to require additional information in the decision that may be rendered in to complete a request where appro- the legal proceeding; priate. (d) Allowing such testimony or pro- (e) A request should be submitted at duction of records would assist or least 45 days before the date that hinder the Commission in performing records or testimony is required. Re- its statutory duties or use Commission quests submitted in less than 45 days resources where responding to the de- before records or testimony is required mand or request will interfere with the must be accompanied by a written ex- ability of Commission employees to do planation stating the reasons for the their work; late request and the reasons for expe- (e) Allowing such testimony or pro- dited processing. duction of records would be in the best (f) Failure to cooperate in good faith interest of the Commission or the to enable the General Counsel to make United States; an informed decision may serve as the (f) The records or testimony can be basis for a determination not to com- obtained from other sources; ply with a request. (g) The demand or request is unduly (g) Notification to the General Coun- burdensome or otherwise inappropriate sel: under the applicable rules of discovery (1) Employees shall immediately or the rules of procedure governing the refer all inquiries and demands made case or matter in which the demand or on the Commission to the General request arose; Counsel. (h) Disclosure would violate a stat- (2) An employee who receives a sub- ute, Executive order or regulation; poena shall immediately forward the (i) Disclosure would reveal confiden- subpoena to the General Counsel. The tial, sensitive, or privileged informa- General Counsel will determine the tion, trade secrets or similar, confiden- manner in which to respond to the sub- tial commercial or financial informa- poena. tion, otherwise protected information, [73 FR 54271, Sept. 18, 2008, as amended at 75 or information which would otherwise FR 49814, Aug. 16, 2010] be inappropriate for release; (j) Disclosure would impede or inter- § 9409.6 Service of subpoenas or re- fere with an ongoing law enforcement quests. investigation or proceedings, or com- Subpoenas or requests for official promise constitutional rights; records or information or testimony (k) Disclosure would result in the must be served on the General Counsel, Commission appearing to favor one U.S. Election Assistance Commission, litigant over another; 1201 New York Avenue, NW., Suite 300, (l) Disclosure relates to documents Washington, DC 20005. that were produced by another agency; [73 FR 54271, Sept. 18, 2008, as amended at 75 (m) A substantial Government inter- FR 49814, Aug. 16, 2010] est is implicated; (n) The demand or request is within § 9409.7 Factors to be considered by the authority of the party making it; the General Counsel. and The General Counsel, in his or her (o) The demand or request is suffi- sole discretion, may grant an employee ciently specific to be answered. permission to testify on matters relating to official information, or produce § 9409.8 Processing demands or re- official records and information, in requests. sponse to a demand or request. Among (a) After service of a demand or re- the relevant factors that the General quest to testify, the General Counsel Counsel may consider in making this will review the demand or request and, decision are whether: in accordance with the provisions of

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this part, determine whether, or under edge, but, unless specifically author- what conditions, to authorize the em- ized to do so by the General Counsel, ployee to testify on matters relating to the employee shall not: official information and/or produce of- (1) Disclose confidential or privileged ficial records and information. information; or (b) The Commission will process re- (2) For a current Commission em- quests in the order in which they are ployee, testify as an expert or opinion received. Absent exigent or unusual witness with regard to any matter aris- circumstances, the Commission will re- ing out of the employee’s official du- spond within 45 days from the date a ties or the functions of the Commission request is received. The time for re- unless testimony is being given on be- sponse will depend upon the scope of half of the United States. the request. (c) The General Counsel may grant a § 9409.11 Restrictions that apply to re- waiver of any procedure described by leased records. this part where a waiver is considered (a) The General Counsel may impose necessary to promote a significant in- conditions or restrictions on the re- terest of the Commission or the United lease of official records and informa- States or for other good cause. tion, including the requirement that parties to the proceeding obtain a pro- § 9409.9 Final determination. tective order or execute a confiden- The General Counsel will make the tiality agreement to limit access and final determination on demands and re- any further disclosure. The terms of quests to employees for production of the protective order or confidentiality official records and information or tes- agreement must be acceptable to the timony. All final determinations are General Counsel. In cases where protec- within the sole discretion of the Gen- tive orders or confidentiality agree- eral Counsel. The General Counsel will ments have already been executed, the notify the requester and the court or Commission may condition the release other authority of the final determina- of official records and information on tion, the reasons for the grant or de- an amendment to the existing protec- nial of the demand or request, and any tive order or confidentiality agree- conditions that the General Counsel ment. may impose on the release of records or (b) If the General Counsel so deter- information, or on the testimony of a mines, original Commission records Commission employee. may be presented for examination in response to a demand or request, but § 9409.10 Restrictions that apply to tes- they are not to be presented as evi- timony. dence or otherwise used in a manner by (a) The General Counsel may impose which they could lose their identity as conditions or restrictions on the testi- official Commission records, nor are mony of Commission employees includ- they to be marked or altered. In lieu of ing, for example, limiting the areas of the original records, certified copies testimony or requiring the requester will be presented for evidentiary pur- and other parties to the legal pro- poses (see 28 U.S.C. 1733). ceeding to agree that the transcript of the testimony will be kept under seal § 9409.12 Procedure when a decision is or will only be used or made available not made prior to the time a re- in the particular legal proceeding for sponse is required. which testimony was requested. The If a response to a demand or request General Counsel may also require a is required before the General Coun- copy of the transcript of testimony at sel’s decision is received, a U.S. attor- the requester’s expense. ney or a Commission attorney des- (b) The Commission may offer the ignated for the purpose shall appear employee’s written declaration in lieu with the employee or former employee of testimony. of the Commission upon whom the de- (c) If authorized to testify under this mand has been made and shall furnish part, an employee may testify as to the court or other authority with a facts within his or her personal knowl- copy of the regulations contained in

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this part and inform the court or other estimate of the costs to the Commis- authority that the demand has been, or sion. is being, as the case may be, referred (b) Fees for records. Requesters will for the prompt consideration of the ap- reimburse the Commission for the ac- propriate Commission official and shall tual costs of time and resources spent respectfully request the court or au- searching, reviewing and duplicating thority to stay the demand pending re- records. Fees for producing records will ceipt of the requested instructions. include fees for searching, reviewing, and duplicating records, costs of attor- § 9409.13 Procedures when the Gen- ney time spent in reviewing the de- eral Counsel directs an employee mand or request, and expenses gen- not to testify or provide documents. erated by materials and equipment (a) If the General Counsel determines used to search for, produce, and copy that an employee or former employee the responsive information. The Com- should not comply with a subpoena or mission will charge fees at the salary other request for testimony or the pro- rate(s) (basic pay plus 16 percent) of duction of documents, the General employee time spent searching, review- Counsel will so inform the employee ing, and duplicating records. Fees for and the party who submitted the sub- duplication will be the same as those poena or made the request. charged by the Commission for records (b) If, despite the determination of disclosed under the Freedom of Infor- the General Counsel that testimony mation Act (11 CFR 9405), except that should not be given and/or documents the Commission will charge for the ac- not be produced, a court of competent tual costs for each page of duplication jurisdiction or other appropriate au- and will not provide the first 100 pages thority orders the employee or former for free. employee to testify and/or produce doc- (c) Witness fees. Fees for attendance uments; the employee shall notify the by a witness will include fees, expenses, General Counsel of such order. and allowances prescribed by the (1) If the General Counsel determines court’s rules. If no such fees are pre- that no further legal review of, or chal- scribed, witness fees will be determined lenge to, the order will be sought, the based upon the rule of the Federal dis- employee or former employee shall trict court closest to the location comply with the order. where the witness will appear. The fees (2) If the General Counsel determines will include cost of time spent by the to challenge the order, or that further witness to prepare for testimony, in legal review is necessary, the employee travel, and for attendance in the legal or former employee should not comply proceeding. with the order. Where necessary, the (d) Payment of fees. Witness fees shall employee should appear at the time be paid for current Commission em- and place set forth in the subpoena. If ployees and any records certification legal counsel cannot appear on behalf fees by submitting to the General of the employee, the employee should Counsel a check or money order for the produce a copy of this part and respect- appropriate amount made payable to fully inform the legal tribunal that he/ the Treasury of the United States. In she has been advised by counsel not to the case of testimony by former Com- provide the requested testimony and/or mission employees, applicable fees produce documents. If the legal tri- shall be paid directly to the former em- bunal rules that the subpoena must be ployee in accordance with 28 U.S.C. complied with, the employee shall re- 1821 or other applicable statutes. spectfully decline to comply, citing (e) Certification (authentication) of this section and United States ex rel. copies of records. The Commission may Touhy v. Ragen, 340 U.S. 462 (1951). certify that records are true copies to facilitate their use as evidence. To ob- § 9409.14 Fees. tain certification a request for cer- (a) Generally. The General Counsel tified copies shall be made to the Com- may condition the production of mission at least 45 days before the date records or appearance for testimony the copies will be needed. The request upon advance payment of a reasonable should be sent to the General Counsel,

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U.S. Election Assistance Commission, § 9410.1 Purpose and scope. 1201 New York Avenue, NW., Suite 300, (a) This part sets forth rules that in- Washington, DC 20005. form the public as to what information (f) Waiver or reduction of fees. The is maintained by the U.S. Election As- General Counsel, in his or her sole dis- sistance Commission about identifiable cretion, may, upon a showing of rea- individuals and that inform those iden- sonable cause, waive or reduce any fees tifiable individuals how they may gain in connection with the testimony, production, or certification of records. access to and correct or amend information about them. [73 FR 54271, Sept. 18, 2008, as amended at 75 (b) The regulations in this part carry FR 49814, Aug. 16, 2010] out the requirements of the Privacy Act of 1974 (Pub. L. 93–579) and in par- § 9409.15 Penalties. ticular 5 U.S.C. 552a as added by that (a) An employee who discloses offi- Act. cial records or information or gives (c) The regulations in this part apply testimony relating to official informa- only to records disclosed or requested tion, except as expressly authorized by under the Privacy Act of 1974 and not the Commission or as ordered by a Fed- to requests for information made under eral court after the Commission has 5 U.S.C. 552, the Freedom of Informa- had the opportunity to be heard, may tion Act, or requests for reports and face the penalties provided in 18 U.S.C. statements filed with the Election As- 641 and other applicable laws. Former sistance Commission which are public Commission employees are subject to records and available for inspection the restrictions and penalties of 18 and copying. U.S.C. 207 and 216. (b) A current Commission employee § 9410.2 Definitions. who testifies or produces official records and information in violation of As used in this part, the term— this part shall be subject to discipli- Commission means the U.S. Election nary action in addition to any pen- Assistance Commission, established by alties assessed under paragraph (a) of the Help America Vote Act of 2002, 42 this section. U.S.C. 15301 et seq. Commissioner means an individual ap- PART 9410—IMPLEMENTATION OF pointed to the Commission by the President and confirmed by the Senate THE PRIVACY ACT OF 1974 under section 203 of the Help America Vote Act of 2002, 42 U.S.C. 15323. Sec. Individual means a citizen of the 9410.1 Purpose and scope. 9410.2 Definitions. United States or an alien lawfully ad- 9410.3 Procedures for requests pertaining to mitted for permanent residence. individual records in a record system. Maintain includes maintain, collect, 9410.4 Times, places, and requirements for use, or disseminate. identification of individuals making re- Record means any item, collection, or quests. grouping of information about an indi- 9410.5 Disclosure of requested information vidual that is maintained by the Com- to individuals. 9410.6 Request for correction or amendment mission including, but not limited to, to record. his or her education, financial trans- 9410.7 Commission review of request for cor- actions, medical history, and criminal rection or amendment of record. or employment history and that con- 9410.8 Appeal of initial adverse determina- tains his or her name or the identifying tion on amendment or correction. number, symbol, or other identifying 9410.9 Disclosure of record to person other information particularly assigned to than the individual to whom it pertains. the individual, such as finger or voice 9410.10 Fees. print or a photograph. 9410.11 Penalties. Systems of records means a group of AUTHORITY: 5 U.S.C. 552a. any records under the control of the SOURCE: 73 FR 54257, Sept. 18, 2008, unless Commission from which information is otherwise noted. retrieved by the name of the individual

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or by some identifying number, sym- 300, Washington, DC 20005 and to the bol, or other identifying information person identified in the notice describ- particularly assigned to the individual. ing the systems of records. Requests can also be made by specifically au- § 9410.3 Procedures for requests per- thorized agents or by parents or guard- taining to individual records in a record system. ians of individuals. (b) Each individual requesting the (a) Any individual may request the disclosure of a record or copy of a Commission to inform him or her record shall furnish the following infor- whether a particular record system named by the individual contains a mation with his or her request: record pertaining to him or her. The (1) The name of the record system request may be made in person or in containing the record; writing at the location of the record (2) Proof as described in paragraph (c) system and to the person specified in of this section that he or she is the in- the notice describing that record sys- dividual to whom the requested record tem. relates; and (b) An individual, who believes that (3) Any other information required the Commission maintains records per- by the notice describing the record sys- taining to him or her but cannot deter- tem. mine which record system contains (c) Proof of identity as required by those records, may request assistance paragraph (b)(2) of this section shall be by mail or in person from the Execu- provided as described in paragraphs tive Director, U.S. Election Assistance (c)(1) and (c)(2) of this section. Re- Commission, 1201 New York Avenue, quests made by an agent, parent, or NW., Suite 300, Washington, DC 20005 guardian shall be in accordance with during the hours of 9 a.m. to 5:30 p.m. the procedures described in § 9410.9. (c) Requests under paragraphs (a) or (b) of this section shall be acknowl- (1) Requests made in writing shall in- edged by the Commission within 15 clude a statement affirming the indi- working days from the date of receipt vidual’s identity, signed by the indi- of the request. If the Commission is un- vidual and either notarized or wit- able to locate the information re- nessed by two persons (including wit- quested under paragraphs (a) or (b) of nesses’ addresses). If the individual ap- this section, it shall so notify the indi- pears before a notary, he or she shall vidual within 15 working days after resubmit adequate proof of identification ceipt of the request. The notification in the form of a driver’s license, birth may request additional information to certificate, passport, or other identi- assist the Commission in locating the fication acceptable to the notary. If record, or it may advise the individual the statement is witnessed, it shall in- that no record or document exists clude a sentence above the witnesses’ about that individual. signatures that they personally know [73 FR 54257, Sept. 18, 2008, as amended at 75 the individual or that the individual FR 49814, Aug. 16, 2010] has submitted proof of his or her identification to their satisfaction. In cases § 9410.4 Times, places, and require- involving records of extreme sensi- ments for identification of individ- tivity, the Commission may determine uals making requests. that the identification is not adequate (a) After being informed by the Com- and may request the individual to submission that a record system contains mit additional proof of identification. a record pertaining to him or her, an (2) If the request is made in person, individual may request that the Com- the requester shall submit proof of mission disclose that record in the identification similar to that described manner described in this section. Each request for the disclosure of a record or in paragraph (c)(1) of this section, ac- a copy of a record it shall be made in ceptable to the Commission. person or by written correspondence to [73 FR 54257, Sept. 18, 2008, as amended at 75 the U.S. Election Assistance Commis- FR 49814, Aug. 16, 2010] sion, 1201 New York Avenue, NW., Suite

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§ 9410.5 Disclosure of requested infor- (4) A copy of the record sought to be mation to individuals. amended or corrected or a sufficiently (a) Upon submission of proof of iden- detailed description of that record; tification as required by § 9410.4, the (5) A statement of the material in the Commission shall allow the individual record that the individual desires to to see and/or obtain a copy of the re- correct or amend; and quested record or shall send a copy of (6) A statement of the basis for the the record to the individual by reg- requested correction or amendment in- istered mail. If the individual requests cluding any material that the indi- to see the record, the Commission may vidual can furnish to substantiate the make the record available either at the reasons for the correction or amend- location where the record is main- ment sought. tained or at a place more suitable to the requestor, if possible. The record § 9410.7 Commission review of request shall be made available as soon as pos- for correction or amendment of sible, but in no event later than 15 record. working days after proof of identifica- (a) The Commission shall, not later tion. The individual may have a person than 10 working days after the receipt or persons of his or her own choosing of the request for a correction or accompany him or her when the record amendment of a record under § 9410.6, is disclosed. acknowledge receipt of the request and (b) The Commission must furnish inform the individual whether addi- each record requested by an individual tional information is required before under this part in a form intelligible to the correction or amendment can be that individual. considered. (c) If the Commission denies access (b) If no additional information is re- to a record to an individual, he or she quired, within 10 working days from re- shall be advised of the reason for the ceipt of the request, the Commission denial and advised of the right to judi- shall either make the requested correc- cial review. tion or amendment or notify the indi- (d) Upon request, an individual will vidual of its refusal to do so, including be provided access to the accounting of in the notification the reasons for the disclosures from his or her record refusal and the appeal procedures pro- under the same procedures as provided vided in § 9410.8. above and in § 9410.4. (c) The Commission shall make each § 9410.6 Request for correction or requested correction or amendment to amendment to record. a record if that correction or amend- (a) Any individual who has reviewed ment will negate inaccurate, irrele- a record pertaining to him or her that vant, untimely, or incomplete informa- was furnished under this part may re- tion in the record. quest that the Commission correct or (d) The Commission shall inform amend all or any part of that record. prior recipients of a record of any (b) Each individual requesting a cor- amendment or correction or notation rection or amendment shall send or of dispute of the individual’s record if provide in person the written request an accounting of the disclosure was to the Commission through the person made. The individual may request a who furnished the record. list of prior recipients if an accounting (c) Each request for a correction or of the disclosure was made. amendment of a record shall contain the following information: § 9410.8 Appeal of initial adverse de- (1) The name of the individual re- termination on amendment or cor- questing the correction or amendment; rection. (2) The name of the system of records (a) Any individual whose request for in which the record sought to be a correction or amendment has been amended is maintained; denied in whole or in part may appeal (3) The location of the system of that decision to the Commissioners no records from which the individual later than 180 days after the adverse record was obtained; decision is rendered.

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(b) The appeal shall be in writing and may designate such person and author- shall contain the following informa- ize the person to act as his or her agent tion: for that specific purpose. The author- (1) The name of the individual mak- ization shall be in writing, signed by ing the appeal; the individual, and notarized or wit- (2) Identification of the record sought nessed as provided in § 9410.4(c). to be amended; (b) The parent of any minor indi- (3) The record system in which that vidual or the legal guardian of any in- record is contained; dividual who has been declared by a (4) A short statement describing the court of competent jurisdiction to be amendment sought; and incompetent due to physical or mental (5) The name and location of the incapacity or age may act on behalf of Commission official who initially de- that individual in any matter covered nied the correction or amendment. by this part. A parent or guardian who (c) Not later than 30 working days desires to act on behalf of such an indi- after the date on which the Commis- vidual shall present suitable evidence sion receives the appeal, the Commis- of parentage or guardianship, by birth sioners shall complete their review of certificate, certified copy of a court the appeal and make a final decision order, or similar documents, and proof thereon. However, for good cause of the individual’s identity in a form shown, the Commissioners may extend that complies with § 9410.4(c). that 30-day period. If the Commis- (c) An individual to whom a record is sioners extend the period, the indi- to be disclosed in person under this vidual requesting the review shall be part may have a person or persons of promptly notified of the extension and his or her own choosing accompany the anticipated date of a decision. him or her when the record is dis- (d) After review of an appeal, the closed. Commission shall send a written notice to the requestor containing the fol- § 9410.10 Fees. lowing information: (a) The Commission shall not charge (1) The decision and, if the denial is an individual for the cost of making a upheld, the reasons for the decision; search for a record or the cost of re- (2) The right of the requestor to in- viewing the record. When the Commis- stitute a civil action in a Federal Dis- sion makes a copy of a record as a nec- trict Court for judicial review of the essary part of the process of disclosing decision; and the record to an individual, the Com- (3) The right of the requestor to file mission shall not charge the individual with the Commission a concise state- for the cost of making that copy. When ment setting forth the reasons for his the Commission makes a copy of a or her disagreement with the Commis- record in response to a request from an sion’s denial of the correction or individual, the Commission may amendment. The Commission shall charge the individual for the reason- make this statement available to any able cost of making the copy. person to whom the record is later dis- (b) If an individual requests that the closed, together with a brief statement, Commission furnish a copy of the if appropriate, of the Commission’s record, the Commission shall charge reasons for denying the requested cor- the individual for the cost of making rection or amendment. The Commis- the copy. The fee that the Commission sion shall also send a copy of the state- has established for making a copy is ment to prior recipients of the individ- fifteen (15) cents per page. ual’s record if an accounting of the disclosures was made. § 9410.11 Penalties. Any person who makes a false state- § 9410.9 Disclosure of record to person ment in connection with any request other than the individual to whom for a record or an amendment or cor- it pertains. rection thereto under this part is sub- (a) Any individual who desires to ject to the penalties prescribed in 18 have a record covered by this part dis- U.S.C. 494 and 495 and 5 U.S.C. 552a closed to or mailed to another person (i)(3).

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PART 9411—STANDARDS OF 9420.4 Program accessibility: Discrimina- tion prohibited. CONDUCT 9420.5 Program accessibility: Existing facilities. AUTHORITY: 5 CFR parts 2634 through 2638; 9420.6 Program accessibility: New construc- 5 CFR part 2641; 5 CFR parts 734 and 735. tion and alterations. 9420.7 Communications. SOURCE: 73 FR 54275, Sept. 18, 2008, unless 9420.8 Compliance procedures. otherwise noted. AUTHORITY: 29 U.S.C. 794.

§ 9411.1 Cross-reference to executive SOURCE: 73 FR 54275, Sept. 18, 2008, unless branch-wide regulations. otherwise noted. (a) Employees of the U.S. Election Assistance Commission are subject to § 9420.1 Purpose and scope. the following standards of conduct and This part sets forth the non- ethical requirements: discrimination policy of the U.S. Elec- (1) Executive Branch Financial Dis- tion Assistance Commission to prohibit closure, Qualified Trusts, and Certifi- discrimination on the basis of handicap cates of Divestiture as provided in 5 in programs or activities conducted by CFR part 2634; the Commission. (2) Standards of Ethical Conduct for Employees of the Executive Branch as § 9420.2 Definitions. provided in 5 CFR part 2635; As used in this part, the term— (3) Limitations on Outside Earned In- Auxillary aids means services, includ- come, Employment and Affiliations for ing attendant services, or devices that Certain Noncareer Employees as pro- enable handicapped persons, including vided in 5 CFR part 2636; those with impaired sensory, manual, (4) Regulations Concerning Post-Em- or speaking skills to have an equal op- ployment Conflict of Interest as pro- portunity to participate in, and enjoy vided in 5 CFR part 2637; the benefits of, programs or activities (5) Interpretation, Exemptions and conducted by the Commission. For ex- Waiver Guidance Concerning 18 U.S.C. ample, auxiliary aids useful for dis- 208 (Acts Affecting a Personal Finan- abled persons with impaired vision in- cial Interest) as provided in 5 CFR part clude readers, brailled materials, audio 2638; recordings, telecommunications de- (6) Post-Employment Conflict of In- vices and other similar services and de- terest Restrictions as provided in 5 vices. Auxiliary aids useful for disabled CFR part 2641; persons with impaired hearing include (7) Political Activities of Federal telephone handset amplifiers, tele- Employees as provided in 5 CFR part phones compatible with hearing aids, 734; and telecommunication devices for deaf (8) Employee Responsibilities and persons (TDDs), interpreters, Conduct as provided in 5 CFR part 735. notetakers, written materials, and (b) For purposes of this part, em- other similar services and devices. ployee shall have the definition given Commission means the U.S. Election to it by each standard of conduct or Assistance Commission, established by ethical requirement in paragraph (a) of the Help America Vote Act of 2002, 42 this section. U.S.C. 15301 et seq. Complete complaint means a written PART 9420—NONDISCRIMINATION statement that contains the complain- ON THE BASIS OF HANDICAP IN ant’s name and address and describes PROGRAMS OR ACTIVITIES CON- the complaintant’s name and address DUCTED BY THE U.S. ELECTION and describes the Commission’s actions ASSISTANCE COMMISSION in sufficient detail to inform the Com- mission of the nature and date of the alleged violation of section 504, as de- Sec. 9420.1 Purpose and scope. fined in this part. It shall be signed by 9420.2 Definitions. the complainant or by someone author- 9420.3 General prohibitions against dis- ized to do so on his or her behalf. Com- crimination. plaints filed on behalf of classes or

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third parties shall describe or identify (ii) Has a physical or mental impair- (by name if possible) the alleged vic- ment that substantially limits major tims of discrimination. life activities only as a result of the at- Facility means all or any portion of titudes of others toward the impair- buildings, structures, equipment, ment; or roads, walks, parking lots, rolling (iii) Has none of the impairments de- stock or other conveyances, or other fined in paragraph (1) of this definition, real or personal property whether but is treated by the Commission as owned, leased or used on some other having an impairment. basis by the Commission. Qualified handicapped person means Handicapped person means any person (1) with respect to any Commission who has a physical or mental impair- program or activity under which a per- ment that substantially limits one or son is required to perform services or more major life activities, has a record to achieve a level of accomplishment, a of such impairment, or is regarded as handicapped person who, with reason- having such impairment. As used in able accommodation, meets the essen- this definition, the phrase: tial eligibility requirements and who (1) Physical or mental impairment in- can achieve the purpose of the program cludes: or activity; and (i) Any physiological disorder or con- (2) With respect to any other pro- dition, cosmetic disfigurement, or ana- gram or activity, a handicapped person tomical loss affecting one of more of who meets essential eligibility require- the following body systems: Neuro- ments for participation in, or receipt of logical; musculoskeletal; special sense benefits from, that program or activ- organs; respiratory, including speech ity. organs; cardiovascular; reproductive; Section 504 means section 504 of the digestive; genitourinary; hemic and Rehabilitation Act of 1973 (Pub. L. 93– lymphatic; skin; and endocrine; or 112, 87 Stat. 394), as amended by the Re- (ii) Any mental or psychological dis- habilitation Act Amendments of 1974 order, such as mental retardation, or- (Pub. L. 93–516, 88 Stat. 1617) and the ganic brain syndrome, emotional or Rehabilitation, Comprehensive Serv- mental illness, and specific learning ices, and Developmental Disabilities disabilities. The term ‘‘physical or Act of 1978 (Pub. L. 95–602, 92 Stat. mental impairment’’ includes, but is 2955). As used in this part, section 504 not limited to, such diseases and condi- applies only to programs or activities tions as orthopedic; visual, speech, and conducted by the Commission and not hearing impairments; cerebral palsy; to any federally assisted programs or epilepsy; muscular dystrophy; multiple activities that it administers. sclerosis; cancer; heart disease; diabetes; mental retardation; emotional ill- § 9420.3 General prohibitions against ness; and drug addition and alcoholism. discrimination. (2) Major life activities include func- (a) No qualified handicapped person tions such as caring for one’s self, per- shall, on the basis of handicap, be ex- forming manual tasks, walking, seeing, cluded from participation in, be denied hearing, speaking, breathing, learning, the benefits of, or otherwise be sub- and working. jected to discrimination under any pro- (3) Has a record of such an impairment gram or activity conducted by the means has a history of or has been Commission. misclassified as having a mental or (b)(1) The Commission, in providing physical impairment that substantially any aid, benefit, or service, may not, limits one or more major life activi- directly or through contractual, licens- ties. ing, or other arrangement, on the basis (4) Is regarded as having an impairment of handicap— means: (i) Deny a qualified handicapped per- (i) Has a physical or mental impair- son the opportunity to participate in ment that does not substantially limit or benefit from the aid, benefit, or major life activities, but is treated by service; the Commission as constituting such a (ii) Afford a qualified handicapped limitation; person an opportunity to participate in

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or benefit from the aid, benefit, or (5) The Commission, in selection of service that is not equal to that af- procurement contractors, may not use forded others; criteria that subject qualified handi- (iii) Provide a qualified handicapped capped persons to discrimination on person with an aid, benefit, or service the basis of handicap. that is not as effective in affording (6) The Commission may not admin- equal opportunity to obtain the same ister a certification program in a man- result, to gain the same benefit, or to ner that subjects qualified handicapped reach the same level of achievement as persons to discrimination on the basis that provided to others; of handicap, nor may the Commission (iv) Provide different or separate establish requirements for the pro- aids, benefits, or services to handi- grams or activities of certified entities capped persons or to any class of handi- that subject qualified handicapped per- capped persons than is provided to oth- sons to discrimination on the basis of ers unless such action is necessary to handicap. The programs or activities of provide qualified handicapped persons entities that are certified by the Com- with aids, benefits, or services that are mission are not, themselves, covered as effective as those provided to others; by this part. (v) Deny a qualified handicapped per- (c) The exclusion of non-handicapped son the opportunity to participate as a persons from the benefits of a program member of planning or advisory boards; limited by Federal statute or Execu- or tive Order to handicapped persons or (vi) Otherwise limit a qualified the exclusion of a specific class of handicapped person in the enjoyment handicapped persons from a program of any right, privilege, advantage, or limited by Federal statute or Execu- opportunity enjoyed by others receiv- tive Order to a different class of handi- ing aid, benefit, or service. capped persons is not prohibited by (2) The Commission may not deny a this part. qualified handicapped person the op- (d) The Commission will administer portunity to participate in programs or activities that are not separate or dif- programs and activities in the most in- ferent, despite the existence of permis- tegrated setting appropriate to the sibly separate or different programs or needs of qualified handicapped persons. activities. § 9420.4 Program accessibility: Dis- (3) The Commission may not, directly crimination prohibited. or through contractual or other arrangements, utilize criteria or methods Except as otherwise provided in 11 of administration the purpose or effect CFR 9420.6 and 11 CFR 9420.7, no quali- of which would— fied handicapped person shall be denied (i) Subject qualified handicapped per- the benefits of, be excluded from par- sons to discrimination on the basis of ticipation in, or otherwise be subjected handicap; or to discrimination under any program (ii) Defeat or substantially impair ac- or activity conducted by the Commis- complishment of the objectives of a sion because its facilities are inacces- program or activity with respect to sible to or unusable by handicapped handicapped persons. persons. (4) The Commission may not, in determining the site or location of a fa- § 9420.5 Program accessibility: Exist- ing facilities. cility, make selections the purpose or effect of which would— (a) General. The Commission will op- (i) Exclude handicapped persons erate each program or activity so that from, deny them the benefits of, or oth- the program or activity, when viewed erwise subject them to discrimination in its entirety, is readily accessible to under any program or activity con- and usable by handicapped persons. ducted by the Commission; or This paragraph does not— (ii) Defeat or substantially impair (1) Necessarily require the Commis- the accomplishment of objectives of a sion to make each of its existing facili- program or activity with respect to ties accessible to and usable by handi- handicapped persons. capped persons;

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(2) Require the Commission to take within sixty days of the effective date any action that it can demonstrate of this part except that where struc- would result in a fundamental alter- tural changes in facilities are under- ation in the nature of a program or ac- taken, such changes will be made with- tivity or in undue financial and admin- in three years of the effective date of istrative burdens. The Commission has this part, but in any event as expedi- the burden of proving that compliance tiously as possible. with 11 CFR 9420.6(a) would result in (d) Transition plan. In the event that such alterations or burdens. The deci- structural changes to facilities will be sion that compliance would result in undertaken to achieve program acces- such alteration or burdens must be sibility, the Commission will develop, made by the Commission after consid- within six months of the effective date ering all agency resources available for of this part, a transition plan setting use in the funding and operation of the forth the steps necessary to complete conducted program or activity, and such changes. The plan will be devel- must be accompanied by a written oped with the assistance of interested statement of the reasons for reaching persons, including handicapped persons that conclusion. If an action would re- and organizations representing handi- sult in such an alteration or such bur- capped persons. A copy of the transi- dens, the Commission will take any tion plan will be made available for other action that would not result in public inspection. The plan will, at a such an alteration or such a burden but minimum— would nevertheless ensure that handi- (1) Identify physical obstacles in the capped person receive the benefits and Commission’s facilities that limit the services of the program or activity. accessibility of its programs or activi- (b) Methods. The Commission may ties to handicapped persons; comply with the requirements of this (2) Describe in detail the methods section through such means as redesign that will be used to make the facilities of equipment, reassignment of services accessible; to accessible buildings, assignment of (3) Specify the schedule for taking aides to beneficiaries, home visits, de- the steps necessary to achieve compli- livery of services at alternate acces- ance with this section and, if the time sible sites, alteration of existing facili- period of the transition plan is longer ties and construction of new facilities, than one year, identify steps that will use of accessible rolling stock, or any be taken during each year of the tran- other methods that result in making sition period; its programs or activities readily ac- (4) Indicate the official responsible cessible to and usable by handicapped for implementation of the plan; and persons. The Commission is not re- (5) Identify the person or groups with quired to make structural changes in whose assistance the plan was pre- existing facilities where other methods pared. are effective in achieving compliance with this section. The Commission, in § 9420.6 Program accessibility: New making alterations to existing build- construction and alterations. ings will meet accessibility require- Each building or part of a building ments to the extent compelled by the that is constructed or altered by, on Architectural Barriers Act of 1968, as behalf of, or for the use of the Commis- amended, 42 U.S.C. 4151–4157, and any sion shall be designed, constructed, or regulations implementing it. In choos- altered so as to be readily accessible to ing among available methods for meet- and usable by handicapped persons. ing the requirements of this section, The definitions, requirements, and the Commission will give priority to standards of the Architectural Barriers those methods that offer programs and Act, 42 U.S.C. 4151–4157 apply to build- activities to qualified handicapped per- ings covered by this section. sons in the most integrated setting appropriate. § 9420.7 Communications. (c) Time period for compliance. The (a) The Commission will take appro- Commission shall comply with the ob- priate steps to ensure effective commu- ligations established under this section nication with applicants, participants,

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personnel of other Federal entities, and would result in such an alteration or members of the public. such burdens, the Commission will (1) The commission will furnish ap- take any other action that would not propriate auxiliary aids when nec- result in such an alteration or such a essary to afford a handicapped person burden but would nevertheless ensure an equal opportunity to participate in, that, to the maximum extent possible, and enjoy the benefits of, a program or handicapped persons receive the bene- activity conducted by the Commission. fits and services of the program or ac- (i) In determining what type of auxil- tivity. iary aid is necessary, the Commission will give primary consideration to the § 9420.8 Compliance procedures. requests of the handicapped person. (a) Except as provided in paragraph (ii) Where the Commission commu- (b) of this section, this section applies nicates with applicants and bene- to all allegations of discrimination on ficiaries by telephone, telecommuni- the basis of handicap in programs or cation devices for deaf persons (TDDs) activities conducted by the Commis- or equally effective telecommunication sion. systems will be used. (b) The Commission will process com- (b) The Commission will ensure that plaints alleging violations of section interested persons, including persons 504 with respect to employment accord- with impaired vision or hearing can ob- ing to the procedures established in 29 tain information as to the existence CFR 1614.101 et seq. pursuant to section and location of accessible services, ac- 501 of the Rehabilitation Act of 1973 (29 tivities, and facilities. U.S.C. 791). (c) To the extent that the Commis- (c) Responsibility for implementa- sion controls signage at its facilities, tion and operation of this section shall the Commission will provide signage at be vested in the Rehabilitation Act Of- a primary entrance to each of its inac- ficer. cessible facilities, directing users to a location at which they can obtain in- (d)(1) Requirement to file complaint formation about accessible facilities. with the Rehabilitation Act Officer. To the extent practicable, the inter- (i) Any person who believes that he national symbol for accessibility shall or she or any specific class of persons be used at each primary entrance of an of which he or she is a member has accessible facility. been subjected to discrimination pro- (d) The Commission will take appro- hibited by this part may file a com- priate steps to provide handicapped plaint with the Rehabilitation Act Offi- persons with information regarding cer. their section 504 rights under the Com- (ii) Any person who believes that a mission’s programs or activities. denial of his or her services will result (e) This section does not require the or has resulted in discrimination pro- Commission to take any action that it hibited by this part may file a com- can demonstrate would result in a fun- plaint with the Rehabilitation Act Offi- damental alteration in the nature of a cer. program or activity or in undue finan- (2) Timing of filing of complaint. All cial and administrative burdens. The complete complaints must be filed Commission has the burden of proving within 180 days of the alleged act of that compliance with this section discrimination. The Commission may would result in such alterations or bur- extend this period for good cause. dens. The decision that compliance (3) Complaints filed under this part would result in such alteration or bur- shall be addressed to the Rehabilita- dens must be made by the Commission tion Act Officer, U.S. Election Assist- after considering all agency resources ance Commission, 1201 New York Ave- available for use in the funding and op- nue, NW., Suite 300, Washington, DC eration of the conducted program or 20005. activity, and must be accompanied by (e) The Commission will notify the a written statement of the reasons for Architectural and Transportation Bar- reaching that conclusion. If an action riers Compliance Board upon receipt of required to comply with this section any complaint alleging that a building

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or facility that is subject to the Archi- peal within 60 days of the receipt of the tectural Barriers Act of 1968, as amend- request. If the Commission determines ed (42 U.S.C. 4151–4157), or section 502 of it needs additional information from the Rehabilitation Act of 1973, as the complainant, it shall have 60 days amended (29 U.S.C. 792), are not readily from the date it receives the additional accessible and usable to handicapped information to make its determination persons. on the appeal. (f) Review of complaints—(1) The Com- (k) The Commission may extend the mission will accept and investigate a time limits in paragraphs (g) and (j) of complete complaint that is filed in ac- this section for good cause. cordance with paragraph (d) of this sec- (l) The Commission may delegate its tion and over which it has jurisdiction. authority for conducting complaint in- The Rehabilitation Act Officer will no- vestigations to other Federal agencies, tify the complainant and the respond- except that the authority for making ent of receipt and acceptance of the the final determination may not be complaint. delegated. (2) If the Rehabilitation Act Officer [73 FR 54275, Sept. 18, 2008, as amended at 75 receives a complaint that is not com- FR 49815, Aug. 16, 2010] plete, he or she will notify the complainant within 30 days of receipt of the incomplete complaint, that addi- PART 9428—NATIONAL VOTER tional information is needed. If the REGISTRATION ACT (42 U.S.C. complainant fails to complete the com- 1973gg–1 et seq.) plaint within 30 days of receipt of this notice, the Rehabilitation Act Officer Subpart A—General Provisions will dismiss the complaint without Sec. prejudice. 9428.1 Purpose & scope. (3) If the Rehabilitation Act Officer 9428.2 Definitions. receives a complaint over which the Commission does not have jurisdiction, Subpart B—National Mail Voter Registration the Commission will promptly notify Form the complainant and will make reason- 9428.3 General Information. able efforts to refer the complaint to 9428.4 Contents. the appropriate government entity. 9428.5 Format. (g) Within 180 days of receipt of a 9428.6 Chief state election official. complete complaint for which it has jurisdiction, the Commission will notify Subpart C—Recordkeeping and Reporting the complainant of the results of the 9428.7 Contents of reports from the states. investigation in a letter containing— (1) Findings of fact and conclusions AUTHORITY: 42 U.S.C. 1973gg–1 et seq., 15532 of law. SOURCE: 59 FR 32323, June 23, 1994, unless (2) A description of a remedy for each otherwise noted. Redesignated at 74 FR 37520, violation found; and July 29, 2009. (3) A notice of the right to appeal. (h) Appeals of the findings of fact and Subpart A—General Provisions conclusions of law or remedies must be filed by the complainant within 90 days § 9428.1 Purpose & scope. of receipt from the Commission of a The regulations in this part imple- letter required by § 9420.9(g). The Com- ment the responsibilities delegated to mission may extend this time for good the Commission under Section 9 of the cause. National Voter Registration Act of (i) Timely appeals to the Commission 1993, Public Law 103–31, 97 Stat. 77, 42 shall be addressed to the Rehabilita- U.S.C. 1973gg–1 et seq. (‘‘NVRA’’). They tion Act Officer, U.S. Election Assist- describe the format and contents of the ance Commission, 1201 New York Ave- national mail voter registration form nue, NW., Suite 300, Washington, DC and the information that will be re- 20005. quired from the states for inclusion in (j) The Commission will notify the the Commission’s biennial report to complainant of the results of the ap- Congress.

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§ 9428.2 Definitions. the state’s specific voter eligibility and registration requirements. As used in this part: (c) States shall accept, use, and make (a) Form means the national mail available the form described in this voter registration application form, section. which includes the registration application, accompanying general instruc- [59 FR 32323, June 23, 1994. Redesignated and tions for completing the application, amended at 74 FR 37520, July 29, 2009] and state-specific instructions. (b) Chief state election official means § 9428.4 Contents. the designated state officer or em- (a) Information about the applicant. ployee responsible for the coordination The application shall provide appro- of state responsibilities under 42 U.S.C. priate fields for the applicant’s: 1973gg–8. (1) Last, first, and middle name, any (c) Active voters means all registered suffix, and (optional) any prefix; voters except those who have been sent (2) Address where the applicant lives but have not responded to a confirma- including: street number and street tion mailing sent in accordance with 42 name, or rural route with a box num- U.S.C. 1973gg–6(d) and have not since ber; apartment or unit number; city, offered to vote. town, or village name; state; and zip (d) Inactive voters means registrants code; with instructions to draw a loca- who have been sent but have not re- tional map if the applicant lives in a sponded to a confirmation mailing sent rural district or has a non-traditional in accordance with 42 U.S.C. 1973gg–6(d) residence, and directions not to use a and have not since offered to vote. post office box or rural route without a (e) Duplicate registration application box number; means an offer to register by a person (3) Mailing address if different from already registered to vote at the same the address where the applicant lives, address, under the same name, and such as a post office box, rural route (where applicable) in the same political without a box number, or other street party. address; city, town, or village name; (f) State means a state of the United state; and zip code; States and the District of Columbia (4) Month, day, and year of birth; not exempt from coverage under 42 (5) Telephone number (optional); and U.S.C. 1973gg–2(b). (6) Voter identification number as re- (g) Closed primary state means a state quired or requested by the applicant’s that requires party registration as a state of residence for election adminis- precondition to vote for partisan races tration purposes. (i) The application shall direct the in primary elections or for other nomi- applicant to consult the accompanying nating procedures. state-specific instructions to determine what type of voter identification Subpart B—National Mail Voter number, if any, is required or requested Registration Form by the applicant’s state. (ii) For each state that requires the § 9428.3 General information. applicant’s full social security number (a) The national mail voter registra- as its voter identification number, the tion form shall consist of three compo- state’s Privacy Act notice required at nents: An application, which shall con- 11 CFR 9428.6(c) shall be reprinted with tain appropriate fields for the appli- the instructions for that state. cant to provide all of the information (7) Political party preference, for an required or requested under 11 CFR applicant in a closed primary state. 9428.4; general instructions for com- (i) The application shall direct the pleting the application; and accom- applicant to consult the accompanying panying state-specific instructions. state-specific instructions to deter- (b) The state-specific instructions mine if the applicant’s state is a closed shall contain the following information primary state. for each state, arranged by state: the (ii) The accompanying instructions address where the application should shall state that if the applicant is reg- be mailed and information regarding istering in a state that requires the

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declaration of party affiliation, then and will be used only for voter registra- failure to indicate a political party tion purposes. preference, indicating ‘‘none’’, or se- (c) Other information. The form will, if lecting a party that is not recognized appropriate, require an applicant’s under state law may prevent the appli- former address or former name or re- cant from voting in partisan races in quest a drawing of the area where the primary elections and participating in applicant lives in relation to local political party caucuses or conven- landmarks. tions, but will not bar an applicant [59 FR 32323, June 23, 1994; 59 FR 40639, Aug. from voting in other elections. 9, 1994. Redesignated and amended at 74 FR (8) Race/ethnicity, if applicable for 35720, July 29, 2009] the applicant’s state of residence. The application shall direct the applicant § 9428.5 Format. to consult the state-specific instruc- (a) The application shall conform to tions to determine whether race/eth- the technical specifications described nicity is required or requested by the in the Commission’s National Mail applicant’s state. Voter Registration Form Technical (b) Additional information required by Specifications. the Act. (42 U.S.C. 1973gg–7(b) (2) and (b) Size. The application shall consist (4)). The form shall also: of a 5″ by 8″ application card of suffi- (1) Specify each eligibility require- cient stock and weight to satisfy postal ment (including citizenship). The appli- regulations. The application card shall be attached by a perforated fold to an- cation shall list U.S. Citizenship as a ″ ″ universal eligibility requirement and other 5 by 8 card that contains space for the information set forth at 11 CFR include a statement that incorporates 9428.4(c). by reference each state’s specific addi- (c) Layout. (1) The application shall tional eligibility requirements (includ- be sealable. ing any special pledges) as set forth in (2) The outside of the application the accompany state instructions; shall contain an appropriate number of (2) Contain an attestation on the ap- address lines to be completed by the plication that the applicant, to the applicant using the state information best of his or her knowledge and belief, provided. meets each of his or her state’s specific (3) Both sides of the application card eligibility requirements; shall contain space designated ‘‘For Of- (3) Provide a field on the application ficial Use Only.’’ for the signature of the applicant, (d) Color. The application shall be of under penalty of perjury, and the date ink and paper colors of sufficient con- of the applicant’s signature; trast to permit for optical scanning ca- (4) Inform an applicant on the appli- pabilities. cation of the penalties provided by law (e) Signature field. The application for submitting a false voter registra- shall contain a signature field in lieu of tion application; a signature line. (5) Provide a field on the application (f) Type size. (1) All print on the form for the name, address, and (optional) shall be of the largest practicable type telephone number of the person who as- size. sisted the applicant in completing the (2) The requirements on the form form if the applicant is unable to sign specified in 11 CFR 9428.4(b)(1), (6), and the application without assistance; (7) shall be in print identical to that (6) State that if an applicant declines used in the attestation portion of the to register to vote, the fact that the application required by 11 CFR applicant has declined to register will 9428.4(b)(2). remain confidential and will be used [59 FR 32323, June 23, 1994. Redesignated and only for voter registration purposes; amended at 74 FR 37520, July 29, 2009] and (7) State that if an applicant does § 9428.6 Chief state election official. register to vote, the office at which the (a) Each chief state election official applicant submits a voter registration shall certify to the Commission within application will remain confidential 30 days after July 25, 1994:

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(1) All voter registration eligibility (b) Except as provided in paragraph requirements of that state and their (c) of this section, the report required corresponding state constitution or under this section shall include: statutory citations, including but not (1) The total number of registered limited to the specific state require- voters statewide, including both ‘‘ac- ments, if any, relating to minimum tive’’ and ‘‘inactive’’ voters if such a age, length of residence, reasons to dis- distinction is made by the state, in the enfranchise such as criminal convic- federal general election two years prior tion or mental incompetence, and to the most recent federal general elec- whether the state is a closed primary tion; state. (2) The total number of registered (2) Any voter identification number voters statewide, including both ‘‘ac- that the state requires or requests; and tive’’ and ‘‘inactive’’ voters if such a (3) Whether the state requires or re- distinction is made by the state, in the quests a declaration of race/ethnicity; most recent federal election; (4) The state’s deadline for accepting (3) The total number of new valid voter registration applications; and registrations accepted statewide between the past two federal general (5) The state election office address elections, including all registrations where the application shall be mailed. that are new to the local jurisdiction (b) If a state, in accordance with 11 and re-registrations across jurisdic- CFR 9428.4(a)(2), requires the appli- tional lines, but excluding all applica- cant’s full social security number, the tions that are duplicates, rejected, or chief state election official shall pro- report only a change of name, address, vide the Commission with the text of or (where applicable) party preference the state’s privacy statement required within the local jurisdiction; under the Privacy Act of 1974 (5 U.S.C. (4) If the state distinguishes between 552a note). ‘‘active’’ and ‘‘inactive’’ voters, the (c) Each chief state election official total number of registrants statewide shall notify the Commission, in writ- that were considered ‘‘inactive’’ at the ing, within 30 days of any change to the close of the most recent federal general state’s voter eligibility requirements election; or other information reported under (5) The total number of registrations this section. statewide that were, for whatever rea- [59 FR 32323, June 23, 1994. Redesignated and son, deleted from the registration list, amended at 74 FR 35720, July 29, 2009] including both ‘‘active’’ and ‘‘inactive’’ voters if such a distinction is made by the state, between the past two federal Subpart C—Recordkeeping and general elections; Reporting (6) The statewide number of registration applications received statewide § 9428.7 Contents of reports from the (regardless of whether they were valid, states. rejected, duplicative, or address, name (a) The chief state election official or party changes) that were received shall provide the information required from or generated by each of the fol- under this section with the Commis- lowing categories: sion by March 31 of each odd-numbered (i) All motor vehicle offices state- year beginning March 31, 1995 on a form wide; to be provided by the Commission. Re- (ii) Mail; ports shall be mailed to: National (iii) All public assistance agencies Clearinghouse on Election Administra- that are mandated as registration sites tion, Election Assistance Commission, under the Act; 1201 New York Avenue, NW., Suite 300, (iv) All state-funded agencies pri- Washington, DC 20005. The data to be marily serving persons with disabil- reported in accordance with this sec- ities; tion shall consist of applications or re- (v) All Armed Forces recruitment of- sponses received up to and including fices; the date of the preceding federal gen- (vi) All other agencies designated by eral election. the state;

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(vii) All other means, including but tion and a brief narrative or general not limited to, in person, deputy reg- description of the state’s implementa- istrars, and organized voter registration of the NVRA. tion drives delivering forms directly to [59 FR 32323, June 23, 1994, as amended at 59 registrars; FR 64560, Dec. 15, 1994. Redesignated and (7) The total number of duplicate reg- amended at 74 FR 37520, July 29, 2009; 75 FR istration applications statewide that, 49815, Aug. 16, 2010] between the past two federal general elections were received in the appro- PART 9430—DEBT COLLECTION priate election office and generated by each of the categories described in Sec. paragraphs (b)(6) (i) through (vii) of 9430.1 Cross-reference to executive branch- this section; wide debt collection regulations. (8) The statewide number of con- 9430.2–9430.5 [Reserved] firmation notices mailed out between AUTHORITY: 31 U.S.C. 3716(b); 31 U.S.C. the past two federal general elections 3711(d)(2); 31 CFR parts 900–904, and the statewide number of responses SOURCE: 74 FR 27906, June 12, 2009, unless received to these notices during the otherwise noted. same period; (9) Answers to a series of questions § 9430.1 Cross-reference to executive with categorical responses for the state branch-wide debt collection regula- to indicate which options or procedures tions. the state has selected in implementing The U.S. Election Assistance Com- the NVRA or any significant changes mission adopts the regulations at 31 to the state’s voter registration pro- CFR parts 900–904, governing adminis- gram; and trative collection, offset, compromise, (10) Any additional information that and the suspension or termination of would be helpful to the Commission for collection activity for civil claims for meeting the reporting requirement money, funds, or property, as defined under 42 U.S.C. 1973gg–7(a)(3). by 31 U.S.C. 3701(b). (c) For the State report due March 31, 1995, the chief state election official §§ 9430.2–9430.5 [Reserved] need only provide the information described in paragraph (b)(2) of this sec- PARTS 9431–9499 [RESERVED]

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A list of CFR titles, subtitles, chapters, subchapters and parts, and an alphabetical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published separately and revised annually. Indexes to Regulations: Administrative Regulations, Parts 1–8; 200–201 General, Parts 100–116 General Election Financing, Parts 9001–9007 and 9012 Federal Financing of Presidential Nominating Conventions, Part 9008 Presidential Primary Matching Fund, Parts 9031–9039 Table of CFR Titles and Chapters Alphabetical List of Agencies Appearing in the CFR Redesignation Table List of CFR Sections Affected

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EDITORIAL NOTE: These listings are provided for information purposes only. They are compiled and kept up to date by the Federal Election Commission. The indexes are updated as of January 1, 2016.

ADMINISTRATIVE REGULATIONS, PARTS 1–8; 200–201

A AVAILABILITY TO PUBLIC, See: PUBLIC DISCLOSURE

D DEBTS, COLLECTION OF ADMINISTRATIVE Bankruptcy claims, § 8.4 Collection of, § 8.3 Debts covered under other regulations or procedures, § 8.2(b) Debts that are covered, § 8.2(a) Delinquent, referral of, § 8.3(c) Interest, penalties and administrative costs, § 8.5 Purpose and scope, § 8.1 DEFINITIONS Act, § 1.2; § 4.1(e) Commission, § 1.2; § 2.2(a); § 4.1(a); § 6.103(b); § 7.2(a) Commissioner, § 1.2; § 2.2(b); § 4.1(b); § 5.1(b); § 7.2(b); § 201.2(c) Commissioner’s staff, § 201.2(d) Conduct of business, § 2.2(d)(1) Discrimination, enforcement against, used in — auxiliary aids, § 6.103(a) — complete complaint, § 6.103(c) — facility, § 6.103(d) — handicapped person, § 6.103(e) — qualified handicapped person, § 6.103 — Rehabilitation Act Officer, § 6.170(c) — Section 504, § 6.103(g) Ex parte communication, § 201.2(a); § 7.2(e) Freedom of Information Act, used in — commercial use, § 4.1(k) — direct costs, § 4.1(g) — duplication, § 4.1(j) — educational institution, § 4.1(l) — freelance journalist, § 4.1(n) — non-commercial scientific institution, § 4.1(m) — Public Disclosure Division (now called Public Disclosure and Media Relations Division), § 4.1(f) — representative of the news media, § 4.1(n) — request, § 4.1(c) — requestor, § 4.1(d) — review, § 4.1(i) — search, § 4.1(h) Inspector General, § 7.2(f) Meeting, § 2.2(d)

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E EMPLOYEE CONDUCT Acceptance of gifts or favors, 5 CFR § 2635.101 Corrective action, § 7.5 Ex parte communications in enforcement actions, § 7.8 Interpretation and guidance, § 7.3 Making complaints and investigations public, prohibition against, § 7.7; § 111.24(b) Outside activities — employment, § 7.6; 5 CFR § 4701.102 — prior approval required for certain employment and activities, 5 CFR § 4701.102 — prohibitions on, § 7.6 — requests for approval of, 5 CFR § 4701.102(c) and (d) Reporting suspected violations, § 7.4 EX PARTE COMMUNICATIONS (INTERIM) Attempt to prevent, § 7.8(d); § 201.3(c) Concerning — advisory opinions, § 201.4 — audits, prohibited, § 201.3 — enforcement actions, prohibited, § 7.8(a) — litigation, prohibited, § 201.3 — public funding matters, prohibited, § 201.3 — rulemaking proceedings, § 201.4 Defined, § 201.2(a) Receipt of, § 7.8(d); § 201.3(c); § 201.4(a) Sanctions, § 201.5 Written summary of, § 7.8(d); § 201.3(c)(1) and (2); § 201.4(a)

F FREEDOM OF INFORMATION ACT Access of public to materials, § 4.4(b); Part 5 Appeal of denial, § 4.5(a)(4)(iv); § 4.8 Availability of records, § 4.4 — electronic, § 4.4(g) Definitions used in, § 4.1 Exemptions, § 4.5 — matters required to be closed, § 2.4(a) — meetings, § 2.4 — release of exempt records, § 4.6 Fees charged under, § 4.9 Nondisclosable information, § 4.4(e)

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H HANDICAPPED PERSONS Accessibility — of facilities, § 6.150 — of programs, § 6.151 Communications, § 6.160 Complaints — filed with Rehabilitation Act Officer, § 6.170(d)(3) — investigation of, § 6.170(f)(1) — processing of, § 6.170(b) — provision of findings, § 6.170(g) Compliance, § 6.170 Denial of access to, prohibited, § 6.130(b)(3) Employment, § 6.140 Evaluation, § 6.110 Granting of certification, § 6.130(b)(6) Limitation of services or rights, prohibited, § 6.130(b)(1) Procurement contractors, § 6.130(b)(5) Program accessibility — discrimination, prohibited, § 6.149 — existing facilities, § 6.150 — new construction and alterations, § 6.151 Prohibition against discrimination, § 6.130 Provisions of information and services to, § 6.160 Section 504, § 6.103(g); § 6.110(a) Selection of work sites, § 6.130(b)(4)

M MEETINGS Announcement of, § 2.4 Annual report, § 2.8 Changes in, announcement of, § 2.7 Closed — as required by statute, § 2.4(a) — by Commission determination, § 2.4(b) — concerning civil proceedings, § 2.4(b)(7) — concerning internal matters, § 2.4(b)(1) — confidential financial or commercial information, § 2.4(b)(2) — dealing with personnel, § 2.4(b)(1) — enforcement proceedings, ongoing, § 2.4(b)(5) — formal proceedings against individual, § 2.4(b)(3) — internal matters, § 2.4(b)(2) — public request for, § 2.5(e) — to avoid adverse disclosure of information, § 2.4(b)(6) — transcript of, § 2.6(b) — where invasion of privacy would occur, § 2.4(b)(4) Definitions used in, § 2.2 Electronic recording equipment, use of, § 2.3(d) Open, § 2.3(b) Procedures for closing, § 2.5 Rules, § 2.3 Statements made during, § 2.3(c)

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P PRIVACY ACT Confidentiality of records, § 1.14 Correction to record, § 1.7; § 1.8; § 1.9 Disclosure of requested information, § 1.5 Definitions used in, § 1.2 Exemptions, § 1.14 Procedures for requests, § 1.3 Records pertaining to individuals, § 1.3(b); § 1.4(a) PUBLIC DISCLOSURE Availability of records through Public Disclosure Division, § 5.4 Availability to public of — advisory opinions, § 4.4(a)(11); § 5.4(a)(2) — agenda documents, § 4.4(a)(15) — announcement of Commission meeting, § 2.7(a) — audit reports, § 1.14; § 4.4(a)(14) — Clearinghouse studies, § 4.4(a)(13) — conciliation agreements, § 4.4(a)(3) and (12); § 5.4(a)(3) and (4) — disclosure documents, § 4.4(a)(10); § 5.4(a)(1) — ex parte communications, § 201.4(a) — nondiscrimination policies, § 6.110(b) — tapes of Commission meetings, § 2.6(b)(2); § 4.4(a)(5) Fees, § 5.6 Policy on disclosure of records, § 4.2; § 5.2 Public Disclosure Division — availability of records from, § 5.4 — definition, § 5.1(f) — fees charged by, § 5.6 Requests for public records, § 5.5

R RECORDS Availability to public, § 4.4; § 5.4 Indexes and supplements, § 4.4(c) Maintenance of FOIA, § 4.4(f) Meetings, § 2.6 Privacy Act, See: PRIVACY ACT Request for, § 1.3; § 2.6(b) and (c); § 4.7; § 5.5 RULEMAKING PETITIONS Administrative record, § 200.6 Agency considerations, § 200.5 Decision not to initiate a rulemaking, § 200.4(b) Denial of, § 200.4 Disposition of, § 200.4 Ex parte communications concerning, § 201.4 Filing with Commission, § 200.2 Processing by Commission of, § 200.3

S SUNSHINE ACT Announcement — of changes in meeting, § 2.7

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A ACCEPTANCE OF CONTRIBUTIONS See: CONTRIBUTIONS ACCOUNT Allocation between federal and Levin, See: ALLOCATION OF EXPENSES Allocation between federal and nonfederal, See: ALLOCATION OF EXPENSES Credit union, disbursements from, § 102.9(b)(2)(iii) Established by collecting agent, § 102.6(c)(4) Federal, separate from nonfederal, § 102.5(a)(1)(i) and (b)(1)(i) Levin, See: ‘‘LEVIN’’ FUNDS Office, See: OFFICE ACCOUNT Transmittal, for joint fundraising, § 102.17(c)(4) See also: CAMPAIGN DEPOSITORY ACCOUNTANTS’ SERVICES See: LEGAL AND ACCOUNTING SERVICES ACT Definition, § 100.18 ADMINISTRATIVE EXPENSES Allocation of, § 106.1(e) — by nonconnected committee, § 106.6(b)(2)(i) — by publicly funded Presidential candidate, § 106.2(b)(2)(iii) — by separate segregated fund, § 106.6(b)(1)(i) — by State, district or local party committees, 106.7(c)(2) and (d)(2) — not attributable to specific candidate, § 106.1(c) — reporting by party committee, § 104.17(b)(1) — reporting by separate segregated fund or nonconnected committee, § 104.10(b)(1) Corporate/labor expenses for separate segregated fund, § 114.1(b); § 114.5(b) Delegate selection, § 110.14(c)(1)(ii) Polling results purchased by unauthorized committee, § 106.4(d) Rent, salary, other recurring expenses not reported as debts, § 104.11(b) ADMINISTRATIVE FINES See: COMPLIANCE ADMINISTRATIVE PERSONNEL Definition, § 100.134(d); § 114.1(c) See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK ADVERTISING See: COMMUNICATIONS/ADVERTISING ADVISORY OPINIONS Issuance of, § 112.4 Reconsideration of, § 112.6 Reliance on, § 112.5 Requests for, § 112.1 — made public, § 112.2 — public comments on, § 112.3 Standing to receive, § 112.1(a) AFFILIATED COMMITTEE Assignment of debts to, § 116.2(c)(3) Circumstantial factors determining affiliation, § 100.5(g)(4)(ii); § 110.3(a)(3)(ii) Committees automatically considered as, § 110.3(a)(2)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00419 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) AFFILIATED COMMITTEE—Continued Conduit, exempted, § 110.6(b)(2)(i)(C) Connected organization of — cooperative, § 114.7(k)(1) — definition, § 100.6 — disclosure of, § 102.2(b) Contribution limits for, § 110.3(a)(1) Definition, § 100.5(g); § 110.3(a)(1) and (3)(ii); § 300.2(c)(3) Delegate committees — with each other, § 110.14(k) — with Presidential candidate’s authorized committee, § 110.14(j) Disclosure of, on Statement of Organization, § 102.2(b) For purposes of ‘‘Levin’’funds, § 300.31(d)(3) Participant in joint fundraising, § 102.17(b)(3)(iii) Transfers between, § 102.6(a); § 110.3(c) AGENT Candidate as, § 101.2; § 102.7(d) § 109.3(b); § 300.2(b)(3) Collecting, See: COLLECTING AGENT Commercial fundraising firm as, § 102.6(b)(3); § 110.6(b)(2)(i)(D) Definition, § 109.3; § 300.2(b) Not a conduit or intermediary, § 110.6(b)(2)(i)(A) and (E) ALLOCATION BY PRESIDENTIAL CAMPAIGN Expenditures, to State — administrative costs, § 106.2(b)(2)(iii) — disputed by Commission, § 106.2(a)(1) — documentation, § 106.2(a)(1) — mass mailings, § 106.2(b)(2)(ii) — media, § 106.2(b)(2)(i) — methods for, § 106.2(b) — overhead expenditures of state offices, § 106.2(b)(2)(iii)(A) and (B) — polling, § 106.2(b)(2)(v) — recordkeeping, § 106.2(d) — reporting, § 106.2(c) — telephone programs targeted to State, § 106.2(b)(2)(iv) — testing-the-waters, § 106.2(a)(2) Not required — administrative costs of national office, § 106.2(b)(2)(iii)(C) — advertising, national, § 106.2(b)(2)(i)(E) — campaign headquarters, national, § 106.2(b)(2)(iii)(C) — commissions, § 106.2(b)(2)(i)(G) — compliance, § 106.2(b)(2)(iii)(A) — media production costs, § 106.2(b)(2)(i)(F) — national consulting fees, § 106.2(b)(3) — recordkeeping, § 106.2(d) Overhead expenditures, definition, § 106.2(b)(2)(iii)(D) Reporting, § 106.2(c) ALLOCATION OF EXPENSES Administrative expenses, See: ADMINISTRATIVE EXPENSES Between candidates, § 106.1(a) and (b) — ‘‘benefit reasonably expected to be derived’’ allocation method, § 106.1(a)(i) — exceptions, § 106.1(c) — federal and nonfederal, § 106.1(a) — personnel and facilities, shared, § 110.8(d)(3) Between federal and nonfederal accounts — of separate segregated fund or nonconnected committee,§ 106.6 — of State, district or local party committee, other than for federal election activity § 106.7 Between federal and nonfederal elections, § 106.1(e) By Presidential campaign, See: ALLOCATION BY PRESIDENTIAL CAMPAIGN

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00420 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General ALLOCATION OF EXPENSES—Continued By nonconnected committees/separate segregated funds — costs to be allocated, § 106.6(b) — for administrative expenses, costs of generic voter drives, and certain public communications, § 106.6(b) — fundraising program or event, § 106.6(d) — reporting, § 104.10 By State, district or local party committees — costs that are not allocated, § 106.7(e); § 300.33(c) and (d) — costs to be allocated, § 104.10(a) and (b); § 104.17(a) and (b); § 106.1(a) and (e); § 106.7(b) and (c); § 300.33(a) and (b) — exempt activity expenses, other than for federal election activity, § 106.7(c)(3) and (d)(3) — fixed percentage method, § 106.7(d)(2) and (3); § 300.33(b) — for federal election activity, § 300.33 — for phone banks that refer to a clearly identified candidate, § 106.8(a)and (b) — for salaries and wages of State, district or local party committee staff, § 106.7(c) and (d); § 300.33(d) — fundraising costs, § 106.7(c)(4) and (d)(4); § 300.32(a)(3) — timing of transfers between federal and Levin accounts, § 300.33(e)(2) — voter drives that are not exempt and are not federal election activity, § 106.7(c)(5) and(d)(3) — reporting, § 104.17; § 300.36 See also: FEDERAL ELECTION ACTIVITY; ‘‘LEVIN’’ FUNDS For phone banks, § 106.1(a)(1); § 106.8(a)and (b) For travel between campaign/noncampaign-related activity, § 106.3 Fundraising program or event — by separate segregated fund and nonconnected committee, § 106.6(d) — by State, district or local party committee, § 106.7(c)(4) and (d)(4); § 300.32(a)(3) — ‘‘funds received’’ method, § 106.6(d); § 106.7(c)(4) and (d)(4); § 300.32(a)(3) Generic voter drive costs, allocation method used by State, district or local party committee, § 106.7(c)(5) and (d)(3); § 300.33(a)(2) and (b) Joint fundraising proceeds, § 102.17(c)(1), (2), (6) and (7) Payment of allocated expenses — by allocation account, § 106.6(e)(1)(ii); § 106.7(f)(1)(ii); § 300.32(e)(1)(ii) — by federal account, § 106.6(e)(1)(i); § 106.7(f)(1)(i); § 300.32(e)(1)(i) — timing of transfers between federal and Levin accounts, § 300.33(e)(2) — timing of transfers between federal and nonfederal accounts, § 106.6(e)(2); § 106.7(f)(2) Polling results, § 106.4 Presidential campaign, State allocation by, See: ALLOCATION BY PRESIDENTIAL CAMPAIGN Reporting — allocation of expenses by party committee, § 104.17; § 300.36 — allocation of expenses by separate segregated fund and nonconnected committee, § 104.10 — allocation of payments by party committee allocated between federal and ‘‘Levin’’ funds, § 300.36 ‘‘Time or space’’ allocation method, § 106.1(a)(1) Transfers to pay for, § 106.6(e); § 106.7(f); § 300.33(e); § 300.34 ANONYMOUS CONTRIBUTION Of cash, § 110.4(c)(3) APPEARANCES BY CANDIDATE See: CANDIDATE; COMMUNICATIONS/ADVERTISING ATTORNEYS’ SERVICES See: LEGAL AND ACCOUNTING SERVICES AUDITS By Commission, § 104.16

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00421 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) AUDITS—Continued Preservation of reports and records for, § 102.5(b)(1)(i) and (ii); § 104.14(b)(3) and (4) See also: Index for ADMINISTRATIVE REGULATIONS/Public Disclosure AUTHORIZED COMMITTEE Affiliated, § 100.5(g)(1) and (5); § 110.14(j) Agent of, definition, § 109.3 Candidate as agent of, § 101.2; § 102.7(d) Communications paid for/authorized by, § 110.11(b)(1) and (2) Contribution limit shared, § 110.3(a)(1)(i) Contributions to, See: CANDIDATE; CONTRIBUTIONS Coordinated communication, § 109.21 Debts owed by, § 116.2(c) See also: DEBTS Definition, § 100.5(d) and (f)(1) Designation of, § 101.1(b); § 102.13 Election cycle reporting, § 104.3(a)(3); § 104.3(b)(2) Forwarding contributions to, § 102.8(a) Funds of, See: CAMPAIGN FUNDS, USE OF Independent expenditures, See: COORDINATION; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES Joint fundraising, § 102.17(a)(1)(i) Name of, restrictions, § 102.14(a) Registration of, § 102.1(b); § 102.2(b)(1)(i) Reports filed by, § 101.1(b); § 102.1(b); § 104.3(f) Support of one candidate only, § 102.13(c) Terminating, § 116.2(c) See also: TERMINATION OF COMMITTEE Transfers by, § 110.3(c)(4) and (5) See also: CANDIDATE; POLITICAL COMMITTEE; PRINCIPAL CAMPAIGN COMMITTEE

B BALLOT Ballot access payment — by delegate, § 110.14(c)(1)(i) — candidacy, indicator of, § 100.72(b)(5) and 100.131(b)(5) — contribution/expenditure exemption when paid to party committee, § 100.90; § 100.150 BANK Campaign depository, See: CAMPAIGN DEPOSITORY Communications by — beyond restricted class, § 114.4 — containing express advocacy, to restricted class, § 114.3 — independent expenditure, § 114.10 — to general public, § 114.4(a) and (c); § 114.10 Line of credit, § 100.82(e); § 100.142(e); § 104.3(d) Loans from, See: LOANS National, contribution/expenditure by, prohibited, § 114.2(a) Overdraft, § 100.82(d); § 100.142(d) Separate segregated fund established by, § 114.2(a)(1) and (2); § 114.5 See also: COMMUNICATIONS/ADVERTISING; CORPORATION/LABOR ORGANIZATION/NATIONAL BANK; SEPARATE SEGREGATED FUND BEST EFFORTS Amending previously filed reports, § 104.7(b)(4) Contributions lacking required information, § 104.7(b) Information in committee’s possession, reporting of, § 104.7(b)(3) Requirements for solicitations, § 104.7(b)(1) — request for information, § 104.7(b)(1)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00422 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General BEST EFFORTS—Continued Requirements for solicitations, § 104.7(b)(1)—Continued — statement required on all solicitations, § 104.7(b)(1) To file reports in a timely manner, § 111.35(b)(3) To obtain, maintain and submit contributor information, § 104.7 See also: COMPLIANCE Treasurer responsible for showing, § 104.7; § 104.14(d) See also: RECORDKEEPING; REPORTING; TREASURER OF POLITICAL COMMITTEE BROKERAGE LOANS AND LINES OF CREDIT, See: LOANS BUNDLING Disclosure of bundled contributions, when done by lobbyist/registrants and lobbyist/registrant PACs, § 104.22 — indexed for inflation, § 110.17(f) — requirements for campaigns, party committees and leadership PACs, § 104.22(b) — requirements for lobbyist/registrant PACs, § 104.22(c) — requirements for reporting committees, § 104.22(b) — threshold for, published by Commission, § 110.17(e)(2) — when to file reports of, § 104.22(e) — where to file reports of, § 104.22(d) Recordkeeping of, § 104.22(f) See also: CONDUIT/INTERMEDIARY; EARMARKED CONTRIBUTION; LEADERSHIP PAC

C CAMPAIGN DEBTS See: DEBTS CAMPAIGN DEPOSITORY Acceptable institutions, § 103.2 Commingling of funds, § 102.15 Deposits to, § 103.3 Designation of, § 103.1; § 103.2 Disbursements from, § 102.10; § 103.3(a) Established by collecting agent, § 102.6(c)(4)(ii)(A) Federal accounts, separate from nonfederal, § 102.5(a)(1)(i) and (b)(1)(i) Illegal funds, § 103.3(b)(3), (4) and (5) Investment of deposited funds, § 103.3(a); § 104.3(a)(4)(vi) Joint fundraising account, § 102.17(c)(3) Overdraft, § 100.82(d); § 100.142(d) Separate account for pledged funds, § 100.82(e)(2); § 100.142(e)(2) Vice Presidential candidate, § 103.4 CAMPAIGN FUNDS, USE OF Charitable donations, § 113.1(g)(2); § 113.2(b) Donations to State and local candidates, § 113.2(d) Expenses viewed on case by case basis, § 113.1(g)(1)(ii) Gifts, § 113.1(g)(4) Legal expenses, § 113.1(g)(1)(ii)(A) Meal expenses, § 113.1(g)(1)(ii)(B) Official duties, expenses incurred in connection with, § 113.1(g)(5); § 113.2(a) Permissible noncampaign uses of funds, § 113.2 — conversion to personal use by qualified Member, § 113.2(f) — definition, § 113.2 — donations to 501(c) organization, § 113.2(b) — donations to State and local candidates, § 113.2(d) — for any other lawful purpose, § 113.2(e) — limit, § 113.2(f)(4) — methods for, § 113.1(e)(1)(i) and (ii) — officeholder, expenses of, § 113.2(a)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00423 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) CAMPAIGN FUNDS, USE OF—Continued Permissible noncampaign uses of funds, § 113.2—Continued — transfer to any party committee, § 113.2(c) Personal use of, prohibited, § 113.2(f)(5) — definition, § 113.1(g) — expenses considered, § 113.1(g) — payments for, considered contribution in-kind, § 113.1(g)(6) — Qualified Member, exemptions for, § 113.1(f); § 113.2(f) — repayment of candidate brokerage loan or line of credit advance, considered as, § 100.83(c)(2) Prohibited uses — costs in connection with nonfederal election that do not comply with federal/state laws, § 300.61; § 300.62 — non-commercial travel by House candidates and their leadership PACs, § 113.5(b) — personal use, § 113.1(g); § 113.2(f)(5) Transfer — of campaign assets, § 113.1(g)(3) — to party, § 113.2(c) Travel expenses, § 113.1(g)(1)(ii)(C) and (D); § 113.2(a)(1); § 113.5 Use of, § 113.1(g); § 113.2; § 113.5 Winding down office, § 113.2(a)(2) CAMPAIGN MATERIALS Candidate-prepared, dissemination of — by delegate or delgegate committee,§ 110.14(f)(3) — content standard for coordinated communication, § 109.21(c)(2); § 109.23; § 109.37(a)(2)(i) — corporate/labor communications, prohibited, § 114.3(c)(1) — in-kind contribution results, § 109.20(a); § 109.21(b)(2) and(c)(2); § 109.23; § 109.37(a)(2)(i); § 110.14(f)(3) See also: COORDINATION Disclaimer notice required on — exception for small items, § 110.11(f)(1) — exempt activities, § 110.11(e) — public communications, § 110.11(a), (b) and (c)(2) See also: DISCLAIMER NOTICE Dissemination, distribution, republication of, resulting in coordinated communication, § 109.21(c)(2) and (d)(6) Distributed by volunteer, exemptions — for candidate, § 100.88(a) and (b); § 100.148; § 110.11(e) — for delegate, § 110.14(f)(1) — for party, § 100.87; § 100.147; § 110.11(e) Mass mailing — defined as public communication, § 100.26 — definition, § 100.27 — federal election activity, counts as, § 100.24(b)(3) See also: COMMUNICATIONS/ADVERTISING; DISCLAIMER NOTICE; FEDERAL ELECTION ACTIVITY CANDIDATE Advocacy of election/defeat of, See: CLEARLY IDENTIFIED CANDIDATE; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURE Agent of authorized committee, § 101.2; § 102.7(d); § 109.3(b); § 300.2(b)(3) Appearances — at educational institution, § 110.12; § 114.4(c)(7) — at fundraising event for State, district or local party committee, § 300.64 — at fundraising event for tax-exempt organization, § 300.65 — corporate/labor, § 114.3(c)(2); § 114.4(b)(1) and (2) — election year, § 110.8(e)(2)(ii) — party-building, § 110.8(e) See also: COMMUNICATIONS/ADVERTISING

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00424 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General CANDIDATE—Continued Campaign funds, use of, See: CAMPAIGN FUNDS, USE OF Campaign materials prepared by/distributed for, See: CAMPAIGN MATERIALS Candidacy indicated, examples, § 100.72(b); § 100.131(b) Cessation of candidacy, date of, § 110.3(c)(4)(iv) Clearly identified, See: CLEARLY IDENTIFIED CANDIDATE Committee, See: AUTHORIZED COMMITTEE; PRINCIPAL CAMPAIGN COMMITTEE Contributions to — accounting for primary/general election contributions, § 102.9(e) — committees supporting same candidate, § 110.1(h); § 110.2(h) — criterion for candidate status, § 100.3(a) — criterion for candidate support, § 102.12(c)(2); § 102.13(c)(2) — dual candidate, § 110.1(f); § 110.2(f) — from campaign of another federal candidate, § 102.12(c)(2); § 102.13(c)(2) — from campaign of nonfederal candidate, § 102.5(b)(1); § 110.1(a) and (b); § 300.61 — limitations, general, § 110.1(b) and (h); § 110.2(b), (h) and (i) — prior to becoming candidate, § 100.72(a) and (b); § 101.2(b); § 101.3 — prohibited, acceptance of, § 103.3(b); § 110.4(b)(1)(iv); § 110.9(a); § 110.20(g); § 114.2(d) — Senate candidate, from party, § 110.2(e); § 110.3(b)(4) — unopposed candidate, § 110.1(j)(2) and (3); § 110.2(k) See also: CONTRIBUTIONS Corporate/labor facilities and resources, used by, § 114.2(f); § 114.13 Debates, See: DEBATES Definition, § 100.3(a) Delegate/delegate committee communications referring to, § 110.14(f) and (i) Designation of — authorized committee, § 101.1(b); § 102.13 — joint fundraising committee, § 102.13(c)(1); § 102.17(a)(1) — principal campaign committee, § 101.1(a); § 102.12 Disavowal of campaign activity, § 100.3(a)(3); § 102.13(a)(2) Dual, See: DUAL CANDIDACY Expenditures — allocation among candidates, § 104.10(a); § 104.17(a); § 106.1 — allocation among States for Presidential candidate, § 106.2 See also: ALLOCATION BY PRESIDENTIAL CAMPAIGN — criterion for candidate status, § 100.3(a) — limitations, for publicly funded Presidential candidates, § 110.8 — made on behalf of, § 110.8(g) — personal funds used for, See: PERSONAL FUNDS — polling expenses, § 106.4 — prior to becoming candidate, § 100.131(a) and (b); § 101.2(b); § 101.3 See also: CAMPAIGN FUNDS, USE OF; EXPENDITURES Exploratory, § 100.72(a) and (b); § 101.2(b); § 101.3 See also: TESTING THE WATERS EXPENSES Family of, definition, § 113.1(g)(7) Fraudulent misrepresentation, § 110.16 Fundraising — candidates running for both federal/nonfederal office, § 300.63 — for political party at event, § 300.64 — for State, district or local party committee, § 102.5(a)(4); § 300.61; § 300.62; § 300.64 — prohibitions on raising funds outside Act, § 300.60 through § 300.62 Living expenses, § 100.153; § 113.1(g)(1)(i) ‘‘Leadership PAC’’ of, See: LEADERSHIP PAC Loans — obtained by candidate, § 101.2; § 102.7(d); § 104.3(d)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00425 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) CANDIDATE—Continued Loans—Continued — restriction on repayment of loans made by candidate to authorized committee, § 116.11 Name included in — authorized committee’s name, § 102.14(a) — communication or special project opposing, § 102.14(b)(3) — unauthorized committee’s name, § 102.14(a) and (b) Nonfederal campaign of federal candidate — facilities and personnel, shared with federal campaign, § 110.8(d)(3) — separate organization from candidate’s federal campaign required, § 110.8(d)(1) — solicitation of donors to, § 110.3(d); § 300.63 — transfers to federal campaign, prohibited, § 110.3(d); § 110.8(d)(2) Personal funds, See: PERSONAL FUNDS Personal use of campaign funds, § 113.1(g); § 113.2(f)(5) Pre-1975, § 110.2(g) Presidential, See: CANDIDATE FOR PRESIDENT Referred to in party solicitation, § 102.5(a)(3) State and local candidates — contributions by, to federal campaign of another candidate, § 102.5(b)(1); § 110.1(a) and (b); § 300.61 — contributions to, by a federal candidate, § 113.2(d) — endorsement of, by federal candidate, § 109.21(g) — federal funds not required for certain communications, § 300.72 — federal funds required for certain communications, § 300.71 — fundraising for, by federal candidate, § 109.21(g); § 300.62 — party activity for, when not considered federal election activity, § 100.24(c) — registration threshold for federal political activity, § 100.5(a) — solicitation of donors to, § 109.21(g); § 110.3(d); § 300.62; § 300.63 — transfers to federal campaign of same candidate, prohibited, § 110.3(d); § 110.8(d)(2) See also: STATE OFFICEHOLDER Support of, definition, § 102.12(c)(2); § 102.13(c)(2) Testing-the-waters activity, § 100.72(a) and (b); § 100.131(a) and (b); § 101.3; § 106.4(a) See also: TESTING THE WATERS EXPENSES Transfers between — federal/nonfederal campaigns, prohibited, § 110.3(d); § 110.8(d)(2) — previous and current federal campaigns, § 110.3(c)(4) — two federal campaigns of same candidate, § 110.3(c)(5); § 110.8(d)(2) See also: TRANSFER OF FUNDS Travel by, See: TRAVEL Unopposed, § 100.2(c)(5); § 110.1(j)(2) and (3); § 110.2(k) Vice Presidential candidate, See: CANDIDATE FOR PRESIDENT Voter guide, responses included in, § 114.4(c)(5) Voting record of, distributed by corporation or labor organization, § 114.4(c)(4) CANDIDATE FOR PRESIDENT Appearances by — at corporation/labor organization, § 114.3(c)(2); § 114.4(b)(1) and (2) — at educational institution, § 110.12; § 114.4(c)(7) — at fundraising event for State, district or local party committee, § 300.64 — at fundraising event for tax-exempt organization, § 300.65 — election year, § 110.8(e)(2)(ii) — party-building, § 110.8(e) See also: COMMUNICATIONS/ADVERTISING Clearly identified, See: CLEARLY IDENTIFIED CANDIDATE Contributions to, See: CONTRIBUTIONS Debates, See: DEBATES Delegate communications referring to, § 110.14(f) and (i)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00426 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General CANDIDATE FOR PRESIDENT—Continued Expenditures — allocation among States, § 106.2 See also: ALLOCATION BY PRESIDENTIAL CAMPAIGN — limits for publicly funded candidate, § 110.8 See also:CAMPAIGN FUNDS, USE OF; EXPENDITURES Exploratory, § 100.72(a) and (b); § 101.2(b); § 101.3 See also: TESTING THE WATERS EXPENSES Fundraising — candidate, prohibitions on, § 300.60 through 300.62 — for other candidates, § 109.21(g); § 300.61; § 300.62 — overall limitation for publicly funded, exemption, § 100.152 — state limitation for publicly funded, exemption, § 110.8(c)(2) ‘‘Leadership PAC’’ of, See: LEADERSHIP PAC Legal and accounting services, contribution/expenditure exemption, § 100.86; § 100.146; § 106.2(b)(2)(iii) Name of, used by committee, § 102.14(a) and (b) National party committee — as Presidential principal campaign committee, § 102.12(c)(1) — expenditure limits for Presidential nominee, § 109.32(a) Nominating convention, See: CONVENTION, NATIONAL NOMINATING Reports by Presidential committee, § 104.5(b); § 105.3; § 108.2 Transfers between campaigns, § 110.3(c); § 110.8(d)(2) Travel, See: TRAVEL Vice Presidential candidate — campaign depository, § 103.4 — committee reports, § 104.5(d); § 108.2 — expenditures by and on behalf of, § 110.8(f) and (g) — principal campaign committee, § 102.12(a) Voter drive by party committee on behalf of nominee, § 100.89; § 100.149; § 106.1(c)(3); § 110.11(e) CASH Collateral for loan, § 100.82(e); § 100.142(e) Contributions, § 110.4(c) Disbursements from petty cash, § 102.11; § 103.3(a) On-hand, reporting, § 104.3(a)(1); § 104.12 CHARITABLE ORGANIZATION Campaign funds donated to, § 113.1(g)(2); § 113.2(b) Definition, § 110.12(b)(6); § 300.2(a) Fundraising for — by candidate or officeholder, § 300.52 — by national party committee, § 300.50 — by State, district or local party committee, § 300.51 Making expenditures or disbursements in connection with federal election, definition, § 300.2(a) CHURCH OR COMMUNITY ROOM Use of, § 100.76; § 100.136 CIVIL ACTIONS See: COMPLIANCE CLEARLY IDENTIFIED CANDIDATE Attribution of expenditures to, § 106.1(c) Communications that refer to — as electioneering communications, § 100.29(b)(2) — as Type IV federal election activity, § 100.24(b)(3) Communications expressly advocating — as independent expenditure, § 100.22; § 109.1; §thnsp;114.10(a) — by corporation/labor organization, § 100.134(a); § 100.22; § 104.6; § 105.4; § 114.3; § 114.5(e)(2)(i); § 114.10(a) — by delegate/delegate committee on behalf of Presidential candidate, § 110.14(f) and (i)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00427 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) CLEARLY IDENTIFIED CANDIDATE—Continued Communications expressly advocating—Continued — notice required, § 109.3; § 110.11(a); § 114.10(c) Definition, § 100.17; § 106.1(d) See also: COMMUNICATIONS/ADVERTISING; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES COLLECTING AGENT Definition, § 102.6(b)(1) and (3) Fundraising for separate segregated fund, § 102.6(b) and (c) Recordkeeping, § 102.6(c)(5) and (6) Registration of, § 102.6(b)(2) Reporting of funds received through, § 102.6(c)(7) Transfers to separate segregated fund, § 110.3(c)(1) Transmittal of contribution by, § 102.6(c)(3), (4) and (5) COMMERCIAL VENDOR Defined, § 116.1(c) Extension of credit by, See: CREDIT, EXTENSION OF Food, beverage discounts by, § 100.78; § 100.138 Individual not acting as, § 116.5(a) Remedies taken to collect on debts, § 100.55; § 116.4(d)(3) Safe harbors for coordinated communications, § 109.21(h) and (i) Settlement/forgiveness of debts owed to, § 100.55; § 116.4; § 116.8 See also: CREDITOR; DEBTS COMMINGLED FUNDS Segregation of political/personal funds, § 102.15 COMMITTEE See: POLITICAL COMMITTEE COMMUNICATIONS/ADVERTISING Advertising — disclaimer notice requirements for, § 110.11 — public communication, definition, § 100.26 See also: DISCLAIMER NOTICE; ELECTIONEERING COMMUNICATIONS; FEDERAL ELECTION ACTIVITY; INDEPENDENT EXPENDITURES; PUBLIC COMMUNICATION; PUBLIC POLITICAL ADVERTISING Campaign materials, See: CAMPAIGN MATERIALS Candidate appearances — at debate, See: DEBATES — at private educational institution, § 114.4(c)(7) — at public educational institution, § 110.12 — before all employees, paid for by corporation/union, § 114.4(b) and (e) — before restricted class of corporation/union, § 114.3(c)(2) — contributions solicited/collected at, § 114.3(c)(2); § 114.4(b)(1)(iv) and (2)(i) — for party building, § 110.8(e) Containing express advocacy — definition of, § 100.22 — functional equivalent of, § 109.21(c)(5) — guidelines for, when made by corporation/union, § 114.3(c) — independent expenditures, See: INDEPENDENT EXPENDITURES — restricted class for, § 114.1(j) See also: EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES Coordinated communication — conduct standards, § 109.21(d); § 109.37(a)(3) — content standards, § 109.21(c); § 109.37(a)(2) — definition, § 109.21(a); § 109.37(a) — in-kind contribution, results in, § 109.20(a); § 109.21(b)(2) and(c)(2); § 109.23; § 109.37(a)(2)(i) and (b)(1); § 110.14(i)(2)(i); § 114.2(c) — safe harbors, § 109.21(g), (h) and (i) See also: COORDINATION/Coordinated Communications Debates, See: DEBATES

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00428 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General COMMUNICATIONS/ADVERTISING—Continued Disclaimer notice requirements, § 110.11 See also: DISCLAIMER NOTICE Electioneering communications, See: ELECTIONEERING COMMUNICATIONS Expressly advocating, See: EXPRESS ADVOCACY Endorsements by corporations/labor organizations, § 114.3(a) and (c); § 114.4(c)(6) Federal election activity, when defined as, § 100.24 See also: FEDERAL ELECTION ACTIVITY; PUBLIC COMMUNICATION General public political advertising, definition, § 100.26 See also: PUBLIC COMMUNICATION; PUBLIC POLITICAL ADVERTISING Independent expenditures, See: INDEPENDENT EXPENDITURES Internet activities, See: INTERNET ACTIVITIES Made by — bank/corporation established by authority of Congress, § 109.21; § 114.2(a)(1) and (2); § 114.3(a)(1); § 114.4; § 114.10 — cooperatives, § 100.134(a); § 109.21; § 114.3(a)(2); § 114.4(a); § 114.7(h) and (k)(2); § 114.10 — corporation without capital stock, § 100.134(a); § 109.21; § 114.3(a)(2); § 114.4(a) and (c); § 114.7(h); § 114.10 — delegate committees, § 109.21; § 110.14(i) — delegates, § 110.14(f)(2) — membership organizations, § 100.134(a); § 109.21; § 114.3(a)(2); § 114.4(a); § 114.7(h); § 114.10 — party, § 100.24; § 100.87; § 100.147; § 110.11(a); § 109.30 to 109.37 — Presidential campaign, § 106.2(b)(2)(i) and (ii) — separate segregated funds, § 109.21; § 110.11(f)(2); § 114.5(i) — State and local candidates, § 109.21(g); § 300.71; § 300.72 — trade associations, § 100.134(a); § 109.21; § 114.3(a)(2); § 114.4(a); § 114.8(h); § 114.10 — unauthorized committee, § 102.14(a); § 109.1; § 110.11(b)(1) and (2); § 114.5(i) Media — ad space, charges for, § 110.11(g) — allocation of expenditures for, on behalf of Presidential candidate, § 106.2(b)(2)(i) — broadcast communication, definition, § 100.29(b)(1) — broadcasters, definition, § 100.73; § 100.132; § 110.13(a)(2); § 114.4(f)(2) — disclaimer for television and radio ads, § 110.11(c)(3) and (c)(4) — news story/editorial/commentary, § 100.73; § 100.132 — presence at corporate/labor candidate appearance, § 114.3(c)(2)(iv); § 114.4(b)(1)(viii) and (2) — production costs, for Presidential candidates, § 106.2(b)(2)(i)(F) — staging of candidate debates, § 110.13(a)(2); § 114.4(f) — use of information from filed reports, § 104.15(c) Name of candidate used in — name of authorized committee, § 102.14(a) — opposing candidate, use of name in title, § 102.14(b)(3) Notices required, See: DISCLAIMER NOTICE Party coordinated communication, § 109.37 See also: COORDINATION; PARTY COMMITTEE Public communication, § 100.26 See also: FEDERAL ELECTION ACTIVITY; PUBLIC COMMUNICATION Slate card/sample ballot, § 100.80; § 100.140; § 106.1(c)(3); § 106.7(c)(3); § 300.33 See also: PARTY COMMITTEE/Exempt activities; SLATE CARD/SAMPLE BALLOT Soliciting contributions, See: DISCLAIMER NOTICE; FUNDRAISING To general public, by corporation or labor organization, § 114.4(a) and (c); § 114.10 — candidate and party appearances before employees, § 114.4(b) — electioneering communications, § 114.10 — endorsements, § 114.4(c)(6) — registration and get-out-the-vote drives, § 114.4(d)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00429 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) COMMUNICATIONS/ADVERTISING—Continued To general public, by corporation or labor organization, § 114.4(a) and (c); § 114.10—Continued — registration and voting communications, § 114.4(c)(2) and (3) — voter guides, § 114.4(c)(5) — voting records, § 114.4(c)(4) To restricted class, by corporation or labor organization, § 114.3 — candidate and party appearances, § 114.3(c)(2) — coordinated with candidate, § 109.20; § 109.21; § 114.2(c) — phone banks, § 114.3(c)(3) — publications, § 114.3(c)(1) — registration and get-out-the-vote drives, § 114.3(c)(4) — reporting of, § 100.134(a); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i) — restricted class for, definition, § 114.1(j); § 114.7(h) and (k)(2); § 114.8(h) See also: CLEARLY IDENTIFIED CANDIDATE; COORDINATION; PUBLIC COMMUNICATION; PUBLIC POLITICAL ADVERTISING; VOTER DRIVES COMPLAINTS See: COMPLIANCE COMPLIANCE Administrative fines — appeal of, § 111.38 — challenges to alleged violation, § 111.35 — collection of, § 111.51(a)(2); § 111.52 — effective date of program, § 111.30 — payment of civil penalties, § 111.39; § 111.40; § 111.41 — reason to believe finding, § 111.32; § 111.33 — reviewing officer, § 111.36 — schedule of penalties, § 111.43; § 111.44 — when in effect, § 111.30 Best efforts — to obtain, maintain and submit contributor information, § 104.7 — to file reports in a timely manner, § 111.35(b)(3) See also: BEST EFFORTS Civil actions, § 111.19; § 111.53 Civil penalties, § 111.24 — collection of, § 111.51(a)(2); § 111.52 Complaints, § 111.4; § 111.5; § 111.6; § 111.7 Computation of time, § 111.2 Conciliation agreements, § 111.18; § 111.19(c) Confidentiality, § 1.14; § 111.21; § 111.24(b) Cost exemption, disputed, § 106.2(a)(1) Costs, exempted from allocation, § 106.2(c)(5) Debts arising from, collection of — bankruptcy claims, § 111.54 — collection of, § 111.52 — debts covered under other regulations or procedures, § 8.2(b); § 111.51(b) — debts that are covered, § 111.51(a) — delinquent, referral of, § 111.52(c) — interest, penalties and administrative costs, § 111.55 — litigation by Commission, § 111.53 — purpose and scope, § 111.50 Ex parte communications, § 111.22 Exempt costs, defined, § 106.2(c)(5)(i) Failure to file reports, § 111.8(c) Initiation of, § 111.3 Internal/agency referrals, § 111.3(a); § 111.8 Investigations, § 111.10 No reason to believe, § 111.7(b); § 111.9(b) Probable cause to believe, § 111.16; § 111.17; § 111.18

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00430 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General COMPLIANCE—Continued Public disclosure, § 111.20; § 111.24(b) See also: Index for ADMINISTRATIVE REGULATIONS Reason to believe, § 111.7(a); § 111.9; § 111.10 Representation by counsel, § 111.23 Subpoenas/orders/depositions — issuance of, § 111.11; § 111.12 — motions to quash, § 111.15 — service of, § 111.13 — witness fees/mileage, § 111.14 CONDUIT/INTERMEDIARY Definition, § 110.6(b)(2) Persons not considered as, § 110.6(b)(2)(i) Persons prohibited from acting as, § 110.6(b)(2)(ii); § 114.2(f)(1) Reporting by, § 110.6(c)(1) Separate segregated fund acting as, § 110.6; § 114.2(f)(2)(iii) and (4)(iii) See also: BUNDLING; EARMARKED CONTRIBUTION CONGRESS, MEMBERS OF Federal officeholders, definition, § 113.1(c); § 300.2(o) Fundraising — for dual federal and nonfederal campaigns, § 300.63 — for nonfederal elections, § 300.62 — for State, district or local party committee, § 102.5(a)(4); § 300.61; § 300.62; § 300.64 — for tax-exempt organization, § 300.52; § 300.65 — prohibitions, § 300.60 through § 300.62 Travel expenses, official, § 106.3(d); § 113.2(a)(1) Uses of funds — use for political or officially connected expense, § 113.1(g)(5) — use of by qualified members, § 113.2(f) See also: CAMPAIGN FUNDS, USE OF See also: OFFICE ACCOUNT; FEDERAL OFFICEHOLDER CONNECTED ORGANIZATION As collecting agent for separate segregated fund, § 102.6(b)(1)(ii) Communications by, See: COMMUNICATIONS/ADVERTISING Definition, § 100.6 Disclosure of, on Statement of Organization, § 102.2(b) Name of, included in separate segregated fund’s name, § 102.14(c) Political committee of, See: SEPARATE SEGREGATED FUND Relationship with another organization, § 100.5(g)(4); § 110.3(a)(3) CONSUMER PRICE INDEX Contribution limits adjusted by, § 110.17(b) Definition, § 110.17(d) Expenditure limits adjusted by, § 110.17(a) Publication of price index increases, § 110.17(e) Rounding of price index increases, § 110.17(c) CONTRIBUTIONS Acceptance of — anonymous, § 110.4(c)(3) — by federal committee/account, § 102.5(a)(2) — by separate segregated fund, § 114.5(j) — illegal-appearing, § 103.3(b) — prohibited, § 110.9(a) — treasurer required, § 102.7(b) Accounting for, § 102.9(a) and (e); § 104.7 Advances of goods or services paid from individual’s funds, § 100.52(a) § 116.5(b) Allocated in joint fundraising, § 102.17(c)(1), (2), (6) and (7) Anonymous, § 110.4(c)(3) Bundled, disclosure of, § 104.22 See also: BUNDLING

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00431 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) CONTRIBUTIONS—Continued By affiliated committees, § 110.3(a)(1) By checks and other written instruments, § 104.8(c) and (d) By children, § 110.19 By committees, general, § 110.1; § 110.2 By corporations/labor organizations/national banks — prohibitions, § 103.3(b); § 114.2(a) and (b) — to independent-expenditure only committees, permitted, Note §thnsp;114.2(b) — to non-contribution accounts of nonconnected committees, permitted, Note §thnsp;114.2(b) By delegate committees, § 110.14(g) By Federal contractors, § 103.3(b); § 115.2 By foreign nationals, § 103.3(b); § 110.20 By limited liability companies, § 110.1(g) By minors, § 110.1; § 110.19 By multicandidate committees — limitations, § 110.2 — notice to recipients, § 110.2(a)(2) — pre-candidacy expenditures deemed in-kind contributions, § 110.2(l) By partnerships, § 110.1(e) By party committees — general, § 110.3(b)(1) and (3) — national House and Senate committees, § 110.3(b)(2) — to Senate candidates, § 110.2(e) By payroll deduction plan, § 104.8(b); § 114.5(k)(1); § 114.6(e)(1) By person in name of another, § 110.4(b) By persons, § 110.1 By separate segregated fund, § 114.5(f) By spouse, § 100.51(b); § 100.71(b); § 110.1(i)(1) Cash, § 110.4(c) Charitable, § 113.1(g)(2); § 113.2(b) Combined with other payments, § 102.6(c)(3) Conduit for, See: EARMARKED CONTRIBUTION Contributor identification, § 100.12; § 104.7(b); § 104.8(a) and (b) Credit, extension of, See: CREDIT, EXTENSION OF Credited to bundler, § 104.22(a)(6)(ii) Debts, contributions to retire, See: DEBTS Definition, § 100.51 through § 100.56; § 114.1(a)(1) Deposit of, § 103.3(a) and (b) Designated/not designated for election, § 102.9(e); § 110.1(b) and (l); § 110.2(b) Earmarked, See: EARMARKED CONTRIBUTION Election, contribution limit for, § 110.1(a)(1) and (j); § 110.2(a)(1) and (d) Excessive, § 103.3(b)(3); § 110.1(k) Exemptions, § 100.71 through § 100.92; § 114.1(a)(2) See also: CONTRIBUTION/EXPENDITURE EXEMPTIONS Facilitating the making of — by corporation/labor organization, prohibited, § 114.2(f)(1) — examples of, § 114.2(f)(2) — separate segregated fund activity, exempt, § 114.2(f)(3) and (4) For delegate selection, § 110.14(c)(1) Forwarding — definition for purposes of disclosing bundled, § 104.22(a)(6)(i) — time frames for, § 102.8 Illegal or excessive, § 103.3(b); § 110.1(b)(3)(i); § 110.2(b)(3)(i); § 110.4(b); § 110.9(a); § 110.14(c)(2); § 110.20(b); § 114.2; § 115.2; § 300.30(b)(3) Illegal-appearing, § 103.3(b); § 110.1(b)(3)(i); § 110.2(b)(3)(i) In-kind, See: COORDINATION; IN-KIND CONTRIBUTION In name of another, § 110.4(b)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00432 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General CONTRIBUTIONS—Continued Indexed for inflation by consumer price index, § 110.1(b)(1)(i) and (ii); § 110.1(c)(1)(i) and (ii); § 110.2(e)(2); § 110.17 See also: CONSUMER PRICE INDEX Investment of, § 103.3(a) Joint, § 104.8(c) and (d); § 110.1(k) Lacking required information, § 104.7(b) See also: BEST EFFORTS Limitations — from campaign of one candidate to another, § 102.12(c)(2); § 102.13(c)(2) — on individuals and persons, § 110.1 — on multicandidate committees, § 110.2 — on non-multicandidate committees, § 110.1 — shared by affiliated committees, § 110.3(a)(1) and (b) — to joint fundraising, § 102.17(c)(5) — violations of, § 110.9(a) Loans, See: LOANS Made, § 110.1(b)(6) and (l)(4); § 110.2(b)(6) Personal use expense paid by third party, § 113.1(g)(6) Polling expenses, § 106.4 Post-primary, § 110.1(a)(2)(i) and (ii)(B) Pre-primary, § 102.9(e) Processing, costs of, § 106.2(c)(5) Prohibited, § 110.4; § 110.9(a); § 110.14(c)(2); § 114.2; § 115.2; § 300.10 Prohibited, accepted in joint fundraising, § 102.17(c)(2)(ii)(B) and (3)(i) Reattributed, § 100.51(b); § 100.71(b); § 100.110(b); § 100.130(b); § 102.9(e); § 103.3(b)(3); § 104.8(d)(3); § 110.1(b)(3)(i), (k)(3) and (l) Receipt of, § 102.8 Recordkeeping requirements, See: RECORDKEEPING Redesignated, § 102.9(e); § 103.3(b)(3); § 104.8(d)(2); § 110.1(b) and (l); § 110.2(b)(3)(i) and (5) Refunds — of designated contributions, § 110.1(b)(3)(i); § 110.2(b)(3)(i) — of general election contributions, § 102.9(e); § 110.1(b)(3)(i); § 110.2(b)(3)(i) — of illegal contributions, § 103.3(b)(1) — reporting of, § 104.8(d)(4) Reporting requirements, See: REPORTING Returned, § 103.3(a) and (b); § 110.1(b)(3)(i); § 110.2(b)(3)(i); § 110.4(c)(2) Segregated from personal funds, § 102.15 Solicitation of — by collecting agent, § 102.6(c)(2) — exempted expenditure, for Presidential campaign, § 100.152 — facilitating the making of contributions, § 114.2(f) — information on reports used for, § 104.15 — notices required on, § 102.16; § 104.7(b); § 110.11(a) See also: DISCLAIMER NOTICE; FUNDRAISING; CANDIDATE; CANDIDATE FOR PRESIDENT; PARTY COMMITTEE; SEPARATE SEGREGATED FUND Stocks, bonds, art objects, § 104.13(b) Testing-the-waters activity, for, § 100.72(a) and (b); § 100.131(a) and (b); § 101.3; § 106.2(a)(2); § 106.4(a) To authorized committee, § 102.12(c)(2); § 102.13(c)(2); § 110.1(a) and (h); § 110.2(a)(1) To candidate, See: CANDIDATE To committee — criterion for political committee status, § 100.5(a) and (c) — making independent expenditures, § 110.1(n); § 110.2(k) To committees supporting same candidate, § 110.1(h); § 110.2(h) To delegate, § 110.1(m)(1); § 110.2(j)(1); § 110.14(d) To delegate committee, § 110.1(m)(2); § 110.2(j)(2); § 110.14(g) To federal committee/account, § 102.5(a)(2)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00433 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) CONTRIBUTIONS—Continued To office account, § 113.4 To persons making independent expenditures, § 110.1(n); § 110.2(k) To political party committees, § 110.1(c); § 110.2(c) To retire debts, See: DEBTS To single candidate committee, § 110.1(h)(1); § 110.2(b) To unauthorized committees, § 110.1(d) and (h); § 110.2(d) Transfers, See: TRANSFER OF FUNDS Transmittal of, by collecting agent, § 102.6(c)(4), (5) and (6); § 110.3(c)(1) Violations, § 110.4; § 110.9(a) CONTRIBUTION/EXPENDITURE EXEMPTIONS Ballot access payments, § 100.90; § 100.150 Campaign materials — paid for by candidate, § 100.88(a) and (b); § 100.148; § 110.11(e) — paid for by delegate, § 110.14(f)(1) — paid for by delegate committee, § 110.14(i)(1) — paid for by party committee, § 100.87; § 100.147; § 110.11(e); § 300.33(c) See also: CAMPAIGN MATERIALS; COMMUNICATIONS/ADVERTISING; FEDERAL ELECTION ACTIVITY Candidate’s payments from personal funds, § 100.153 Church or community rooms, § 100.76; § 100.136 Communications by corporation, labor organization or membership organization — to all employees/general public, § 114.4; § 114.10 — to restricted class, § 100.134(a); § 114.1(a)(2)(i) and (ii) and (j); § 114.3; § 114.7(h) and (k)(2); § 114.8(h) and (i) See also: COMMUNICATIONS/ADVERTISING; ELECTIONEERING COMMUNICATIONS; INDEPENDENT EXPENDITURES Corporate/labor exemptions, § 100.81; § 100.134(a); § 100.141; § 114.1(a)(2); § 114.3; § 114.4; § 114.5 Debate expenses, § 100.92; § 100.154; § 114.4(f) Election recount expenses, § 100.91; § 100.151 Endorsements by corporation/labor organization, § 114.4(c)(6) Food, beverage, invitations, § 100.77; § 100.78; § 100.137; § 100.138; § 114.1(a)(2)(v) Internet activities, § 100.94; § 100.155 See also: INTERNET ACTIVITIES Legal/accounting services — for nonparty committees, § 100.86; § 100.146; § 114.1(a)(2)(vii) — for party committees, § 100.85; § 100.145; § 114.1(a)(2)(vi) Living expenses, § 100.79; § 100.139; § 100.153 Loans from banks, § 100.82; § 100.142(a) through (d) Loans from brokerage account or lines of credit, § 100.83(a); § 100.143(a) See also: LOANS News story/editorial/commentary, § 100.73; § 100.132 Real or personal property, § 100.75; § 100.135 Residential premises, § 100.75; § 100.135 Slate card/sample ballot, § 100.80; § 100.140; § 106.7(d)(3); § 110.11(e); § 300.33(c) Solicitation expenses, for publicly funded candidate, § 100.152 Testing-the-waters activity, § 100.72(a) and (b); § 100.131(a) and (b); § 101.3 Travel expenses, § 100.79; § 100.139; § 116.5(b) Unpaid salary, § 116.6(a) Vendor discount of food/beverage, § 100.78; § 100.138; § 114.1(a)(2)(v) Volunteer services, § 100.74; § 116.6(a) Voter drive expenses, exempt — corporate/labor, § 100.133; § 114.1(a)(2)(ii); § 114.3(c)(4); § 114.4(c)(2) and (3) and (d) — paid by party committee for Presidential nominee, § 100.89; § 100.149; § 106.1(c)(3); § 110.11(e); § 300.33(c) See also: VOTER DRIVES

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00434 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General CONVENTION, NATIONAL NOMINATING Convention committee, registration and reporting for, § 107.1 Corporate/labor organization activity, exemption, § 114.1(a)(2)(viii) Delegates to, See: DELEGATE Host committee, registration and reporting for, § 107.2 Municipal fund, registration and reporting for, § 107.2 Registration and reporting, § 107.1; § 107.2 COOPERATIVE Communications by — beyond restricted class, § 114.4; § 114.10 containing express advocacy to restricted class, § 114.1(j); § 114.3 — restricted class for, definition, § 114.1(j) — to general public, § 114.4(a) and (c); § 114.10 Federated, solicitation of affiliates’ members, § 114.7(k)(1) Member of, defined, § 100.134(f); § 114.1(e)(2) Membership organization, defined as, § 100.134(e); § 114.1(e)(1) Separate segregated fund — established by, § 114.1(a)(1)(iii); § 114.5(b); § 114.7(a) — solicitation of members, § 114.7(a) and (k)(1) See also: COMMUNICATIONS/ADVERTISING; CORPORATION/LABOR ORGANIZATION/NATIONAL BANK; SEPARATE SEGREGATED FUND COORDINATION Activities other than communications, § 109.20 Coordinated, definition, § 109.20 Coordinated communication — agent for, § 109.3; § 109.20(a) — agreement or formal collaboration not required for, § 109.21(e) — campaign materials of candidate, republished or disseminated, content and conduct standard, § 109.21(c)(2) and (d)(6); § 109.23; § 109.37(a)(2)(i) and (b)(1) — commercial transactions, safe harbor, § 109.21(i) — common vendor conduct standard, § 109.21(b)(2); § 109.21(d)(4) — conduct standards, § 109.21(d) — content standards, § 109.21(c) — coordinated party expenditure, results in, § 109.37(b)(2) — definition, § 109.21(a); § 109.37(a) — electioneering communication, content standard, § 109.21(c)(1) — endorsements by federal candidate of another candidate, safe harbor for, § 109.21(g) — express advocacy, content standard, § 109.21(c)(3) and (5); § 109.37(a)(2)(ii) — firewall, safe harbor for, § 109.21(h) — former employee/contractor involved with, conduct standard, § 109.21(b)(2); § 109.21(d)(5) — in-kind contribution, results in, § 109.20(a); § 109.21(b)(2) and(c)(2); § 109.23; § 109.37(a)(2)(i) and (b)(1); § 110.14(i)(2)(i); § 114.2(c) — material involvement by candidate/party, conduct standard, § 109.21(d)(2) — prohibitions, § 109.22; § 109.36; § 114.10(a) — public communication referring to candidate or political party before election, content standard, § 109.21(c)(4); § 109.37(a)(2)(iii) — public communication that is functional equivalent of express advocacy, content standard, § 109.21(c)(5) — reporting of, § 104.3(a) and (b)(1)(v) and (viii); § 104.13; § 109.21(b)(3) — requested or suggested by candidate/party, conduct standard, § 109.21(d)(1) — response to inquiries about legislative or policy issues, safe harbor for, § 109.21(f); § 109.37(a)(3) — safe harbors, § 109.21(g), (h) and (i) — solicitations by federal candidate for another candidate, safe harbor for, § 109.21(g) — substantial discussion with candidate/party, conduct standard, § 109.21(d)(3) — time frames for public communications referring to candidates/parties, § 109.21(c)(4); § 109.37(a)(2)(iii)

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VerDate Sep<11>2014 09:52 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00435 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) COORDINATION—Continued Expenditures other than communications, § 109.20 In-kind contribution results from, § 109.20(b); § 109.21(b); § 109.23; § 109.37(a) and (b)(1); § 110.14(i)(2)(i); § 114.2(c) COORDINATED COMMUNICATIONS See: COMMUNICATIONS/ADVERTISING; COORDINATION COORDINATED PARTY EXPENDITURES See: COORDINATION; PARTY COMMITTEE CORPORATION ESTABLISHED BY AUTHORITY OF CONGRESS Communications by — beyond restricted class, § 114.4; § 114.10 — containing express advocacy to restricted class, § 114.1(j); § 114.3 — restricted class for, definition, § 114.1(j) — to general public, § 114.4; § 114.10 Contribution/expenditure by, prohibited, § 114.2(a) Earmarked contribution received by, § 110.6(b)(2)(iii)(B) Separate segregated fund established by, § 114.2(a)(1); § 114.5 See also: COMMUNICATIONS/ADVERTISING; CORPORATION/LABOR ORGANIZATION/NATIONAL BANK; SEPARATE SEGREGATED FUND CORPORATION WITHOUT CAPITAL STOCK Communications by — beyond restricted class, § 114.4; § 114.10 — containing express advocacy to restricted class, § 114.1(j); § 114.3 — restricted class for, definition, § 114.1(j) — to general public, § 114.4; § 114.10 See also: COMMUNICATIONS/ADVERTISING; COORDINATION Member, defined, § 100.134(f); § 114.1(e)(2) Membership organization, defined as, § 100.134(e); § 114.1(e)(1) See also: MEMBERSHIP ORGANIZATION Separate segregated fund established by, § 114.1(a)(1)(iii); § 114.5(b); § 114.7(a) See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK; QUALIFIED NONPROFIT CORPORATION; SEPARATE SEGREGATED FUND CORPORATION/LABOR ORGANIZATION/NATIONAL BANK Acting as conduit, prohibited, § 110.6(b)(2)(ii); § 114.2(f) Candidate use of corporate/labor — facilities, § 114.2(f); § 114.9(d) — meeting room, § 114.13 — resources and staff, § 114.2(f) Candidate/party representative appearances, § 114.3(c)(2); § 114.4(b) Collecting agent, § 102.6(b) and (c) Communications by — to general public, § 100.133; § 100.141; § 114.4: § 114.10 — to restricted class, § 100.81; § 100.134; § 104.6; § 114.3 — use of computer/internet access for, § 114.9(a), (b) and (e) See also: COORDINATION; COMMUNICATIONS/ADVERTISING; INTERNET ACTIVITIES Computer use — by employees and stockholders, for volunteer activity, § 114.9(a) and (b) — by separate segregated fund, to solicit contributions, § 114.5(k)(2) — for communications, § 114.9(e) See also: COMMUNICATIONS/ADVERTISING; INTERNET ACTIVITIES Contributions and expenditures — definitions and exemptions, § 100.81; § 100.134(a); § 100.141; § 114.1(a); § 114.10 — made to nonconnected committees and non-contribution accounts that only make independent expenditures, permitted, Note § 114.10(a) — prohibited, § 114.2 Convention activity, national nominating, § 114.1(a)(2)(viii) Corporation — definition, § 100.134(l)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00436 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General CORPORATION/LABOR ORGANIZATION/NATIONAL BANK—Continued Corporation—Continued — restricted class of, § 100.134(c) and (d); § 114.1(c) and (h); § 114.5(g)(1) See also: CORPORATION ESTABLISHED BY AUTHORITY OF CONGRESS; CORPORATION WITHOUT CAPITAL STOCK; QUALIFIED NONPROFIT CORPORATION Credit, extension of, by incorporated vendor, § 116.3(b) See also: CREDIT, EXTENSION OF Debts, forgiveness of, by incorporated vendor, § 116.4(b) and (e); § 116.8 See also: DEBTS Earmarked contribution received by, § 110.6(b)(2)(iii)(B) Electioneering communications by, permitted, § 114.10 — disclaimer requirements, § 110.11; § 114.10(c) — reporting required, § 104.5(j); § 114.10(b)(2) — segregated bank account may be established for, § 114.10(d) See also: ELECTIONEERING COMMUNICATIONS Employees/members — acting as agents of corporation/union in fundraising, § 102.6; § 110.6(b)(2)(ii); § 114.2(f); § 114.3(c)(2)(iii) — advance payment for fundraising services, § 114.2(f)(2)(i)(A) — coercion of, prohibited, § 114.2(f)(2)(iv); § 114.9(a)(2)(ii)(C) and (b)(2)(ii)(C) — consenting to illegal contribution/expenditure, prohibited, § 114.2(e) — leave for political purposes, § 100.54; § 114.12(c) — participation (trustee) plan, § 114.2(f)(4)(i); § 114.11 — use of computer and Internet access by, § 114.9(a)(2)(ii) — use of corporate/labor facilities for personal volunteer activity, § 114.2(f); § 114.9(a) and (b) — use of corporate/labor resources, § 114.2(f) Executive/administrative personnel, definition, § 100.134(d); § 114.1(c) Facilities and resources of, used for political purposes, § 114.2(f)(2); § 114.9; § 114.13 Food/beverage sold to candidate/party committee, § 114.1(a)(2)(v) Fundraising by, other than for separate segregated fund, § 114.2(f); § 114.3(c)(2); § 114.4(b)(1)(iii), (iv) and (2)(i) Independent expenditure by, permitted, § 114.10 — disclaimer requirements, § 110.11; § 114.10(c) — reporting required, § 109.10(b)-(e); § 114.10(b)(1) — segregated bank account may be established for, § 114.10(d) See also:COORDINATION; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES Incorporation by political committee, § 114.12(a) Labor organization — definition, § 100.134(b); § 114.1(d) — local, members of, § 100.134(h); § 114.1(e)(4) — member of, defined, § 100.134(f); § 114.1(e)(2) — membership organization, defined as, § 100.134(e); § 114.1(e)(1) — use of computer and Internet access by employees and members, § 114.9(b)(2)(ii) Legal and accounting services, § 114.1(a)(2)(vi) and (vii) Levin fund, donations to, See: ‘‘LEVIN’’ FUNDS Loans by bank, See: LOANS Office account donations, § 113.4(b) Ownership of, factor of affiliation, § 100.5(g)(4)(ii)(A); § 110.3(a)(3)(ii)(A) Partnership, member of, § 110.1(e)(2) Party office building fund, contributions and donations to, § 114.1(a)(2)(ix) Political committee sponsored by, See: SEPARATE SEGREGATED FUND Professional organization, corporate status of, § 114.7(d) Restricted class, See: RESTRICTED CLASS Separate segregated fund solicitations — accidental solicitation of persons outside restricted class, § 114.5(h) — by collecting agent, § 102.6(b) and (c)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00437 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) CORPORATION/LABOR ORGANIZATION/NATIONAL BANK—Continued Separate segregated fund solicitations—Continued — corporate methods available to labor organizations, § 114.5(k) and (l); § 114.6(e)(3) — member of trade association, § 114.8(c), (d), (e) and (f) — notice not required, § 110.11(f)(2) — payroll deduction/check-off plan, § 104.8(b)and (e)(4); § 114.5(k)(l); § 114.6(e)(l) — restrictions on who may be solicited, § 114.5(g); § 114.7(a) — twice yearly solicitations, § 114.6 — voluntary contribution only, § 114.1(i); § 114.5(a) See also: SEPARATE SEGREGATED FUND Stockholder, definition, § 100.134(c); § 114.1(h) Treasury funds, use of, § 114.5(b) See also: MEMBERSHIP ORGANIZATION; TRADE ASSOCIATION; VOTER DRIVES CREDIT CARDS Candidate advance from, § 100.83 Recordkeeping requirements, § 102.9(b)(2)(ii) Use of individual’s, § 116.5(b) CREDIT, EXTENSION OF By — any person, § 100.55 — brokerage loan or line of credit to candidate, § 100.83 — commercial vendor, § 116.3 — federally regulated industry, § 116.3(d) — incorporated vendor, § 116.3(b) — lending institution, § 100.82(e); § 100.142(e) — unincorporated vendor, § 116.3(a) Defined, § 116.1(e) In ordinary course of business, § 100.55; § 116.3(c) See also: COMMERCIAL VENDOR; CREDITOR; DEBTS; LOANS CREDITOR Commercial vendor, See: COMMERCIAL VENDOR Defined, § 116.1(f) Extension of credit, See: CREDIT, EXTENSION OF Lending institution, See: BANK; LOANS Out-of-business or with no known address, § 116.9 Remedies taken to collect on debts, § 100.55; § 116.4(d)(3) Settlement/forgiveness of debts, § 100.55; § 116.4; § 116.8 See also: DEBTS CURRENCY See: CASH

D DEBATES Candidate selection, criteria for, § 110.13(c); § 114.4(f) Funds used for — donated by corporation/labor organization, § 114.4(f) — exemption, § 100.29(c)(4); § 100.92; § 100.154 Staging organizations, § 110.13(a); § 114.4(f)(1) and (2) Structure of, § 110.13(b) DEBTS Advances of goods/services from individuals, treatment as, § 116.5(c) Assignment of, to another authorized committee, § 116.2(c)(3) Bankruptcy, debts discharged in, § 116.7(g) Collection of, by vendor, § 100.55; § 116.4(d)(3) Contributions to retire — calculation of net debts outstanding by campaign, § 110.1(b)(3)(ii) and (iii); § 110.2(b)(3)(ii)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00438 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General DEBTS—Continued Contributions to retire—Continued — designated/redesignated for debt retirement, § 110.1(b)(3)(i), (b)(5)(i)(B) and (D), (b)(5)(iii); § 110.2(b)(3)(i), (b)(5)(i)(B) and (D), (b)(5)(iii) — pre-1975 debts, § 110.2(g) — primary debts, § 110.1(b)(3)(iv) — raised through joint fundraising, § 102.17(c)(2)(ii)(A) Creditors, defunct, debts owed to, § 116.9 Debt settlement plans, § 104.11(a); § 116.7; § 116.9(b); § 116.10(b) Disputed, § 116.10 — defined, § 116.1(d) — not subject to settlement, § 116.7(c)(2) — owed by terminating committee, § 116.10(b) Efforts to satisfy, ‘‘reasonable’’ standard, § 116.4(c)(2) and(d)(2) Enforcement actions, arising from — bankruptcy claims, § 111.54 — collection of, § 111.52 — interest, penalties and administrative costs, § 111.55 — litigation by Commission, § 111.53 — purpose and scope, § 111.50 Extensions of credit, See: CREDIT, EXTENSION OF Loans, See: LOANS Payment of, criterion for committee termination, § 102.3; § 116.7(a)(1) Reporting, § 104.3(d) — continuous reporting of debts, including those undergoing settlement, § 104.11; § 116.4(f); § 116.5(e); § 116.6(c); § 116.7(d) — debts owed to individuals/employees for goods/services or salaries, § 116.5(e); § 116.6(c) — disputed debts, § 116.10(a) — rent, salary, other recurring expenses not reported as debts, § 104.11(b) — separate reporting of debts assigned from another committee, § 116.2(c)(3)(ii) — when debts not payable because of defunct creditor, § 116.9(d) Salary payments owed to employees, treatment as, § 116.6(a) Settlement/forgiveness, § 116.4; § 116.8 — commercially reasonable, § 116.4(d) — conditions for, to avoid contribution, § 116.4(a) and (b) — criterion for committee termination, § 116.7(a)(2) and (3) — debts owed by authorized committee, § 116.2(c) — debts owed by ongoing committee, § 116.2(b); § 116.8 — debts owed by publicly funded committee, § 116.7(c)(1) — debts owed by terminating committee, § 116.2(a); § 116.7 — debts owed to commercial vendor, § 116.4; § 116.8 — debts owed to committee employee/other individual, § 116.5(d); § 116.6(b); § 116.7(b)(2) and (3) — debt settlement plans required, See: Debt settlement plans, above — debts subject/not subject to, § 116.7(b) and (c) — not required of creditor, § 116.4(e); § 116.5(d); § 116.6(b) — results in contribution, § 100.55 See also: COMMERCIAL VENDOR; CREDITOR; TERMINATION OF COMMITTEE DEFINITIONS 501(c) organization making expenditures or disbursements in connection with a federal election, § 300.2(a) Act, § 100.18 Administrative personnel, § 100.134(d); § 114.1(c) Affiliated committee, § 100.5(g); § 110.3(a)(3)(ii) Agent, § 109.3; § 300.2(b) Anything of value, § 100.52(d); § 100.111(e) Authorized committee, § 100.5(d) and (f)(1)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00439 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) DEFINITIONS—Continued Best efforts, to file reports in a timely manner, § 111.35(b)(3) Best efforts, to obtain, maintain and submit contributor information, § 104.7 Bundled contribution, § 104.22(a)(6) Campaign traveler, § 100.93(a)(3)(i) Candidate, § 100.3(a) Cash on hand, § 110.1(b)(3)(ii); § 110.2(b)(3)(ii) Caucus, § 100.2(e) Clearly identified candidate, § 100.17; § 106.1(d) Collecting agent, § 102.6(b)(1) Commercial travel, § 100.93(a)(3)(iv) Commercial vendor, § 116.1(c) Commission, § 100.9 Comparable aircraft, § 100.93(a)(3)(vi) Conduit, § 110.6(b)(2) Connected organization, § 100.6 Consumer price index, § 110.9(c)(2) Contribution, § 100.51 through § 100.56; § 114.1(a)(1) Contribution exemptions, § 100.71 through § 100.92; § 114.1(a)(2) Contribution made, date of, § 110.1(b)(6); § 110.1(b)(4); § 110.2(b)(6) Convention, § 100.2(e) Coordinated, § 109.20 Coordinated communication, § 109.21 Corporation, § 100.134(l) Covered period, § 104.22(a)(5) Creditor, § 116.1(f) Current federal campaign committee, § 110.3(c)(4)(ii) Delegate, § 110.14(b)(1) Delegate committee, § 100.5(e)(5); § 110.14(b)(2) Designated contribution, § 110.1(b)(3) and (4); § 110.1(j); § 110.2(b)(3) and (4) Direct, when raising/spending federal or nonfederal funds, § 300.2(n) Direct costs of producing or airing electioneering communications, § 104.20(a)(2) Direct mailing, § 100.78; § 100.87(a); § 100.147(a); § 100.149(a); § 110.11(a); § 110.14(f)(4) Directly or indirectly establish, maintain, finance or control, § 300.2(c) Disbursement, § 300.2(d) Disclaimer notice, § 110.11(a) Disclosure date for electioneering communications, § 104.20(a)(1) Disputed debt, § 116.1(d) District or local committee, § 100.14(b) Donation, § 300.2(e) Donation to inaugural committee, § 104.21(a) Dual candidacy, § 110.3(c)(5) Earmarked contribution, § 110.6(b) Election, § 100.2(a); § 100.134(k); § 104.6(a)(1) and (2) Election cycle, § 100.3(b) Electioneering communication, § 100.29 Employee participation plan, § 114.11(a) Employer, § 100.21 Equipment and services used in internet activity, § 100.94(c); § 100.155(c) Established or controls, § 104.22(a)(4) Executive or administrative personnel, § 100.134(d); § 114.1(c) Expenditure, § 100.110(a); § 114.1(a)(1) Expenditure exemptions, § 100.130(a); § 114.1(a)(2) Expressly advocating, § 100.22 Extension of credit, § 116.1(e) Facilitating the making of contributions, § 114.2(f) Family of candidate, § 113.1(g)(7) Federal account, § 300.2(f)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00440 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General DEFINITIONS—Continued Federal election activity (FEA) — employees who spend more than 25% of time during month in connection with federal election (Type IV FEA), § 100.24(b)(4) — ‘‘in connection with an election in which a candidate for federal office appears on the ballot,’’ § 100.24(a)(1) — get-out-the-vote activity (Type II FEA), § 100.24(a)(3) and (b)(2)(iii) — public communications that refers to and PASOs federal candidate (Type III FEA), § 100.24(b)(3) — voter identification activity (Type II FEA), § 100.24(a)(4) and (b)(2)(i) — voter registration activity (Type I FEA), § 100.24(a)(2) and (b)(1) Federal contractor, § 115.1(a) Federal Election Commission, § 100.9 Federal funds, § 300.2(g) Federal office, § 100.4 Federal officeholder, § 113.1(c); § 300.2(o) File, filed or filing, § 100.19 Foreign national, § 110.20(a)(3) Forwarded contribution, § 104.22(a)(6)(i) Functional equivalent of express advocacy, § 109.21(c)(5) Fundraising representative (joint fundraising), § 102.17(a)(3) and (b) Funds donated, § 113.1(a) General election, § 100.2(b) General public political advertising, § 100.26 Generic campaign activity, § 100.25 Get-out-the-vote activity (Type II FEA), § 100.24(a)(3) and (b)(2)(iii) Identification, § 100.12; § 104.20(a)(4) ‘‘In connection with an election in which a candidate for Federal office appears on the ballot’’ § 100.24(a) Inaugural committee, § 104.21(a) Independent expenditure, § 100.16 ‘‘Individual holding federal office,’’ § 300.2(o) In-kind contribution, § 100.52(d); § 109.20(b); § 109.21(b); § 109.37(b)(1) Intermediary, § 110.6(b)(2) Internet activities by individuals or groups, § 100.94(b); § 100.155(b) Labor organization, § 100.134(b); § 114.1(d) Leadership PAC, § 100.5(e)(6) ‘‘Levin’’ account, § 300.2(h) ‘‘Levin’’ funds, § 300.2(i) Limited liability company, § 110.1(g)(1) Lobbyist/registrant, § 104.22(a)(2) Lobbyist/registrant PAC, § 100.5(e)(7); § 104.22(a)(3) Mass mailing, § 100.27 Members, § 100.134(f); § 114.1(e)(2) Membership organization, § 100.134(e); § 114.1(e)(1) Multicandidate committee, § 100.5(e)(3) Name, § 102.14(a) National party committee, § 100.13 Net debts outstanding, § 110.1(b)(3)(ii); § 110.2(b)(3)(ii) Non-commercial travel, § 100.93(a)(3)(v) Nonconnected committee, § 106.6(a) Nonfederal account, § 300.2(j) Nonfederal funds, § 300.2(k) Notice of disclaimer, § 110.11(a) Occupation, § 100.20 Office account, § 113.1(b) Ongoing committee, § 116.1(b) Overhead expenditures, § 106.2(b)(2)(iii)(D) Overnight delivery service, § 100.19(b)(2)(i) Party committee, § 100.5(e)(4)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00441 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) DEFINITIONS—Continued Party coordinated communication, § 109.37 Person, § 100.10 Personal funds, § 100.33 Personal use of campaign funds, § 113.1(g) Persons sharing direction or control, § 104.20(a)(3) Political committee, § 100.5 Political party, § 100.15 Postmark, § 100.19(b)(2)(ii) Previous federal campaign committee, § 110.3(c)(4)(i) Price index, § 110.9(c)(2) Primary election, § 100.2(c) Principal campaign committee, § 100.5(d) and (e)(1) Public communication, § 100.26 Publicly distributed, § 100.29(b)(3); § 104.20(a)(5) Qualified Member, § 113.1(f) Receivable by 50,000 people or more, § 100.29(b)(6) Received and credited contribution, § 104.22(a)(6)(ii) Redesignated contribution, § 110.1(b)(5)(ii) Reporting committee, § 104.22(a)(1) Restricted class — for communications, § 114.1(j); § 114.7(h); § 114.8(h) — for solicitations, § 114.5(g); § 114.7(a); § 114.8(c) Runoff election, § 100.2(d) Service provider, § 100.93(a)(3)(ii) Single candidate committee, § 100.5(e)(2) Soliciting contributions — for sale/use prohibition, § 104.15(b) — when raising/spending federal or nonfederal funds; § 300.2(m) Special election, § 100.2(f); § 100.29(b)(4) State, § 100.11 State committee, § 100.14(a) State officeholder, § 113.1(d) Stockholder, § 100.134(c); § 114.1(h) Subordinate committee of a State, district or local party committee, § 100.14(c) Subsistence, § 116.5(b)(2) Support of candidate, § 102.12(c)(2); § 102.13(c)(2) Targeted communication, § 100.29(b)(5) Telephone bank, § 100.28 Telephone services base charges, § 106.2(b)(2)(iii)(D) Terminating committee, § 116.1(a) To direct, § 300.2(n) To solicit, § 300.2(m) Trade association, § 114.8(a) Twice yearly solicitations, § 114.6 Unauthorized committee, § 100.5(f)(2) Unreimbursed value, § 100.93(a)(3)(iii) Voluntary contributions, § 114.1(i) Voting age population, § 110.18 Voter identification activity (Type II FEA), § 100.24(a)(4) and (b)(2)(i) Voter registration activity (Type I FEA), § 100.24(a)(2) and (b)(1) Voter registration and get-out-the-vote drives, conducted by corporation or labor organization, § 114.3(c)(4)(i); §thnsp;114.4(d)(1) DELEGATE Committee — advocacy of delegate selection, § 110.14(h) — affiliation between, § 110.14(k) — affiliation with authorized committee of Presidential candidate, § 110.14(j) — contributions, § 110.14(g) — definition, § 100.5(e)(5); § 110.14(b)(2)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00442 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General DELEGATE—Continued Committee—Continued — expenditures by, § 110.14(h) and (i) — name of, restrictions, § 102.14(b)(1) Communications by, § 110.14(e) and (f) Contributions to, § 110.14(d) Convention/caucus, definition, § 100.2(e) Coordination by, § 110.14(f)(2) and (3); § 110.14(i)(2) and (3) Definitions, § 110.14(b)(1) Election of, to national convention, § 100.2(c)(3) Expenditures by — dual purpose, § 110.14(f)(2) — referring to candidate for public office, § 110.14(f) — to advocate selection, § 110.14(e) Funds received and expended, § 110.14(c) Party committee expenditures, § 110.14(c)(1)(ii) Payments to qualify as, § 110.14(c)(1)(i) Scope, § 110.14(a) DEPOSITORY See: CAMPAIGN DEPOSITORY DIRECT MAIL Definitions, § 100.78; § 100.87(a); § 100.147(a); § 100.149(a); § 110.11(a); § 110.14(f)(4) Disclaimer notice required, § 110.11(a) Last date of program defined, § 106.6(d)(2); § 106.7(d)(4)(ii) Use of, by delegates/delegate committees to disseminate Presidential campaign materials, § 110.14(f)(4) Use of, for exempted party activities — permissible, § 100.80; § 100.140 — prohibited, § 100.147(a); § 100.149(a) DISBURSEMENTS Accounting for, § 102.9(b) Definition, § 300.2(d) From campaign depository, § 102.10; § 103.3(a) From petty cash fund, § 102.11; § 103.3(a) Recordkeeping, See: RECORDKEEPING Reporting, See: REPORTING See also: CAMPAIGN FUNDS, USE OF; EXPENDITURES DISCLAIMER NOTICE Content of, § 110.11(b) and (c) — general requirements for communications, § 110.11(b) and (c)(1) — printed communications, requirements for, § 110.11(b) and (c)(2) — radio and television ads authorized by campaign, requirements for, § 110.11(b) and (c)(3) — radio and television ads not authorized by campaign, requirements for, § 110.11(b) and (c)(4) Not required for — administrative items, § 110.11(f)(1)(iii) — communications by corporations/labor organizations, § 110.11(f)(2) — impractical and small items, § 110.11(f)(1)(i) and (ii) — separate segregated fund, solicitations for, § 110.11(f)(2) Required for — advertisement, § 110.11(a) — coordinated party expenditure, § 110.11(d)(1) — electioneering communications, § 110.11(a)(4); § 114.10(c) — electronic mail, more than 500 similar, sent by political committee, § 110.11(a)(1) — exempt activities, § 110.11(e) — independent expenditure, § 109.11; § 110.11(a)(1) and (2) and (d)(3); § 114.10(c) — mass mailing, § 110.11(a)(1)-(3) — packaged materials, § 110.11(c)(2)(v)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00443 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) DISCLAIMER NOTICE—Continued Required for—Continued — public communication by anyone that contains express advocacy, § 110.11(a)(2) — public communication by anyone that contains solicitation, § 110.11(a)(3) — public communication by political committee, § 110.11(a)(1) — solicitation in public communication, § 102.16; § 102.17(c)(2); § 110.11(a)(3) — television and radio communications, additional requirements for, § 110.11(c)(1), (3) and (4) — website of political committee, § 110.11(a)(1) See also: CAMPAIGN MATERIALS; COMMUNICATIONS/ADVERTISING; COORDINATED COMMUNICATIONS; DIRECT MAIL; ELECTIONEERING COMMUNICATIONS; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES; PUBLIC COMMUNICATION; PUBLIC POLITICAL ADVERTISING DISCLOSURE Access to FEC information — Freedom of Information Act, Part 4 — Privacy Act, Part 1 See also: PUBLIC INSPECTION OF DOCUMENTS Best efforts to obtain and submit information, See: BEST EFFORTS By corporations and labor organizations — for electioneering communications, § 104.5(j); § 104.20; § 114.10(b)(2) — for express advocacy communications to restricted class, § 100.134(a); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i) — for independent expenditures, § 104.4(a); § 109.10; § 114.10(b)(1) See also: COMMUNICATIONS; ELECTIONEERING COMMUNICATIONS; INDEPENDENT EXPENDITURES By independent spenders, See: INDEPENDENT EXPENDITURES/Reporting Change in filing frequency, § 104.5(c) Of fundraising activity — bundled contributions, See: BUNDLING — joint, § 102.6(c)(7); § 102.17(c)(3)(iii) and (8) — using collecting agents, § 102.6(c)(7) — using payroll deduction plan, See: PAYROLL DEDUCTION PLAN Preemption of state laws governing, by Federal Election Campaign Act, § 108.7(b)(2) Reporting deadlines, See: FILING Reporting forms, See: FORMS Reporting liability, See: TREASURER OF POLITICAL COMMITTEE Reporting requirements/procedures, See: PAYROLL DEDUCTION PLAN; REPORTING DISTRICT OF COLUMBIA Filing exemption, § 108.8 DOCUMENT FILING See: FILING DRAFT COMMITTEE Name of, restrictions, § 102.14(b)(2) DUAL CANDIDACY Contributions to, § 110.1(f); § 110.2(f) Separate campaign organizations required, § 110.8(d) Transfers between — federal/nonfederal campaign committees, prohibited, § 110.3(d) — federal principal campaign committees, § 110.3(c)(5); § 110.8(d)(2)

E EARMARKED CONTRIBUTION Collection of, § 110.6; § 114.2(f) — by separate segregated fund, § 110.6; § 114.2(f)(2)(iii) and (4)(iii)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00444 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General EARMARKED CONTRIBUTION—Continued Collection of, § 110.6; § 114.2(f)—Continued — corporate/labor resources and facilities used for, § 114.2(f); § 114.3(c)(1); § 114.9 See also: BUNDLING Conduit or intermediary, § 110.6(b)(2); § 114.2(f)(2)(iii), (3)(ii) and (4)(iii) See also: CONDUIT/INTERMEDIARY Contribution limits affected, § 110.6(a); § 114.2(f)(2)(iii) and (4)(iii) Definition, § 110.6(b)(1) Direction or control exercised, § 110.6(d) — reporting of, by conduit and recipient, § 110.6(d)(2) Facilitating the making of contributions, § 114.2(f) — by corporation/labor organization, prohibited, § 114.2(f)(1) — examples of, § 114.2(f)(2); § 114.3(c)(2)(iii) — separate segregated fund activity, exempt, § 114.2(f)(3) and (4) In joint fundraising, § 102.17(c)(2)(i)(C) Procedures for forwarding, § 102.8(c); § 110.6(b)(2)(iii) Reporting by — conduit, § 110.6(c)(1) — recipient, § 110.6(c)(2) Return required, § 110.6(b)(2)(iii)(B) ELECTION Ballot access payments, § 100.90; § 100.150 Contributions, per election — accounting for primary/general election contributions, § 102.9(e) — designated/undesignated, § 110.1(b); § 110.2(b) — for unopposed candidate, § 110.1(j)(2) and (3); § 110.2(k) — limits, § 110.1(b) and (j); § 110.2(b), (d), (e) and (i) — presidential primary, § 110.1(j)(1); § 110.2(i) — primary, § 110.1(j)(3) and (4); § 110.2(i) Definitions, § 100.2(a); § 100.134(k); § 104.6(a)(1) and (2); § 110.1(b)(2) — caucus or convention, § 100.2(e) — cycle, § 100.3(b) — general, § 100.2(b) — in connection with, in which federal candidate appears on ballot, § 100.24(a) — primary, § 100.2(c) — runoff, § 100.2(d) — special, § 100.2(f) Federal — candidate on ballot, in connection with, § 100.24(a) — referred to in party solicitation, § 102.5(a)(3) Recount expenses, § 100.91; § 100.151 Reporting, election-year, § 104.5(a)(1), (b)(1) and (c)(1) ELECTION INFLUENCING Communications advocating election/defeat of candidate, See: CLEARLY IDENTIFIED CANDIDATE; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES Contributions made for, See: CONTRIBUTIONS Corporate/labor activity, part 114 Exempt activities for, See: CONTRIBUTION/EXPENDITURE EXEMPTIONS; PARTY COMMITTEE Expenditures made for, See: EXPENDITURES; INDEPENDENT EXPENDITURES ELECTIONEERING COMMUNICATIONS By individuals, reporting, § 104.5(j); § 104.20 By corporations, § 104.5(j); § 104.20; § 114.10 By foreign national, prohibited, § 110.20(e) By labor organizations, § 104.5(j); § 104.20; § 114.10 Coordination with campaign or party — content standard for coordinated communication, § 109.21(c)(1) — contribution in-kind results if coordinated, § 109.21(b)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00445 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) ELECTIONEERING COMMUNICATIONS—Continued Coordination with campaign or party—Continued See also: COORDINATION; COMMUNICATIONS/ADVERTISING Defined, § 100.29(a) and (c) — broadcast communication, § 100.29(b)(1) — clearly identified candidate, § 100.29(b)(2) — direct costs of producing or airing electioneering communications, § 104.20(a)(2) — disclosure date, § 104.20(a)(1) — identification, § 104.20(a)(4) — persons sharing direction or control, § 104.20(a)(3) — publicly distributed, § 100.29(b)(3); § 104.20(a)(5) — targeted, § 100.29(b)(5) and (6) Disclaimer notice — required, § 110.11(a); § 114.10 — specifications for, § 110.11(b)(3) and(c)(1) and (4) See also: DISCLAIMER NOTICE Exemptions from definition — candidate debates or forums, § 100.29(c)(4) — communications disseminated through means other than broadcast, cable or satellite television or radio station, § 100.29(c)(1) — communications that are expenditures or independent expenditures, § 100.29(c)(3) — news story exemption, § 100.29(c)(2) — paid for by State or local candidate in connection with nonfederal election, § 100.29(c)(5) In-kind contribution, results in if coordinated, § 109.21(b) and (c)(1) See also: COMMUNICATIONS/ADVERTISING; COORDINATION Receivable by 50,000 people or more, § 100.29(b)(6) Recordkeeping, § 104.20(d) Reporting — by corporations and labor organizations, § 104.5(j); § 104.20; § 114.10(b)(2) — by individuals, § 104.5(j); § 104.20 — disclosure date, § 104.20(c)(6) — disclosure of amount of each disbursement, § 104.20(c)(4) — disclosure of candidates and elections, § 104.20(c)(5) — disclosure of donors to a corporation or labor organization § 104.20(c)(9) — disclosure of donors when exclusively using a segregated bank account, § 104.20(c)(7) — disclosure of donors when not exclusively using a segregated bank account, § 104.20(c)(8) and (9) — identification of custodian of the books and accounts, § 104.20(c)(3) — identification of person making disbursements, § 104.20(c)(1) — identification of persons sharing or exercising direction or control, § 104.20(c)(2) — who must report and when, § 104.5(j); § 104.20(b); § 114.10(b)(2) Use of corporate/labor funds, § 114.10 ELECTRONIC FILING See: FILING ENFORCEMENT See: COMPLIANCE EXECUTIVE PERSONNEL Definition, § 100.134(d); § 114.1(c) See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK EXEMPT ACTIVITIES See: PARTY COMMITTEE EXPENDITURES Accounting for, § 102.9(b) Administrative expenses, See: ADMINISTRATIVE EXPENSES; ALLOCATION OF EXPENDITURES

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00446 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General EXPENDITURES—Continued Advances of goods or services paid from individual’s funds, § 100.111(a); § 116.5(b) Allocation of, See: ALLOCATION OF EXPENDITURES By authorized committee, See: CAMPAIGN FUNDS, USE OF By candidate, See: CAMPAIGN FUNDS, USE OF; CANDIDATE By cash, § 102.11; § 103.3(a) By check, § 102.10; § 103.3(a) By corporation/labor organization/national bank — defined, § 114.1 — when prohibited, § 114.2(a) By delegate, § 110.14(e) and (f) By delegate committee, § 110.14(h) and (i) By Federal contractor, § 115.2 By foreign national, prohibited, § 110.20(f) By party committee, § 100.24; § 102.13(b); § 104.17; § 106.7; § 106.8; § 109.23(b)(5); § 109.30 through § 109.37; § 300.10; § 300.30(b)(3)(iii); § 300.32 By spouse, § 100.110(b); § 100.130(b) By State, district or local party committee, for federal election activity, § 300.32(b) and (c) By Vice Presidential candidate, § 110.8(f) and (g) Communications, made for, See: COMMUNICATIONS/ADVERTISING; DIRECT MAIL; INDEPENDENT EXPENDITURES; PUBLIC POLITICAL ADVERTISING Contract or agreement to make, § 100.112; § 104.11(b) Coordinated party, § 102.13(b); § 109.23(b)(5); § 109.30 through § 109.34 Delegate selection, § 110.14(c)(1) Definition, § 100.110(a); § 114.1(a)(1) Exemptions, § 100.130(a); § 114.1(a)(2) See also: CONTRIBUTION/EXPENDITURE EXEMPTIONS Electioneering communications not considered as, § 100.29(c)(3) See also: ELECTIONEERING COMMUNICATIONS Expressly advocating, definition, § 100.22 See also: EXPRESS ADVOCACY; COMMUNICATIONS/ADVERTISING; INDEPENDENT EXPENDITURES Illegal, § 110.9(a); § 110.14(c)(2); § 110.20(f); § 114.2(a) and (b); § 115.2 Independent, See: INDEPENDENT EXPENDITURES In joint fundraising, § 102.17(b)(3) In-kind contribution, considered expenditure, § 104.13(a)(2); § 106.1(b); § 109.20; § 109.21(b); § 110.14(f)(2)(i) See also: COORDINATION; COMMUNICATIONS/ADVERTISING; IN-KIND CONTRIBUTION Limitations — based on voting age population, § 109.32(a)(2) and (b)(2)(i)(A); § 110.8(a)(3); § 110.18 — increases, based on price index, § 110.9(c) — party committees’ coordinated expenditures, § 109.32 — Presidential candidates receiving public funding, § 110.8 Loans, See: LOANS ‘‘Made on behalf of,’’ defined, § 110.8(g) Overhead, of state offices, § 106.2(b)(2)(iv) Payee, identification of, § 104.9 Personal funds, § 100.153; § 106.3(b)(1); § 110.8(f)(2); § 110.10 Political committee status, criterion for, § 100.5(a), (c) and (f) Polling, § 106.2(b)(2)(vi) and (c)(1)(iii); § 106.4 Prohibited, § 110.9(a); § 110.14(c)(2); § 114.2(a) and (b); § 115.2 Promise to make, § 100.112 Purpose of, definition, § 104.3(b)(3)(i)(A) and (B); § 104.9(a) Recordkeeping, See: RECORDKEEPING Reporting, See: REPORTING Specific expenditures by campaign, See: CAMPAIGN FUNDS, USE OF

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F FEDERAL COMMUNICATIONS COMMISSION Database for electioneering communications, § 100.29(b)(6)(i) FEDERAL CONTRACTOR Acting as conduit, prohibited, § 110.6(b)(2)(ii) Contributions/expenditures by, prohibited, § 115.2 Definition, § 115.1(a) Earmarked contribution received by, § 110.6(b)(2)(iii)(B)

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G GENERAL ELECTION Contributions for, separated from primary contributions, § 102.9(e) Definition, § 100.2(b) See also: ELECTION; PRIMARY ELECTION GET-OUT-THE-VOTE DRIVE See: VOTER DRIVES GIFT Campaign funds used to purchase, § 113.1(g)(4) Made to influence election, § 100.52(a) § 100.111(a) GOVERNMENT CONTRACTOR See: FEDERAL CONTRACTOR GOVERNMENT CONVEYANCE See: TRAVEL

H HANDICAPPED PERSONS See: Index for ADMINISTRATIVE REGULATIONS/Handicapped Persons HOST COMMITTEE (CONVENTION) Registration and reporting, § 107.2 HOUSE CAMPAIGN COMMITTEE Contributions by, § 110.2(b)(1); § 110.3(b)(1) and (2)(i) Contributions to, § 110.1(c)(2); § 110.2(c)(2); § 110.3(b)(1) and (2)(i) Prohibition on fundraising for and donating to certain tax-exempt organizations, § 300.11 Prohibition on raising and spending nonfederal funds, § 300.10; § 300.50 See also: NATIONAL PARTY COMMITTEE; PARTY COMMITTEE

I IDENTIFICATION Definition, § 100.12 Requesting, § 104.7(b) See also: BEST EFFORTS; RECORDKEEPING; REPORTING INAUGURAL COMMITTEE Definition, § 104.21(a)(1) Donations to — by foreign nationals, prohibited, § 110.20(j) — definition, § 104.21(a)(2) Initial filing by, § 104.21(b) Recordkeeping by, § 104.21(d) Reporting requirements for, § 104.21(c)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00453 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) INCORPORATION Of political committee, § 114.12(a) INCUMBENT Federal officeholder defined, § 113.1(c) Government transportation used by, for Presidential campaign, See: Index for GENERAL ELECTION FINANCING/Travel; Index for PRIMARY ELECTION FINANCING/Qualified Campaign Expenses Office account of, See: OFFICE ACCOUNT Personal use of campaign funds by, § 113.1(g); § 113.2(f) See also: CAMPAIGN FUNDS, USE OF; CANDIDATE Qualified Member, definition, § 113.1(f) See also:CANDIDATE; CONGRESS, MEMBER OF INDEPENDENT EXPENDITURES Agent of candidate or party, definition, § 109.3 Attribution of, among candidates, § 106.1(a) Authorized committee, involvement of — agent of, definition, § 109.3(b) — campaign materials produced by candidate, precluded, § 109.21(c)(2); § 109.23(a)(1); § 109.37(a)(2)(i); § 110.14(f)(3) — contribution in-kind, if coordinated, § 100.16(c); § 109.20(b); § 109.21(a) and (b); § 109.37(b) — coordination with candidate or party precludes, § 109.20(b); § 109.21(a) and (b); § 109.37(b); § 114.2(c); § 114.10(a) See also: COORDINATION; COMMUNICATIONS/ADVERTISING By corporations and labor organizations — disclaimer required, § 110.11; — 114.10(c) — permitted, § 114.10(a) — reporting of, § 104.4(a); § 109.10; § 114.10(b)(1) By party committees — by national party committee, when prohibited, § 109.36 — can be made before or after nomination, § 109.34 — permissible, § 109.30 See also: COORDINATION; COMMUNICATIONS/ADVERTISING; PARTY COMMITTEE Certification of independence, § 109.10(e)(2) Clearly identified candidate, definition, § 100.17; § 106.1)(d) Contribution in-kind, if coordinated, § 109.20(b); § 109.21(a) and (b); § 109.37(b); § 114.2(c); § 114.10(a) See also: COORDINATION; COMMUNICATIONS/ADVERTISING Contributions made to political committees making, § 110.1(n) Coordination of — contribution in-kind, § 109.20(b); § 109.21(a) and (b); § 109.37(b) — corporate/labor communication, § 114.2(c); § 114.10(a) See also: COORDINATION; COMMUNICATIONS/ADVERTISING; PARTY COMMITTEE Defined as expenditure, § 100.113 Definition, § 100.16 Delegate/delegate committee expenditures for federal candidate, § 110.14(f)(2) and (i)(2) Electioneering communication, exempt from definition, § 100.29(c)(3) Express advocacy required, § 100.16(a) See also: EXPRESS ADVOCACY Notice of nonauthorization required, § 109.11; § 110.11(b)(3) and (c)(1) and (4); § 114.10(c) See also: DISCLAIMER NOTICE Opposing candidate, use of candidate’s name in title, § 102.14(b)(3) Reporting, § 104.4; § 109.10 — 24 hour reports, § 100.19(d); § 104.4(c); § 104.5(g)(2); § 105.2(b); § 109.10(d) — 48 hour reports, § 100.19(d); § 104.4(b)(2); § 104.5(g)(1); § 105.2(b); § 109.10(c) — aggregating, § 104.4(f)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00454 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General INDEPENDENT EXPENDITURES—Continued Reporting, § 104.4; § 109.10—Continued — by corporations and labor organizations, § 104.4(a); § 109.10; § 114.10(b)(1) — by persons other than political committees, § 104.4(a); § 105.4; § 109.10 — by political committees, during calendar year up to and including 20th day before election, less than $10,000, § 104.4(b)(1) — by political committees, during calendar year up to and including 20th day before election, $10,000 and over, § 104.4(b)(2) — by political committees, during period from 20 days before election to 24 hours before election, $1,000 and over, § 104.4(c) — verification, § 104.4(d); § 109.10(e) INDIVIDUALS Advances of goods/services paid with personal funds, § 100.52(a) § 100.111(a); § 116.5(b) Campaign travel paid by, § 100.79; § 116.5(b) Coercive solicitations of, prohibited, § 114.5(a) Commercial vendor — individual acting as, See: COMMERCIAL VENDOR — individual not acting as, § 116.5(a) Contributions by, § 110.1 Contributor information on — in committee’s possession, § 104.7(b)(3) — prohibited for solicitations or commercial uses, § 104.15(a) — requesting, § 104.7 Corporate and labor organization facilities and resources used by, § 114.2(f); § 114.9(a), (b) and (c) Credit cards, use of, § 116.5(b) Delegates to national convention — contributions to, § 110.14(d) — definition, § 110.14(b) — expenditures by, § 110.14(e) and (f) — party expenses on behalf of, § 110.14(c)(1)(ii) — payments for ballot access, § 110.14(c)(1)(i) Earmarked contributions by, See: EARMARKED CONTRIBUTIONS Electioneering communications by, See: ELECTIONEERING COMMUNICATIONS Express advocacy communications by, See: EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES; INTERNET ACTIVITIES Foreign national, See: FOREIGN NATIONAL Independent expenditures by, See: INDEPENDENT EXPENDITURES Internet activities by — contribution/expenditure exemptions, § 100.73; § 100.94; § 100.132; § 100.155 — use of employer’s facilities for, § 114.9(a) and(b) See also: INTERNET ACTIVITIES Legal and accounting services provided by, to campaigns, See: LEGAL AND ACCOUNTING SERVICES Liability of, for campaign activity, See: LIABILITY Limits on contributions by, § 110.1 — minors, § 110.1; § 110.19 — partners, § 110.1(e) — spouses in single income family, § 110.1(i) ‘‘Levin’’ fund donations by, § 300.31(d) Loans and loan endorsements by, § 100.52(a) § 100.111(a) Party activity conducted by, See: PARTY COMMITTEE/Contribution/ expenditure exemptions Person, defined as, § 100.10 Property of, used for volunteer activity, § 100.75; § 100.94(a)(2) and (c); § 100.135; § 100.155(a)(2) and (c) Reimbursed for travel/subsistence, § 116.5(b) Salary owed to, § 116.6

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00455 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) INDIVIDUALS—Continued Solicitations of, by corporations/labor organizations, See: RESTRICTED CLASS; SEPARATED SEGREGATED FUND Testing-the-waters activities of, See: TESTING-THE-WATERS EXPENSES Travel expenses of, § 100.79; § 100.139; § 116.5(b) Volunteer activities conducted by, § 100.74; § 100.94; § 100.135; § 100.155 See also: CONTRIBUTION/EXPENDITURE EXEMPTIONS; VOLUNTEER ACTIVITY IN-KIND CONTRIBUTION Advances for goods/services, § 100.52(a); § 116.5(b) ‘‘Anything of value,’’ defined, § 100.52(d); § 100.111(e) Coordination of activity or communication may result in, § 100.16(c); § 109.20(b); § 109.21(a) and (b); § 109.37(b); § 110.14(f)(2)(i) and (i)(2)(i) See also: COORDINATION Polling expenses, considered as, § 106.4(b) Reported as expenditure, § 104.13(a)(2); § 106.1(b) Stocks/bonds/art objects, liquidation of, § 104.13(b) Travel expenses, except when exempted, § 113.5(d); § 116.5(b) Valuation, § 100.52(d)(2); § 100.134(f); § 104.13(a)(1) INTERMEDIARY/CONDUIT See: EARMARKED CONTRIBUTION INTERNET ACTIVITIES By corporations — bloggers who are incorporated, exemption for, § 100.94(d); § 100.155(d) — communications, rules applying to, § 114.3(a); § 114.4(c); § 114.7(h); § 114.8(h); § 114.9(e) — use of facilities by employees or stockholders of, § 114.9(a)(2)(ii) and (3) By individuals — contribution/expenditure exemptions, § 100.73; § 100.94; § 100.132; § 100.155 — use of employer’s facilities for, § 114.9(a) and(b) By labor organizations — communications, rules applying to, § 114.3(a); § 114.4(c); § 114.7(h); § 114.9(e) — use of facilities of, by officials, members and employees, § 114.9(b)(2)(ii) and (3) Contribution, when considered to be, § 100.94(e) Contribution/expenditure exemptions, § 100.73; § 100.94; § 100.132; § 100.155 Definition, § 100.94(b); § 100.155(b) Disclaimer requirements for political committees and public communications, § 110.11(a) and (b) See also: DISCLAIMER NOTICE Equipment and services used in, definition, § 100.94(c); § 100.155(c) Electronic mail — disclaimer requirements for political committee sending, § 110.11(a)(1) — not public communication unless paid, § 100.26 Expenditure, when considered to be, § 100.155(e) News story exemption, application to, § 100.73; § 100.132 Payments for, § 100.26; § 100.94(e); § 100.155(e) Public communication, if paid, § 100.26 See also: PUBLIC COMMUNICATION Uncompensated, by individuals or groups, § 100.94; § 100.155 Websites — ‘‘de minimis’’ costs for, not federal election activity, § 100.24(c)(7) — disclaimer requirements for political committee site, § 110.11(a)(1) — exemptions for individuals and groups, § 100.94; § 100.155 — not public communication unless placed for a fee on, § 100.26 See also: COMMUNICATIONS/ADVERTISING; NEWS STORY EXEMPTION

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L LABOR ORGANIZATION See: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK LEADERSHIP PAC Definition, § 100.5(e)(6) Fundraising restrictions on, § 300.61; § 300.62 Not affiliated with campaign, § 100.5(e)(5) See also: POLITICAL COMMITTEE; UNAUTHORIZED COMMITTEE LEGAL AND ACCOUNTING SERVICES Contribution/expenditure exemption — for authorized and nonparty political committees, § 100.86; § 100.146; § 114.1(a)(2)(vii) — for party committees, § 100.85; § 100.145; § 114.1(a)(2)(vi) Exemption from limitation for Presidential campaigns, § 106.2(b)(2)(iii) Paid by — campaign, § 113.1(g)(1)(ii)(A) — corporations and labor organizations, § 114.1(a)(2)(vi) and (vii) Reporting, § 104.3(h); § 114.5(e)(2)(ii) ‘‘LEVIN’’ FUNDS Accounts for, § 300.2(h); § 300.30(b)(2) Allocating, § 300.33 Allocation accounts used for, § 102.5(a)(5); § 300.33(e)(1) Definition, § 300.2(i) Donations of, § 300.31 Expenditures and disbursements of, § 300.32(b) and (c) Federal candidate or officeholder prohibited from raising, § 300.31(e)(2); § 300.61 Fundraising costs for, § 300.32(a)(3) and (4) Joint fundraiser for, § 106.7(d)(4); § 300.31(f); § 300.32(a)(3) National party committee prohibited from raising, § 300.10(a)(3); § 300.31(e)(1) Recordkeeping — for party committees, § 102.5(a)(3); § 300.36(b) — for unregistered party organizations, § 102.5(b)(2); § 300.36(a) Reporting, § 300.36 Receipt of, § 300.31

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00457 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) ‘‘LEVIN’’ FUNDS—Continued Transfers prohibited, § 300.34 Use of, when permitted, § 100.24(a) and (b)(1) and (2); § 300.33(a) — office building funds of State, district or local party committees, § 300.35(b)(2) Use of, when prohibited, § 100.24(b)(2) and (3); § 300.33(c) and (d) See also: ALLOCATION OF EXPENSES; FEDERAL ELECTION ACTIVITY; LOCAL PARTY COMMITTEE; STATE PARTY COMMITTEE; VOTER DRIVES LIABILITY For disputed debt, disclosure not admission of, § 116.10(a) For filing complaints with FEC, § 111.4(c) For forwarding contributions to political committee treasurers, § 102.6(c)(1); § 102.8 For making independent expenditures, § 109.10(e)(2) Of political committee treasurers, See: TREASURER OF POLITICAL COMMITTEE/Duties Of separate segregated funds, for collecting agent activity, § 102.6(c)(1) Of Presidential candidates accepting public funds, See: Index for GENERAL ELECTION FINANCING/Certifications; Index for PRIMARY ELECTION FINANCING/Certifications LIMITED LIABILITY COMPANY Contributions by, § 110.1(g) Corporation, treatment as, § 110.1(g)(3) Definition, § 110.1(g)(1) Partnership, treatment as, § 110.1(g)(2) and § 110.1(g)(5) LOANS Assurance of repayment, § 100.82(e); § 100.142(e) Collateral for — future receipts, § 100.82(e)(2); § 100.142(e)(2) — traditional, § 100.82(e)(1)(i); § 100.142(e)(2) Contribution, § 100.52(a); § 114.1(a)(1) — endorser or guarantor of loan, § 100.52(b)(3) and (4); § 100.83(b) Contribution exemptions for — lending institutions, § 100.82 — loans from brokerage accounts or lines of credit, § 100.83(a) — office facilities, § 100.84 — recount costs, § 100.91 Endorsements, § 100.52(b); § 100.83(b) Expenditure, § 100.111(a); § 114.1(a)(1) Expenditure exemptions for — lending institutions, § 100.142(a)-(d) — loans from brokerage accounts or lines of credit, § 100.143 — office facilities, § 100.144 — recount costs, § 100.151 Guarantees, § 100.52(b); § 100.83(b) Made by lending institution, § 100.82; § 100.142(a)-(d) Obtained by candidate, § 100.52(b)(4); § 100.83(b)(1) and (2); § 101.2; § 102.7(d) — for personal living expenses, § 100.83(c) Overdrafts — for loans from brokerage accounts or lines of credit, § 100.83(a); § 100.143(a) — for loans from lending institutions, § 100.82(d); § 100.142(d) Repayment — of loan from brokerage account or line of credit to candidate, by authorized committee, § 100.83(c)(2) and (3); § 100.83(d) — of loan from brokerage account or line of credit to candidate, by third party, resulting in contribution, § 100.83(c)(3) — of loan made by political committee, § 100.52(b)(5) Reporting — brokerage loans and lines of credit, § 104.8(g); § 104.9(f); § 104.14(b)(4)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00458 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General LOANS—Continued Reporting—Continued — debts and obligations, § 104.3(d); § 104.11 — exemption for loans derived brokerage account or advances from lines of credit to candidate and used solely for candidate’s routine living expenses, § 100.83(c)(1) — repayment of loan from brokerage account or advances from lines of credit to candidate by third party, § 100.83(c)(3) Standards for loans from lending institutions — basis that assures repayment, § 100.82(e); § 100.142(e) — ordinary course of business, § 100.82; § 100.83(a); § 100.142(a)-(d) See also: DEBTS LOCAL PARTY COMMITTEE Definition, § 100.14(b) Contributions — from committee, § 110.1; § 110.2; § 110.3(b) — limits shared with state party committee, § 110.3(b)(3) — to committee, § 110.1(c); § 110.3(b) Coordinated party expenditures by, See: COORDINATION; PARTY COMMITTEE/Coordinated Party Expenditures Exempt activities conducted by — campaign materials, § 100.87; § 100.147 — disclaimer notice for, § 110.11(e) — federal election activity, may be considered, § 100.24(b)(3); § 100.26; § 300.33(c) — slate cards and sample ballots, § 100.80; § 100.140 — voter registration and get-out-the-vote for Presidential candidates, § 100.89; § 100.149 See also: CAMPAIGN MATERIALS; FEDERAL ELECTION ACTIVITY; PARTY COMMITTEE; PUBLIC COMMUNICATION; SLATE CARD/SAMPLE BALLOT; VOTER DRIVES Federal election activity, See: FEDERAL ELECTION ACTIVITY Independent expenditures by, See: COORDINATION; INDEPENDENT EXPENDITURES; PARTY COMMITTEE ‘‘Levin’’ funds, use of, See: FEDERAL ELECTION ACTIVITY; ‘‘LEVIN’’ FUNDS Prohibition on fundraising for and donating to certain tax-exempt organizations, § 300.37; § 300.51 Registration — requirements, § 102.1(d) — threshold, § 100.5(c) Salaries, benefits and wages paid by, § 100.24(b)(3); § 106.7(c)(1) and (d); § 300.33(d) Subordinate committee, definition, § 100.14(c) See also: PARTY COMMITTEE

M MAILING LIST Electronic mailing address list purchased for or transferred to political committee, § 100.94(e)(2) and (3); § 100.155(e)(2) and (3) Federal election activity, use for, § 100.24(a)(4) and (b)(2); § 300.32(b)(1)(ii); § 300.33(a)(2) In-kind contribution, donation results in, § 100.52(d)(1); § 100.94(e)(2) and (3); § 100.155(e)(2) and (3) Information from FEC reports used for, prohibited, § 104.15(a) See also: DIRECT MAIL MEDIA See: COMMUNICATIONS/ADVERTISING MEMBER OF CONGRESS See: CONGRESS, MEMBERS OF; FEDERAL OFFICEHOLDER MEMBERS Definition, § 100.134(f); § 114.1(e)(2); § 114.7(i)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00459 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) MEMBERS—Continued Financial obligations/voting rights, criteria for membership in membership organization, § 100.134(f); § 114.1(e)(2) MEMBERSHIP ORGANIZATION Affiliation, § 100.134(h) and (i); § 114.1(e)(4) Communications by, § 100.134(a); § 110.11(f)(2); § 114.7(h); § 114.10 — beyond restricted class, § 114.4; § 114.10 — containing express advocacy, to restricted class, § 114.1(j); § 114.3; § 114.7(h) and (k)(2) — disclaimer notice not required, § 110.11(f)(2) — electioneering, § 114.10 — reporting, § 100.134(a); § 104.6 — restricted class for, § 114.1(j) — to general public, § 114.4(a) and (c); § 114.10 Definition of, § 100.134(e); § 114.1(e)(1) Electioneering communications by, § 104.20; § 114.10 — disclaimer requirements, § 110.11; § 114.10(c) — reporting required, § 104.5(j); § 114.10(b)(2) — segregated bank account may be established for, § 114.10(d) See also: ELECTIONEERING COMMUNICATIONS Fundraising by — combined dues/contribution payments, § 102.6(c)(3) — disclaimer notice not required, § 110.11(f)(2) — using affiliates as collecting agents, § 102.6(b) and (c) See also: COLLECTING AGENT; STATE ASSOCIATION Independent expenditure by, § 114.10 — disclaimer requirements, § 110.11; § 114.10(c) — reporting required, § 109.10(b)-(e); § 114.10(b)(1) See also:COORDINATION; INDEPENDENT EXPENDITURES Member of, defined, § 100.134(f); § 114.1(e)(2); § 114.7(i) Multitiered, § 100.134(i) and § 114.1(e)(5) Separate segregated fund established by, § 114.1(a)(2)(iii) and (b); § 114.7(a) and (e) See also: SEPARATE SEGREGATED FUND Student members of, § 100.134(g); § 114.1(e)(3) See also: COMMUNICATIONS/ADVERTISING; COOPERATIVE; CORPORATION/ LABOR ORGANIZATION/NATIONAL BANK/Labor Organization; CORPORATION WITHOUT CAPITAL STOCK; MEMBERSHIP ORGANIZATION, INCORPORATED; TRADE ASSOCIATION MINORS Contributions made — must be made knowingly and voluntarily, § 110.19(a) — funds, goods, or services contributed are owned or controlled by minor, § 110.19(b) — not made from the proceeds of a gift that is controlled by another individual, § 110.19(c) MULTICANDIDATE COMMITTEE Contributions by, limitations, § 110.2 Definition, § 100.5(e)(3) Notification of status as — to candidates receiving contributions, § 110.2(a)(2) — to Commission, § 102.2(a)(3) See also: POLITICAL COMMITTEE; UNAUTHORIZED COMMITTEE

N NAME Acronym, use of, § 102.14(c) Candidate’s, use of — by party committee, § 102.5(a)(3)

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O OFFICE ACCOUNT Contribution/expenditure limitations may apply, § 113.4(a) Corporate/labor donations to, § 113.4(b) Definition, § 113.1(b) Federal officeholder, definition, § 113.1(c) Funds donated to — definition, § 113.1(a) — deposit of, § 113.3 — use of, § 113.2 State officeholder, definition, § 113.1(d) OFFICEHOLDER See: CONGRESS; MEMBERS OF; FEDERAL OFFICEHOLDER; STATE OFFICEHOLDER ONGOING COMMITTEE Debts owed by, § 116.2(b) — creditor’s forgiveness of, § 116.8 — disputed debts, § 116.9(c) Defined, § 116.1(b) See also: DEBTS OPINION POLLS See: POLLING

P PAC See: SEPARATE SEGREGATED FUND PARTNERSHIP As Federal contractor, § 115.4 Contributions by, attributed to partners, § 110.1(e) Corporate member of, § 110.1(e)(2)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00462 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General PARTY COMMITTEE Administrative expenses, of State, district or local party committees, § 106.7(c)(2) and (d)(2) See also: ALLOCATION OF EXPENSES Agent of — national party committee, § 109.3(a); § 300.2(b)(1) — State, district or local party committee, § 109.3(a); § 300.2(b)(2) Affiliated, § 110.3(b) Allocation — of federal/‘‘Levin’’ expenses, See: ALLOCATION OF EXPENSES; FEDERAL ELECTION ACTIVITY; ‘‘LEVIN’’ FUNDS — of federal/nonfederal expenses, See: ALLOCATION OF EXPENSES Appearances by party representative at corporate/labor organization function, § 114.3(c)(2); § 114.4(b) Candidate appearances for party, § 110.8(e); § 300.64 Communications by, § 100.24(b)(3); § 100.26; § 100.87; § 100.147; § 110.11(a) See also: COORDINATION; DISCLAIMER NOTICE; FEDERAL ELECTION ACTIVITY; INDEPENDENT EXPENDITURE; PUBLIC COMMUNICATION Contribution/expenditure exemptions — ballot access payments, § 100.90; § 100.150; § 110.14(c)(1)(i) — campaign materials for volunteer activities, § 100.87; § 100.147; § 110.11(e) — candidate appearances, payments for, § 110.8(e)(1) — delegate payments, § 110.14(c)(1)(i) — election recount costs, § 100.91; § 100.151 — food, beverage and invitations, § 100.77; § 100.137 — food/beverage vendor discount, § 100.78; § 100.138; § 114.1(a)(2)(v) — legal and accounting services, § 100.85; § 100.145; § 114.1(a)(2)(vi) — personal property, § 100.75; § 100.135 — residential premises, church or community room, § 100.75; § 100.76; § 100.135; § 100.136 — slate card/sample ballot, § 100.80; § 100.140; § 110.11(e) — travel expenses, § 100.79; § 100.139 — volunteer activity, See: VOLUNTEER ACTIVITY — voter drive for Presidential nominee, § 100.89; § 100.149; § 106.1(c)(3) Contribution limitations — independent subordinate committee, § 110.3(b)(3) — national/House committees, § 110.1(c); § 110.2(c); § 110.3(b)(2)(i) — national/Senate committees, § 110.1(c); § 110.2(c); § 110.3(b)(2)(ii) — State committees, § 110.3(b) — subordinate committees, § 110.3(b)(3) Contributions to national, House and Senate committees, § 110.1(c); § 110.2(c); § 110.3(b)(1) Convention (national nominating) registration and reporting, § 107.1 Coordinated party expenditures — assignment of authority by party committees, § 109.33 — candidate authorization not required for solicitation of funds for, § 102.13(b) — limits, § 109.32 — notices required for, § 110.11(a), (b) and (d) — timing, § 109.34 — treatment of political party committees, § 109.30 — use of campaign materials does not result in contribution to candidate, § 109.23(b)(5) Definition, § 100.5(e)(4) District party committee, See: LOCAL PARTY COMMITTEE Exempt activities — allocation of expenses for, when permitted, § 106.7(c)(3) — allocation of expenses not permitted if federal election activity, § 106.7(c)(3); § 300.33(c) — campaign materials, contribution/expenditure exemption, § 100.87; § 100.147 — disclaimer notice, § 110.11(e)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00463 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) PARTY COMMITTEE—Continued Exempt activities—Continued — federal election activity, possibly considered as, § 100.24(b)(3); § 100.26; § 300.33(c) — slate card/sample ballot, contribution/expenditure exemption, § 100.80; § 100.140 — voter drives in Presidential elections, contribution/expenditure exemption, § 100.89; § 100.149 See also: CAMPAIGN MATERIALS; FEDERAL ELECTION ACTIVITY; PUBLIC COMMUNICATION; SLATE CARDS/SAMPLE BALLOTS; VOTER DRIVES Federal/nonfederal election financing, § 102.5; § 104.17; § 106.1(e); § 106.7; Part 300 Federal election activity (FEA) conducted by, See: FEDERAL ELECTION ACTIVITY Local committee, See: LOCAL PARTY COMMITTEE Independent expenditures by — by national party committee, when prohibited, § 109.36 — can be made before or after nomination, § 109.34 See also: COORDINATION; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES Multicandidate status, See: MULTICANDIDATE COMMITTEE National party committee — definition, § 100.13 — donation/fundraising prohibitions for, § 300.10; § 300.11 See also: HOUSE CAMPAIGN COMMITTEE; NATIONAL PARTY COMMITTEE; SENATORIAL CAMPAIGN COMMITTEE Office building fund — application of State law to, § 300.35(b) — contributions to national party committee for, § 100.56 — contribution/expenditure exceptions for State, district or local party committees, § 100.84; § 100.144; § 114.1(a)(2)(vi) and (ix) — expenditure by national party committee for, § 100.114 — foreign national contributions/donations, prohibited;, § 110.20(d) — leasing a portion of party building, § 300.35(c) — nonfederal contributions prohibited for national party committees, § 300.12(b)(3) and (d) — reporting of, § 104.3(g)(1) and (2) — use by State and local party, § 300.35 Party coordinated communication, § 109.37 See also: COORDINATION; COMMUNICATIONS/ADVERTISING Phone banks that refer to a clearly identified Federal candidate, § 106.8(a) and (b) Political party, definition, § 100.15 Registration — requirements, § 102.1(d) — threshold for local or district, § 100.5(c) — threshold for state or national, § 100.5(a) Reporting requirements, See: REPORTING Solicitations by — allocation of expenses for, See: ALLOCATION OF EXPENSES — federal candidates or officeholders involved with, § 102.5(a)(4); § 300.31(e); § 300.61; § 300.62; § 300.64 — for ‘‘Levin’’ funds, See: ‘‘LEVIN’’ FUNDS — for tax exempt organization, § 300.11; § 300.37; § 300.50; § 300.51 — notices required, § 102.5(a)(2); § 104.7(b)(1); § 110.11(a)(3), (b)(3) and (c)(1) and (2) — party officials, restrictions on, § 300.10; § 300.11; § 300.37; § 300.50; § 300.51 State committee, See: STATE PARTY COMMITTEE Subordinate committee See: LOCAL PARTY COMMITTEE

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00464 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General PARTY COMMITTEE—Continued Transfers — between committees of same party, § 102.6(a); § 110.3(c)(1) — between federal/Levin accounts, § 300.33(e) — between federal/nonfederal accounts, § 102.5(a)(1)(i); § 106.7(f) — of campaign/office account funds from authorized committees, § 113.2(c) Voter drives and get-out-the-vote activities, See: ALLOCATION OF EXPENSES; FEDERAL ELECTION ACTIVITY; ‘‘LEVIN’’ FUNDS; VOTER DRIVES See also: POLITICAL COMMITTEE PAYROLL DEDUCTION PLAN Combined dues/contributions payments, § 102.6(c)(3) Not facilitation, § 114.2(f)(4)(i) and (5) Of corporate member for trade association SSF, § 114.8(e)(4) Of corporation, made available to labor organizations, § 114.5(k)(1) Reporting requirements, § 104.8(b) Reverse checkoff plans, prohibited, § 114.5(a)(1) Twice-yearly solicitations by corporations/labor organizations, prohibited, § 114.6(e)(1) See also: COLLECTING AGENT PENALTIES See: COMPLIANCE PERSON Contribution limitations, § 110.1 Definition, § 100.10; § 110.1(a) Electioneering communications by, See: ELECTIONEERING COMMUNICATIONS Independent expenditures by, § 105.4; part 109; § 114.10 See also: COORDINATION; INDEPENDENT EXPENDITURES Internet activities by, See: INTERNET ACTIVITIES Prohibition against solicitation of people named in reports, § 104.15 PERSONAL FUNDS Of candidate — assets, income, § 100.33 — unlimited expenditures, § 110.10 — used for living expenses, § 100.153 — used for securing loans, § 100.52(b) — used for travel expenses, § 106.3(b)(1) Of individual, used to advance goods/services, § 116.5(b) Of delegate, expenditures from, § 110.14(e) Of Vice Presidential candidate, expenditures from, § 110.8(f)(2) Of volunteer, used for living expenses, § 100.79; § 100.139 Segregated from political funds, § 102.15 PERSONAL SERVICES Compensated, considered contribution, § 100.54 Volunteered, contribution exemption, § 100.74 See also: INTERNET ACTIVITIES; LEGAL AND ACCOUNTING SERVICES; VOLUNTEER ACTIVITY PETTY CASH FUND Disbursements from, § 102.11; § 103.3(a) Recordkeeping required, § 102.11 POLITICAL ACTION COMMITTEE See: LEADERSHIP PAC; POLITICAL COMMITTEE; SEPARATE SEGREGATED FUND; UNAUTHORIZED COMMITTEE POLITICAL ADS See: COMMUNICATIONS/ADVERTISING; DISCLAIMER NOTICE; ELECTIONEERING COMMUNICATIONS; INDEPENDENT EXPENDITURES; PUBLIC POLITICAL ADVERTISING POLITICAL COMMITTEE Affiliated, See: AFFILIATED COMMITTEE

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00465 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) POLITICAL COMMITTEE—Continued Allocation between federal/nonfederal accounts, See: ALLOCATION OF EXPENSES Audits of, § 104.16 See also: AUDITS Authorized, See: AUTHORIZED COMMITTEE Campaign depository, See: CAMPAIGN DEPOSITORY Collecting agent for, § 102.6(b) and (c) Communications/advertising by, § 110.11(a) See also: COMMUNICATIONS/ADVERTISING; PUBLIC COMMUNICATION Contributions to, § 110.1(d) Definition, § 100.5 Debts owed by, See: DEBTS Delegate committee, See: DELEGATE/Committee Federal/nonfederal, § 100.24(c); § 102.5; § 106.1(e); § 106.6; § 106.7; § 300.10; § 300.30 Filing reports, See: FILING; FORMS; REPORTING Forwarding contributions to, § 102.8 Fundraising by, § 110.11(a) See also: FUNDRAISING Funds, separate from personal, § 102.15 Host committee (convention), registration and reporting, § 107.1 Identification number, § 102.2(c) Incorporation of, § 114.12(a) Independent expenditures by, See: COORDINATION; COMMUNICATIONS/ ADVERTISING; DISCLAIMER NOTICE; EXPRESS ADVOCACY; INDEPENDENT EXPENDITURES Internet activities by, See: COMMUNICATIONS/ADVERTISING; DISCLAIMER NOTICE; INTERNET ACTIVITIES Joint fundraising, committee established for, § 102.17(b)(1) and (2) Leadership PAC, See: LEADERSHIP PAC Multicandidate, See: MULTICANDIDATE COMMITTEE Municipal Fund (convention), registration and reporting, § 107.1 Name of, restrictions, § 102.14 Nonconnected, See: NONCONNECTED COMMITTEE Ongoing, See: ONGOING COMMITTEE Organization of, § 102.7 Party, See: LOCAL PARTY COMMITTEE; NATIONAL PARTY COMMITTEE; PARTY COMMITTEE; STATE PARTY COMMITTEE Petty cash fund, § 102.11; § 103.3(a) Principal campaign, See: PRINCIPAL CAMPAIGN COMMITTEE Recordkeeping requirements, See: RECORDKEEPING Registration, § 102.1; § 102.2; § 102.6(a)(2); § 102.17(a)(1) Reporting requirements, See: REPORTING Separate segregated fund, See: SEPARATE SEGREGATED FUND Single candidate, See: SINGLE CANDIDATE COMMITTEE Statement of Organization, § 102.1; § 102.2 Termination of, See: TERMINATION OF COMMITTEE Transfers among, See: TRANSFER OF FUNDS Treasurer, See: TREASURER OF POLITICAL COMMITTEE Unauthorized, See: UNAUTHORIZED COMMITTEE POLITICAL PARTY See: LOCAL PARTY COMMITTEE; NATIONAL PARTY COMMITTEE; PARTY COMMITTEE; STATE PARTY COMMITTEE POLLING Acceptance of results, § 106.4(b) and (c) Allocation of expenditure — by candidate, § 106.4(e) — by candidate, Presidential, § 106.2(b)(2)(v) — by unauthorized committee, § 106.4(d) — methods for, § 106.4(e)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00466 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General POLLING—Continued Allocation of expenditure—Continued — reporting of, § 106.4(f), (g) and (h) Contribution in-kind, § 106.4 Testing-the-waters exemption, § 100.72(a) and (b); § 100.131(a) and (b); § 106.4(a) and (b) POSTMARK As date of filing, § 104.5(e) As date of when contribution is made, § 110.1(b)(6) and (l)(4); § 110.2(b)(6) PREEMPTION Of Federal Election Campaign Act by state election laws, § 108.7(c) Of state election laws by Federal Election Campaign Act, § 100.93(h); § 108.7(a) and (b) PRIMARY ELECTION Contributions — post-primary, § 110.1(a)(2)(i) and (ii)(B) — segregated from general election contributions, § 102.9(e) — to unopposed candidate, § 110.1(j)(3); § 110.2(d)(3) Definition, § 100.2(c) Transfer of unused funds to general election campaign, § 110.3(c)(3) See also: ELECTION PRINCIPAL CAMPAIGN COMMITTEE Agent for, definition, § 109.3(b); § 300.2(b)(3) Consolidated report filed by, § 104.3(f) Contributions to, See: CANDIDATE; CONTRIBUTIONS Definition, § 100.5(d) and (e)(1) Designation of, § 101.1(a); § 102.12 Expenditures by, See: CAMPAIGN FUNDS, USE OF; EXPENDITURES Registration of, § 102.1(a); § 102.2(b)(1)(i) Support of one candidate only, § 102.12(b) and (c) Transfers between, § 110.3(c)(4) and (5) See also: AUTHORIZED COMMITTEE; CANDIDATE; POLITICAL COMMITTEE PRIVACY ACT See: Index for ADMINISTRATIVE REGULATIONS/Privacy Act PROPERTY, REAL OR PERSONAL Use of, exempted, § 100.75; § 100.94; § 100.135; § 100.155 PSEUDONYMS Definition, § 104.3(e)(2) Purpose, § 104.3(e)(1) Reporting procedures, § 104.3(e)(3)-(5) PUBLIC COMMUNICATION Allocation of expenditures prohibited for, party committee, § 106.7(e)(3); § 300.33(c) See also: ALLOCATION OF EXPENSES; FEDERAL ELECTION ACTIVITY Content standard for coordinated communication, § 109.21(c)(2)-(5); § 109.37(a)(2) Contribution in-kind, when considered as, § 109.20(a); § 109.21(a), (b) and (c)(2)- (4) Definition, § 100.26 Disclaimer requirements for, § 110.11 See also: DISCLAIMER NOTICE Federal election activity, when considered as, § 100.24(b)(3) Federal funds may only be used to finance, when applicable, § 100.24(b)(3); § 300.33(c) Generic campaign activity, definition, § 100.25 Internet communications, when exempt from/included in definition, § 100.26 Mass mailing, definition, § 100.27 Nonfederal candidates, exemptions for, § 100.24(c)(1); § 109.24(g) Safe harbors applied to coordinated, § 109.21(g) and (i) Telephone bank, definition, § 100.28 Time frames applied to coordinated, § 109.21(c)(4); § 109.37(a)(2)(iii)(A) and (B)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00467 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) PUBLIC COMMUNICATION—Continued See also: CAMPAIGN MATERIALS; COORDINATION; COMMUNICATIONS/ ADVERTISING; FEDERAL ELECTION ACTIVITY; INTERNET ACTIVITIES; SLATE CARD/SAMPLE BALLOT PUBLIC FINANCING See: Indexes for GENERAL ELECTION FINANCING; FEDERAL FINANCING OF PRESIDENTIAL NOMINATING CONVENTIONS; PRESIDENTIAL PRIMARY MATCHING FUND PUBLIC INSPECTION OF DOCUMENTS Advisory opinions and requests for, § 112.2 Compliance proceedings — confidentiality, § 111.21 — public disclosure, § 111.20 Reports — filed with State officials, § 108.6(c) — sale/use restriction, § 104.15 See also: Index for ADMINISTRATIVE REGULATIONS/Public Disclosure PUBLIC POLITICAL ADVERTISING Allocation of expenditures for — among several candidates, § 100.52(d); § 106.1(b) — on behalf of Presidential candidate, § 106.2(b)(2)(i) Coordinated with campaign or party, See: COORDINATION Defined, § 100.26; § 110.11(a) Electioneering communication, See: ELECTIONEERING COMMUNICATION Expressly advocating, definition, § 100.22; § 109.2(b)(2) Independent expenditures made for, See: COORDINATION; INDEPENDENT EXPENDITURES Media used for, § 100.26; § 110.11(a) Notice required for, § 102.16; § 109.11; § 110.11(a) See also: DISCLAIMER NOTICE Public communication, See: PUBLIC COMMUNICATION Rates charged for space, § 110.11(g) Television and radio ads, additional requirements for, § 110.11((c)(3) and (4) Uses — campaign materials mentioning other candidates, § 100.88(a) and (b); § 100.148; § 109.21(g) — exempted party activities, prohibited, § 100.80; § 100.87(a); § 100.89(a); § 100.140; § 100.147(a); § 100.149(a) — testing-the-waters activities, indicator of candidacy, § 100.72(a) and (b); § 100.131(a) and (b) See: COMMUNICATIONS/ADVERTISING

R RECEIPTS Deposit of, § 103.3(a) Reporting, See: REPORTING See also: CONTRIBUTIONS RECORDKEEPING Allocation, documentation of — for party committee, § 104.17(a)(4) and (b)(4) — for Presidential campaigns, § 106.2(b) and (d) — for separate segregated fund and nonconnected committee, § 104.10(a)(4) and (b)(5) Collecting agent, duties of, § 102.6(c)(5) and (6) Contributions — aggregate of individual’s, § 104.8(b) — best efforts, See: BEST EFFORTS — bundled, § 104.22(a)(6) and (j) — by check, § 104.8(c) and (d)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00468 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General RECORDKEEPING—Continued Contributions—Continued — by payroll deduction, § 104.8(b) — contributor identification, § 100.12; § 104.7(b); § 104.8(a) and (b) — designations/redesignations, § 102.9(e); § 110.1(l) — earmarked, § 102.8(c); § 110.6(b)(2)(iii) — forwarding, § 102.8 — fundraising/mass collection proceeds, § 102.17(c) — illegal-appearing, § 103.3(b) — reattributed, § 102.9(e); § 110.1(l) — records required, § 102.9(a); § 110.1(l) Disbursements — advance for travel/subsistence, § 102.9(b)(2)(i)(B) — aggregate of, to one recipient, § 104.9(b) — allocation of, by party committee, § 104.17(a)(4) and (b)(4) — allocation of, by separate segregated fund or nonconnected committee, § 104.10(a)(4) and (b)(5) — credit card, disbursements by, § 102.9(b)(2)(ii) — credit union account, disbursements from, § 102.9(b)(2)(iii) — documentation required, § 102.9(b)(2) — ‘‘payee,’’ identification and definition of, § 102.9(b)(1)(i) and (2)(i)(A) — petty cash fund records, § 102.11 — ‘‘purpose’’ of, § 104.3(b)(3)(i)(A) and (B); § 104.9(a) — records required, § 102.9(b)(1) Electioneering communications, § 104.20(d) Expenditures allocated among states, § 106.2(b) and (d) Federal activity of unregistered organization, § 102.5(b) Federal election activity (FEA) — by registered party organization, § 102.5(a)(3) and (5); § 300.36(b) — by unregistered party organizations, § 102.5(b)(2); § 300.36(a) Federal Election Commission, records kept by, See: Index for ADMINISTRATIVE REGULATIONS/Records Inaugural committees, § 104.21(d) Joint fundraising, § 102.17(c)(4) Petty cash fund, § 102.11 Records — best efforts of treasurer, § 102.9(d); § 104.7 — electronically filed reports, § 104.18(g) — maintenance of, § 102.9(d); § 104.14(b)(1) — preservation of, § 102.9(c); § 104.14(b)(2),(3) and (4); § 104.18(g) Separate segregated fund custodian, duties of, § 114.6(d) State officers’ duties, § 108.6 Testing-the-waters activity, § 101.3 Travel, § 100.93(j) See also: REPORTING RECOUNT EXPENSES See: ELECTION REFUNDS See: CONTRIBUTIONS REGISTRATION By political committee See: FILING; POLITICAL COMMITTEE By voters See: VOTER DRIVES REGULATIONS See: RULES AND REGULATIONS REIMBURSEMENT Of committee staff, for advances made, § 116.5(b) Of federal account by nonfederal account, for allocable expenses, § 106.6(e); § 106.7(f)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00469 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) REIMBURSEMENT—Continued Of fundraising expenses — by collecting agents, to separate segregated fund, § 114.5(b)(3) — by separate segregated fund, to parent organization, § 114.5(b)(2) Of travel expenses, by candidate — to campaign, § 113.1(g)(1)(ii)(C) and (D) Of use of corporate/labor facilities — by nonemployees and nonmembers, § 114.2(f); § 114.9(d) — in advance of using certain resources, § 114.2(f)(2) Prohibited, by parent organization to separate segregated fund, § 114.5(b) REPORTING 24 hour report of electioneering communication, § 104.5(j); § 104.20(b) 24 hour report of independent expenditure, § 104.4(c); § 104.5(g)(1); § 109.10(d) 48 hour notification of contribution, § 104.5(f) 48 hour report of independent expenditure, § 104.4(b)(2); § 104.5(g)(2) Acknowledgement of report’s receipt, § 104.14(c) Allocable expenses, See: ALLOCATION OF EXPENSES Amending previous report, § 104.7(b)(4) Audit of reports, § 104.16 See also: AUDITS Bank loans, § 104.3(d) Best efforts of treasurer, § 104.7 See also: BEST EFFORTS Brokerage loans and lines of credit to candidates, See: LOANS Bundled contributions, See: BUNDLING Cash-on-hand, § 104.3(a)(1); § 104.12 Collecting agent, of funds received through, § 102.6(c)(7) Communications to restricted class by corporations, membership organizations and labor organizations, § 100.134(a); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i) Compulsory, § 104.1(a) Computerized, § 104.2(d) Consolidated, § 104.3(f) Content of reports, § 104.3 Contributions — aggregate of, § 104.8(b) — by check, § 104.8(c) and (d) — bundled, See: BUNDLING — earmarked, § 104.3(j); § 110.6(c) — exceeding $200, § 104.8(a) — illegal-appearing, § 103.3(b) — in-kind, § 104.13; § 106.1(b) — joint, § 104.8(d)(1) — of $1,000 or more, 48 hour notification, § 104.5(f) — reattributed, § 104.8(d)(3) — redesignated, § 104.8(d)(2) — refunded, § 104.8(d)(4) — summary of, § 104.3(c) — to delegates, § 110.14(d)(3) — uniformity in reporting, § 104.8 Contributors — amending reports to include information on, § 104.7(b)(4) — change of name, § 104.8 — identification of, § 100.12; § 104.7(b); § 104.8(a) and (b) — information in committee’s possession, § 104.7(b)(3) — information not provided by, § 104.7(b) — multiple contributors, § 104.8(c) and (d) — pseudonyms, use of, § 104.3(e) Convention, national nominating, part 107 Corporation/labor organization, for internal communications, § 104.6 Cumulative, § 104.3(i)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00470 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General REPORTING—Continued Debts and obligations, § 104.3(d); § 104.11 See also: DEBTS Disbursements — categories of, § 104.3(b)(1) and (2) — itemization of, § 104.3(b)(3) and (4) — uniform reporting of, § 104.9 Earmarked contributions, See: EARMARKED CONTRIBUTION Election cycle basis, § 104.3(a)(3); § 104.3(b)(2) Election year, § 104.5(a)(1), (b)(1) and (c)(1) Electioneering communications, § 104.5(j); § 104.20; § 114.10(b)(2) See also: ELECTIONEERING COMMUNICATIONS Electronic filing, § 104.18 Expenditures — aggregate of, to one recipient, § 104.9(b) — by delegates, § 110.14(e)(2) and (f)(1)(iii) — candidate-allocated, § 104.10(a); § 104.17(a) — coordinated party, § 104.3(b)(3)(vii); § 109.33 — exceeding $200, § 104.9(a) — operating, summarized, § 104.3(c) — personal use expense, § 104.3(b)(4)(i)(B) — State-allocated, for Presidential candidates, § 106.2(c) — travel, § 100.93(i); § 104.13(a); § 106.3(a) and (b); § 116.5(e) — uniformity in reporting, § 104.9 Failure to report, § 111.8(c) Filing reports, See: FILING Forms, See: FORMS Identification number, § 102.2(c) Inaugural Committees, § 104.21(c) Independent expenditures — by corporations and labor organizations, § 104.5(g); § 109.10; § 114.10(b)(1) — by individuals, § 104.5(g); § 109.10 — by political committees, § 104.4; § 109.10(a) See also: INDEPENDENT EXPENDITURES Interest income, § 103.3(a); § 104.3(a)(4)(vi) Joint fundraising activity, § 102.17(c)(3)(iii) and (8) Legal and accounting services, § 104.3(h); § 114.5(e)(2)(ii) ‘‘Levin’’ funds used for federal election activity — by registered party organization, § 300.36(b) — by unregistered party organizations, § 300.36(a) See also: ALLOCATION OF EXPENSES; ‘‘LEVIN’’ FUNDS Loans, § 104.3(d) Monthly report — by national party committee, § 104.5(c)(4) — by Presidential committee, § 104.5(b)(1)(i) and (iii) and (2)(i) — by State, district or local party committee conducting federal election activity, required, § 300.36(c) — by unauthorized committee, § 104.5(c)(3) — waivers, § 104.5(b)(1)(i)(C) and (c)(3)(ii) Non-election year, § 104.5(b)(2) and (c)(2) Nonfederal campaign committee, § 110.3(c)(6)(iii) Nonfilers, See: NONFILERS Party coordinated expenditures, § 104.3(b)(3)(viii); § 109.33 Party office building fund, contributions and donations to, § 104.3(g) Payroll deductions, § 104.8(b) Post-election report — by Congressional committee, § 104.5(a)(2)(ii) — by Presidential committee, § 104.5(b)(1)(i)(C) and (ii) — by unauthorized committee, § 104.5(c)(1)(iii)

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S SALE/USE RESTRICTION Permissible use of contributor information — in newspapers/magazines/books, § 104.15(c) — political committee information, § 104.15(a) Prohibited use of individual contributor information, § 104.15(a) Soliciting contributions, defined, § 104.15(b) SECRETARY OF THE SENATE Reports filed with, § 105.2 Transmittal of reports to Commission, § 105.5 SENATORIAL CAMPAIGN COMMITTEE Contributions by, § 110.2(e); § 110.3(b)(1) and (2)(ii) Contributions to, § 110.1(c); § 110.2(c); § 110.3(b)(1) and (2)(ii) Prohibitions — on fundraising for and donating to certain tax-exempt organizations, § 300.11 — on raising and spending nonfederal funds, § 300.10; § 300.50 See: NATIONAL PARTY COMMITTEE; PARTY COMMITTEE SEPARATE SEGREGATED FUND Affiliated — contribution limit shared, § 110.3(a)(1) — definition, § 100.5(g)(2) — factors indicating, § 100.5(g)(3)(ii); § 110.3(a)(3)(ii) Allocation of federal/nonfederal expenses, See: ALLOCATION OF EXPENSES Collecting agent for, § 102.6(b) and (c) Communications to public, § 114.5(i) See also: COMMUNICATIONS/ADVERTISING Conduit for earmarked contributions, § 110.6(b)(2); § 114.2(f)(2)(iii), (3)(ii) and (4)(iii) Connected organization of — control of fund, § 114.5(d) — definition, § 100.6 — disclosure of, on Statement of Organization, § 102.2(b)(ii) — name requirement, § 102.14(c) — treasury money used for fund, § 114.5(b)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00473 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) SEPARATE SEGREGATED FUND—Continued Contributions to fund — contributors permitted by law, § 114.5(j) — limitations on, § 110.1(d); § 110.2(d); § 110.3(a)(1)(ii), § 114.5(f) — via employee participation plan, § 114.11 — voluntary only, § 114.1(i); § 114.5(a) Control of, § 114.5(d) Establishment/administration/solicitation costs — connected organization’s payment of, § 114.5(b) — contribution/expenditure exemption, § 114.1(a)(2)(iii) — definition, § 114.1(b) Facilities used in volunteer activity, § 114.9 Federal contractor, established by, § 115.3 Fundraising event, reimbursement to connected organization for, § 114.5(b)(2) Lobbyist/Registrant PAC, when defined as, § 100.5(e)(7) Membership in, § 114.5(c) Multicandidate, See: MULTICANDIDATE COMMITTEE Name of, restrictions, § 102.14(c) Political committee status, § 100.5(b) Registration of, § 102.1(c) Reporting by, § 114.5(e) See also: REPORTING Solicitation of contributions to — by collecting agent, § 102.6(c)(1) — coercive methods prohibited, § 114.5(a)(1) — disclaimer notice not required, § 110.11(f)(2) — employees/members, requirements, § 114.5(a); § 114.7(g) — guidelines for solicitation card, § 114.5(a)(2) — methods for, § 114.1(f) and (g) — not facilitation, § 114.2(f)(1) and (4)(i) — to restricted class only, § 114.5(g); § 114.7(a) — twice yearly solicitations, § 114.6 Statement of Organization requirements, § 102.2 Transmittal of funds received by collecting agent for, § 102.6(c) Twice yearly solicitations, § 114.6 Use of treasury funds, § 114.5(b) See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK; MEMBERSHIP ORGANIZATION; POLITICAL COMMITTEE; TRADE ASSOCIATION; UNAUTHORIZED COMMITTEE SINGLE CANDIDATE COMMITTEE Contributions to, § 110.1(h)(1) Definition, § 100.5(e)(2) SLATE CARD/SAMPLE BALLOT Contribution/expenditure exemption, § 100.80; § 100.140 Federal election activity, § 100.24(b)(2) and (3) Disclaimer notice required, § 110.11(e) See also: ALLOCATION OF EXPENSES; FEDERAL ELECTION ACTIVITY; PARTY COMMITTEE; PUBLIC COMMUNICATION ‘‘SOFT MONEY’’ See: FUNDRAISING; LOCAL PARTY COMMITTEE; NATIONAL PARTY COMMITTEE; PARTY COMMITTEE; STATE PARTY COMMITTEE SOLE PROPRIETOR As Federal contractor, § 115.5 SOLICITABLE PERSONNEL See: RESTRICTED CLASS SOLICITATION See: CONTRIBUTIONS; FUNDRAISING; SEPARATE SEGREGATED FUND SPECIAL ELECTION Definition, § 100.2(f) Report, § 104.5(h)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00474 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General SPECIAL ELECTION—Continued See also: ELECTION SPOUSE Contributions by, § 100.51(b); § 100.71(b); § 110.1(i)(1) Expenditures by, § 100.110(b); § 100.130(b) Family of candidate, § 113.1(g) Loans, cosigning, § 100.52(b)(4); § 100.82(a) through (d); § 100.142(a) through (d) Owned by candidate jointly with, § 110.10(b)(3) STATE Allocation of expenditures, § 106.2 See also: ALLOCATION BY PRESIDENTIAL CAMPAIGN Definition, § 100.11 Filing with, See: FILING Law — effect of Act and regulations on, § 108.7 — effect on FECA or FEC regulations, § 100.134(j), § 114.1(e)(6); § 110.1(g)(1) Officeholder, See: STATE OFFICEHOLDER Officer — duties of, § 108.6 — filing documents with, part 108 Waiver program, See: FILING STATE OFFICEHOLDER Agent of, defined, § 300.2(b)(4) Contributions by, to federal campaign of another candidate — federal funds must be used, § 102.5(b)(1); § 300.61 — limitations on, § 110.1(a) and (b) — registration threshold, counts against, § 100.5(a) Contributions to, by federal campaign of another candidate, § 113.2(d) Communications by — coordinated with federal candidate, safe harbor, § 109.21(g) — federal funds, when not required, § 300.72 — federal funds, when required, § 300.71 Definition, § 113.1(d) Transfers from nonfederal campaign to federal campaign of same candidate, prohibited, § 110.3(d); § 110.8(d)(2) STATE ORGANIZATION As collecting agent for national organization’s separate segregated fund, § 102.6(a)(2)(iii) — procedures, § 102.6(c) — registration and reporting, § 102.6(b)(2) Member of, defined, § 100.134(f); § 114.1(e)(2) See also: COLLECTING AGENT STATE PARTY COMMITTEE Agent of, definition, § 109.3(a); § 300.2(b)(2) Allocation of federal/nonfederal expenses, See: ALLOCATION OF EXPENSES Committees established and maintained by, § 110.3(b)(3) Coordinated party expenditure limits, § 109.32(b); § 109.33 See also: COORDINATION; COMMUNICATIONS/ADVERTISING; PARTY COMMITTEE Definition, § 100.14(a) Designated as agent of national committee, § 109.23(b)(5); § 109.33 Exempt activities conducted by — campaign materials, § 100.87; § 100.147 — disclaimer notice for, § 110.11(e); — federal election activity, may be considered, § 100.24(b)(3); § 100.26; § 300.33(c) — slate cards and sample ballots, § 100.80; § 100.140 — voter registration and get-out-the-vote for Presidential candidates, § 100.89; § 100.149

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00475 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) STATE PARTY COMMITTEE—Continued Exempt activities conducted by—Continued See also: CAMPAIGN MATERIALS; FEDERAL ELECTION ACTIVITY; PARTY COMMITTEE; PUBLIC COMMUNICATION; SLATE CARD/SAMPLE BALLOT; VOTER DRIVES Federal election activity, See: FEDERAL ELECTION ACTIVITY; PUBLIC COMMUNICATION Independent expenditures by, See: INDEPENDENT EXPENDITURES; PARTY COMMITTEE ‘‘Levin’’ funds, use of, See: FEDERAL ELECTION ACTIVITY; ‘‘LEVIN’’ FUNDS Local or district committee, affiliated with, § 110.3(b)(3) Multicandidate, See: MULTICANDIDATE COMMITTEE Prohibition on fundraising for and donating to certain tax-exempt organizations, § 300.37; § 300.51 Salaries, wages and fringe benefits paid by, § 100.24(b)(3); § 106.7(c)(1) and (d); § 300.33(d) Voter drives conducted by, § 100.24(a) and (b)(1) and (2); § 100.89; § 100.149; § 106.1(c)(3); § 110.11(e); § 300.33(a) and (b) See also: VOTER DRIVES See also: PARTY COMMITTEE STOCKHOLDER Communications with, by corporation, § 114.3 Corporate facilities, use of by, § 114.9(a) Definition, § 114.1(h) Solicitations of, § 114.5(g) and (k); § 114.6(b) and (d); § 114.8(f) and (g) SUBORDINATE PARTY COMMITTEE Definition, § 100.14(c) See also: LOCAL PARTY COMMITTEE; PARTY COMMITTEE SUNSHINE ACT See: Index for ADMINISTRATIVE REGULATIONS/Sunshine Act

T TERMINATION OF COMMITTEE By Commission, § 102.4 By committee, § 102.3 Prohibited if committee has unpaid/unsettled debts, § 102.3; § 116.7(a) Statement regarding use of assets, § 102.3(a)(2) Terminating committee — authorized committee, § 116.2(c) — bankrupt under Chapter 7, § 116.7(g) — debt settlement plan filed by, § 116.7 — debts owed by, § 116.2(a); § 116.10(b) — defined, § 116.1(a) — efforts to satisfy debts, ‘‘reasonable,’’ § 116.4(c) and (d)(2) — request to find debt unpayable, § 116.9(b) See also: DEBTS TESTING-THE-WATERS EXPENSES Contribution/expenditure exemption, pre-candidacy, § 100.72(a) and (b); § 100.131(a) and (b); § 101.3 Polling expenses, § 106.2(a)(2); § 106.4(a) TRADE ASSOCIATION Communications by — beyond restricted class, § 114.4; § 114.8(i) — containing express advocacy, § 114.1(j); § 114.3; § 114.4(a) and (c); § 114.7(h); § 114.8(h) and (i); § 114.10 — reporting, § 100.134(m); § 104.6; § 105.4; § 114.3(b); § 114.5(e)(2)(i) — to general public, § 114.4(a) and (c); § 114.10 See also: COMMUNICATIONS/ADVERTISING Definition, § 114.8(a)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00476 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, General TRADE ASSOCIATION—Continued Electioneering communications by, § 104.20; § 114.10 — disclaimer requirements, § 110.11; § 114.10(c) — reporting required, § 104.5(j); § 114.10(b)(2) — segregated bank account may be established for, § 114.10(d) See also: ELECTIONEERING COMMUNICATIONS Employees, § 114.8(i) Federation of, solicitations by, § 114.8(g) Independent expenditure by, § 114.10 — disclaimer requirements, § 110.11; § 114.10(c) — reporting required, § 109.10(b)-(e); § 114.10(b)(1) See also:COORDINATION; INDEPENDENT EXPENDITURES Member of, defined, § 100.134(f); § 114.1(e)(2) Membership organization, defined as, § 100.134(e); § 114.1(e)(1) Payroll deduction — may be used by member corporation to collect and forward contributions, § 114.8(e)(4) — not considered facilitation if utilized by member corporation to collect and forward contributions to trade association SSF, § 114.2(f)(5) Separate segregated fund solicitations — contribution prohibition applies, § 114.8(b) — disclaimer notice not required, § 110.11(f)(2) — notices required, § 104.7(b); § 114.5(a) — of corporate members, § 114.7(c); § 114.8(c), (d), (e), (f) and (i)(2) — of employees, § 114.8(e)(4) and (i)(2) — of member’s separate segregated fund, prohibited, § 114.7(j) — of noncorporate members, § 114.7(c) Solicitation approvals — limited to one trade association per year, § 114.8(c)(2) — may limit number/scope of solicitations, § 114.8(d)(5) and (e) — of subsidiary of corporate member, § 114.8(f) — retention of, § 114.8(d)(2) — separate designation required for each year, § 114.8(d)(4) — written, § 114.8(d)(2) See also: CORPORATION/LABOR ORGANIZATION/NATIONAL BANK; SEPARATE SEGREGATED FUND TRANSFER OF FUNDS Affiliation criterion, § 100.5(g)(4)(i); § 110.3(a)(3)(i) Between — affiliated committees, § 102.6(a)(1); § 110.3(c)(1) — candidate’s federal/nonfederal campaign committees, prohibited, § 110.3(d); § 110.8(d)(2) — candidate’s previous/current campaign committees, § 110.3(c)(4) — collecting agent and separate segregated fund, § 102.6(b) and (c); § 110.3(c)(1) — dual candidate’s campaign committees, § 110.3(c)(5); § 110.8(d)(2) — participants of joint fundraiser, § 102.6(b)(1)(iii); § 102.17(c); § 110.3(c)(2) — party committees of same party, § 102.6(a)(1)(ii); § 110.3(c)(1) Campaign funds, § 110.3(c)(3) and (4); § 113.2(c) For investment purposes, § 103.3(a) For payment of allocated expenses, § 106.6(e); § 106.7(f) See also: ALLOCATION OF EXPENSES; ‘‘LEVIN’’ FUNDS Joint fundraising proceeds, § 102.6(a)(1)(iii); § 102.17(c)(7); § 110.3(c)(2) ‘‘Levin’’ funds, § 300.34, § 300.36(b)(2)(ii) See also: ‘‘LEVIN’’ FUNDS Office account funds, § 113.4 Primary funds to general election campaign, § 110.3(c)(3) Prohibited — between publicly funded campaign committee and affiliated committee of dual candidate, § 110.3(c)(5)(iii)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00477 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) TRANSFER OF FUNDS—Continued Prohibited—Continued — from nonfederal campaign committee to federal campaign committee, § 110.3(d); § 110.8(d)(2) — if transferor has net debts outstanding, § 116.2(c)(2) Registration requirements may be triggered by, § 102.6(a)(2); § 102.17(c)(7)(ii) Reporting requirements for, § 102.6(c)(7); § 102.17(c)(8); § 104.3(a)(4)(iii), (b)(1)(ii), (b)(2)(ii), (b)(3)(ii), and (b)(4)(ii); § 104.10(a)(2) and (b)(3); § 104.17(a)(2) and (b)(2); § 300.36 To allocation account, See: ALLOCATION OF EXPENSES Transfer of campaign assets, § 113.1(g)(3) TRAVEL Advance of money by individual for, § 102.9(b)(2)(i)(B); § 116.5(b) Allocation of expenses — among States, by Presidential candidates, § 106.2(b)(2)(iv) and (v) — campaign/noncampaign, § 106.3 By aircraft, § 100.93 — by House candidates and their leadership PACs, § 100.93(c)(2) — by Senate, Presidential or Vice-Presidential candidates, § 100.93(c)(1) — government conveyances, § 100.93(e) — owned or leased by a candidate or candidate’s immediate family member, § 100.93(g); § 113.5(c) — preemption of state or local laws, § 100.93(h) — public availability of payment rate, § 100.93(f) — recordkeeping, § 100.93(j) By other means of transportation, § 100.93(d) Campaign funds used for, § 113.1(g)(1)(ii)(C) and (D); § 113.2(a)(1); § 113.5 — by House candidates and their leadership PACs, § 113.5(b) — by Presidential, Vice-Presidential and Senate candidates, § 113.5(a) Government conveyance used for, § 100.93(c); § 106.3(e) Non-commercial travel — payment to service providers, § 100.93(c)(3) — permitted with payment by Senate, Presidential or Vice-Presidential candidates, § 100.93(c)(1) — prohibited for House candidates and their leadership PACs, § 100.93(c)(2) Reimbursed, § 116.5(b) Reporting of, § 100.93(i); § 104.13(a); § 106.3(a) and (b); § 116.5(e) Unreimbursed payments for, exempted, § 100.79; § 100.139 TREASURER OF POLITICAL COMMITTEE Assistant treasurer, designation of, § 102.7(a) Custodian of separate segregated fund, § 114.6(d)(5) Duties — accepting contributions/making expenditures, § 102.7(b) — authorizing expenditures, § 102.7(c) — calculating net debts, § 110.1(b)(3)(ii); § 110.2(b)(3)(ii) — depositing receipts, § 103.3(a) — filing documents, § 104.14(d) — handling excessive contributions, § 110.1(k)(3) — handling illegal-appearing contributions, § 103.3(b) — recordkeeping, § 102.9; § 104.7; § 104.14(b) — reporting, § 104.1(a); § 104.7 — retaining records, § 102.9(c); § 104.14(b)(2) and (3) — signing documents, § 104.14(a) Efforts made to — determine contribution’s legality, § 103.3(b)(1) — file reports in a timely manner, § 111.35(b)(3) See also: COMPLIANCE — obtain, maintain and submit required information, § 102.9(d); § 104.7 See also: BEST EFFORTS Forwarding contributions to, § 102.8

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U UNAUTHORIZED COMMITTEE Allocation of expenses, See:ALLOCATION OF EXPENSES Communications on behalf of candidate — coordinated, See: COORDINATION — independent expenditure, § 109.10 — invoking name of candidate, § 102.14(a) and (b)(3) — notice required, § 109.11; § 110.11(b)(3), (c)(4) and (f)(2) See also: COMMUNICATIONS/ADVERTISING; COORDINATION; DISCLAIMER NOTICE; INDEPENDENT EXPENDITURES Contributions to, See: CONTRIBUTIONS Definition, § 100.5(f)(2) Fundraising by, § 102.5(a)(2); § 104.7; § 110.11(a)(3), (b)(3) and (f)(2) See also: BEST EFFORTS; DISCLAIMER NOTICE; FUNDRAISING; NONCONNECTED COMMITTEE; SEPARATE SEGREGATED FUND Internet activities by, See: INTERNET ACTIVITIES Leadership PAC, See: LEADERSHIP PAC Lobbyist/Registrant PAC, § 100.5(e)(7) Multicandidate, See: MULTICANDIDATE COMMITTEE Name of, restrictions, § 102.14(a) Nonconnected, See: NONCONNECTED COMMITTEE Polling results, purchased by, § 106.4(d) See also: LEADERSHIP PAC; LOCAL PARTY COMMITTEE, NATIONAL PARTY COMMITTEE; PARTY COMMITTEE; POLITICAL COMMITTEE; SEPARATE SEGREGATED FUND; STATE PARTY COMMITTEE UNUSED CAMPAIGN FUNDS See: CAMPAIGN FUNDS, USE OF USE OF FUNDS See: CAMPAIGN FUNDS, USE OF; EXPENDITURES

V VENDOR Commercial, See: COMMERCIAL VENDOR Of food/beverage, discount given by, § 100.78; § 100.138; § 114.1(a)(2)(v) See also: CREDITOR; DEBTS VENDOR DISCOUNTS Food and beverage, exempted contribution/expenditure, § 100.78; § 100.138; § 114.1(a)(2)(v) VICE PRESIDENTIAL CANDIDATE See: CANDIDATE FOR PRESIDENT VIOLATION Of contribution/expenditure prohibitions and limitations, § 110.9(a) Prohibited contributions, § 110.4 See also: COMPLIANCE VOLUNTEER ACTIVITY Campaign materials, See: CAMPAIGN MATERIALS Church or community room, § 100.76; § 100.136 Corporate/labor facilities and resources used for, § 114.2(f); § 114.9(a) and (b) Expenditures made by delegate/delegate committee, § 110.14(f)(1) and (i)(1) Food, beverage and invitations, § 100.77; § 100.137

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A ACCOUNTS See: CAMPAIGN DEPOSITORY ADJUSTMENT OF ENTITLEMENT See: ENTITLEMENT; PAYMENTS AGREEMENT Candidate agrees to — accept burden of proof, § 9003.1(b)(1) — comply with Act and regulations, § 9003.1(b)(8) — comply with documentation requirements, § 9003.1(b)(2) — file reports electronically, § 9003.1(b)(11) — furnish computerized records, if kept, § 9003.1(b)(4) — identify depositories, § 9003.1(b)(7) — identify treasurer, § 9003.1(b)(7) — keep books and records, § 9003.1(b)(4) — make repayments, § 9003.1(b)(6) — pay civil penalty, if required, § 9003.1(b)(9) — permit/facilitate audit and examination, § 9003.1(b)(6) — provide explanation/additional information, § 9003.1(b)(3), (4) and (5); § 9012.4 — use closed captioning in television ads, § 9003.1(b)(10) Eligibility for payments requires, § 9003.1(a)(1) Submission dates for, § 9003.1(a)(2) See also: ELIGIBILITY ALLOCATION Alternative methods of determining compliance-related costs, § 9003.3(a)(2)(ii)(F) and (b)(7) Of expenditures among states, § 106.2 Of travel expenditures, § 9004.7 Recordkeeping, § 9003.3(a)(2)(ii)(A) and (3) AUDIT AND EXAMINATION Additional, § 9007.1(a)(2); § 9007.4 Agreement to permit, § 9003.1(b)(6) Committee response to, § 9007.1(c) — extension of time for, § 9007.3 — repayment determination, § 9007.2(a)(2) Computerized records provided for, § 9003.1(b)(4); § 9003.6; § 9007.1(b)(1) Exit Conference, § 9007.1(b)(2)(iii) Fieldwork, § 9007.1(b) — conduct of, § 9007.1(b)(1) — exit conference, § 9007.1(b)(2)(iii) — information provided to committee, § 9007.1(b)(2), (3) and (4) — records, office and staff provided for, § 9007.1(b)(1) — settlement of dispute arising during, § 9007.1(b)(1)(iv) Investigative procedures, § 9007.1(b)(1)(v) Preliminary audit report, § 9007.1(c) Report, prepared by FEC, § 9007.1(d)-(f) — copy to committee, § 9007.1(e)(3) — copy to public, § 9007.1(d)(2) and (e) (1) and (2)

* This index makes occasional reference to parts 100-116 of 11 CFR, governing Federal election financing.

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C CAMPAIGN DEPOSITORY Candidate agreement, § 9003.1(b)(7) Compliance fund, major party candidate, § 9003.3(a)(3) Individuals’ contributions, depository for, § 9003.2(c)(6); § 9003.3(a)(3), (b)(2) and (c)(3); § 9003.4(c); § 9005.2(c) Loans for expenses incurred prior to receipt of funds, § 9003.4(c) Minor or new party candidates, § 9003.3(c)(3) Pledged future receipts, separate, § 100.82(e)(2); § 100.142(e)(2) Public funds, depository for, § 9005.2(c) Segregation of compliance and public funds, § 9003.3(a)(3)(i) CANDIDATE Agreements, § 9003.1 See also: AGREEMENT Authorized committee of, See: AUTHORIZED COMMITTEE Certification by, § 9003.2 See also: CERTIFICATION Compliance, § 9003.1(b)(8) Credit card used by, § 9003.2(c)(8) Definition, § 9002.2 Eligible, defined, § 9002.4 See also: ELIGIBILITY Entitlement of, See: ENTITLEMENT Family of, § 9003.2(c)(1) Independent, § 9002.7 Major party candidate — certification of, § 9003.2(a) — definition of, § 9002.2(a)(1) — entitlement of, § 9004.1 Minor party candidate — certification of, § 9003.2(b) — definition of, § 9002.7 — entitlement of, § 9004.2; § 9004.3 New party candidate — certification of, § 9003.2(b) — definition of, § 9002.8 — entitlement of, § 9004.2 — post-election payments to, § 9004.3 Payments to, § 9004.4(b)(6) Personal funds of, § 9003.2(c)

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D DEBTS AND SETTLEMENTS Assignment of, to affiliated committee, § 116.2(c)(3)

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E ELECTION Expenditure report period for, § 9002.12 Party status defined by results of — major, § 9002.6 — minor, § 9002.7 — new, § 9002.8 Post-election payments based on result of — minor/new party candidate, § 9004.3

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G GELAC FUND See: LEGAL AND ACCOUNTING COMPLIANCE FUND (GELAC FUND) GENERAL ELECTION See: ELECTION GOVERNMENT CONTRACTOR Contributions from, prohibited, § 9003.3(a)(1)(i)(B), (b)(4) and (c)(2)

I INVESTMENT OF PUBLIC FUNDS Permissible, § 9004.5 Repayment of income/loss resulting from, § 9004.5; § 9007.2(b)(4)

L LABOR ORGANIZATION Contributions from, prohibited, § 9003.3(a)(1)(i)(B), (b)(4) and (c)(2) LEGAL AND ACCOUNTING COMPLIANCE FUND (GELAC FUND) Contributions to, § 9003.3(a)(1) — designation of contributions for, § 9003.3(a)(1)(i)(C) and (vi) — redesignation of contributions to, § 9003.3(a)(1)(ii)-(v) — subject to limitations and prohibitions, § 9003.3(a)(1)(i)(B) Establishment of, prior to nomination, § 9003.3(a)(1)(i) Expenditures from, exempt from limitations, § 9003.3(a)(2)(iii) Recordkeeping, § 9003.3(a)(3)(ii) Reporting, § 9003.3(a)(3)(ii); § 9006.1(b)(2) Separate account required for, § 9003.3(a)(3)(i) Solicitations for, § 9003.3(a)(1)(i)(A) and (2)(i)(E) Transfers into GELAC fund, § 9003.3(a)(1)(ii)-(v) Uses of funds in — administrative expenses, § 9003.3(a)(2)(i)(B) and (ii) — civil and criminal penalties, payment of, § 9003.3(b)(2)(i)(C) — computer costs, § 9003.3(a)(2)(ii)(D) and (E) — defraying expenses incurred prior to expenditure report period, § 9003.4(a)(2) — legal and accounting services, § 9003.3(a)(2)(i)(A) and (B) — repayments, § 9003.3(a)(2)(i)(D) — transfers to other accounts, § 9003.3(a)(2)(iv) — transportation and services for Secret Service, § 9003.3(a)(2)(i)(H) LOANS Incurred for qualified campaign expenses, § 9003.4(b) Public funds used to repay, § 9004.4(a)(2) Repayment of, § 9003.4(b) Source of — banks, § 9003.4(b)(1) — excess primary campaign funds, § 9003.4(b)(4)(i) — legal and accounting compliance fund, § 9003.3(a)(2)(i)(G) and (iii) — personal funds, § 9003.4(a)(5)

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N NATIONAL PARTY COMMITTEE Convention expenses in excess of entitlement, § 9012.1(b) Designated as candidate’s principal campaign committee, § 9002.1(c) Expenditure limitations, § 109.32(a) Kickbacks given or accepted by, § 9012.5 NET OUTSTANDING QUALIFIED CAMPAIGN EXPENSES Assets included in computation of, § 9004.9(d); § 9007.2(g) Collectability of accounts receivable, § 9004.9(e) Commission review of statement, § 9004.9(f) Computation of, § 9004.9(a) and (d) Date for filing statement of — all candidates, § 9004.9(b) — candidates who withdraw prior to election, § 9004.8(b)(2); § 9004.9(c) Determines post-election funding, § 9004.9(f)(2); § 9005.1(c) Exemptions from outstanding obligations, § 9004.9(a)(3) Statement of, required, § 9004.9 Winding down costs included, § 9004.9(a)(1)(iii) See also: PAYMENTS; REPAYMENTS NEW PARTY Candidate adherence to limitations on — contributions, § 9003.2(b)(2) — expenditures, § 9003.2(b)(1) Definition, § 9002.8 Entitlement, § 9004.2; § 9004.3 Reports, § 9006.1 NONQUALIFIED CAMPAIGN EXPENSES See: EXPENDITURES NOTIFICATIONS By candidate to FEC concerning — disputed initial determination, § 9005.1(b)(2) and (c)(4) — disputed repayment, § 9007.2(c) — extension of time, request for, § 9007.3 — newly discovered assets, § 9007.2(g) — post-election entitlement, § 9004.9(f)(2) — stale-dated committee checks, § 9007.6 — withdrawal of candidacy, § 9004.8(b)(2) By FEC to candidate concerning — additional repayment, § 9007.2(f)

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P PARTY See: MAJOR PARTY; MINOR PARTY; NATIONAL PARTY COMMITTEE; NEW PARTY PAYMENTS Audit may affect, § 9007.1 Campaign depository for — major party candidate, must be separate, § 9005.2(c) — minor party candidate, § 9003.3(c)(3) Deficiency in, See: DEFICIENCY IN FUND Eligibility for, certification by FEC of, § 9003.1(a)(1) — major party candidate, § 9003.2(a) — minor/new party candidate, § 9003.2(b) Entitlement to funds — major party candidate, § 9004.1 — minor/new party candidate, § 9004.2; § 9004.3 See also: ENTITLEMENT FEC certification to Secretary of Treasury, § 9005.2(a) Future, used as loan collateral, § 100.82(e)(2); § 100.142(e)(2) Investment of, § 9004.5; § 9007.2(b)(4) Secretary of Treasury makes, § 9005.2(a) and (b) Unlawful use of, § 9012.3 Use of, examples of qualified campaign expenses and non-qualified campaign expenses, § 9004.4(a) Withheld, if deficiency in fund, § 9005.2(b) See also: QUALIFIED CAMPAIGN EXPENSES; REPAYMENTS PERSONAL FUNDS Definition, § 9003.2(c)(3) Expended prior to expenditure report period, § 9003.4(b)(5) Expenditures from, by Vice Presidential candidate, § 9003.2(c)(4) Liability for repayments, § 9003.2(c)(7) Limitations on, § 9003.2(c) Reporting of, § 9006.1(b)(1)(iv) Source of repayment, § 9007.2(a)(4) POLITICAL COMMITTEE Definition, § 9002.9 See also: AUTHORIZED COMMITTEE POST-ELECTION PAYMENTS See: ENTITLEMENT; PAYMENTS PRESIDENTIAL ELECTION CAMPAIGN FUND See: PAYMENTS; SECRETARY OF THE TREASURY PRINCIPAL CAMPAIGN COMMITTEE See: AUTHORIZED COMMITTEE PUBLIC FUNDS See: ENTITLEMENT; PAYMENTS; REPAYMENTS; USE OF FUNDS

Q QUALIFIED CAMPAIGN EXPENSES Authorized committees incur, § 9002.1; § 9002.11(b) Burden of proof on candidate, § 9003.1(b)(1); § 9003.5(a) Certification not to exceed limitations on — major party candidate, § 9003.2(a) — minor party candidate, § 9003.2(b)

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R RECORDKEEPING Candidate agreement, § 9003.1(b)(4) Capital and other assets, § 9003.5(d) Computerized records, production of, § 9003.1(b)(4); § 9003.6 Documentation requirements — candidate and committee agreements, § 9003.1(b) — collectability of accounts receivable, § 9004.9(e) — computer tapes, § 9003.1(b)(4) — disbursements, § 9003.5 — other organizations related to candidate, § 9003.1(b)(5) Falsification in, § 9012.4 Legal/accounting compliance fund, § 9003.3(a)(3) and (c)(4) Production of computer tapes and software, § 9003.1(b)(4) Qualified campaign expenses, § 9003.1(b); § 9003.3(b)(2); § 9003.5 Retention of records, § 9003.5(c) REIMBURSEMENTS For travel by media personnel, § 9004.6 In computing qualified campaign expenses, § 9002.11(b)(4) May be deposited with public funds, § 9005.3(d) REPAYMENTS Additional, § 9007.2(f)

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S SECRETARY OF THE TREASURY Definition, § 9002.14 FEC certification to, § 9005.1 Payment to candidate, § 9005.2(a) Repayment to Treasury, See: REPAYMENTS SETTLEMENTS See: DEBTS AND SETTLEMENTS

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T TRANSFERS From GELAC fund to primary election account, § 9003.3(a)(2)(iv) From primary election account to GELAC fund, § 9003.3(a)(1)(ii)-(v) Loans to general election account — from GELAC fund, § 9003.3(a)(2)(i)(G), (a)(2)(iii) and (b)(3); § 9003.4(b)(2) — from primary election account, § 9003.3(b)(3); § 9003.4(b)(4) To campaign for different election, § 110.3(c)(4) and (5); § 9004.4(b)(7) TRAVEL Allocation of expenditures for, § 9004.7 Commercial transportation used for, § 9004.7 Computing campaign- and noncampaign-related costs, § 9004.7(b)(1) and (2) Corporate conveyance used, § 9004.7(b)(8) Government conveyance used, § 9004.7(b)(4) and (5) Itinerary required, § 9004.7(b)(3) Media personnel, transportation and services provided to, § 9004.6 Passenger list required, § 9004.7(b)(4) Qualified campaign expense for campaign-related, § 9004.7(a) Reimbursement to government, § 9004.7(b)(5) Reporting of, § 9004.6(c); § 9004.7 Secret Service, costs of, § 9003.3(a)(2)(i)(H); § 9004.6 Spouse or family, costs for, § 9004.7(b)(6) Staff’s costs, § 9004.7(a)

U UNAUTHORIZED COMMITTEE Contributions and expenditures by, § 9012.6 USE OF FUNDS Contributions from individuals, uses for — make up deficiency in payments, § 9003.3(b)(1) — may not pay primary debt, § 9003.3(a)(2)(iv) — must be segregated from public funds, § 9003.3(a)(3) — legal and accounting compliance costs, § 9003.3(a) Legal and accounting compliance fund, uses of, § 9003.3(a)(2) — See also: LEGAL AND ACCOUNTING COMPLIANCE FUND (GELAC FUND) Public funds used by candidate — control over, § 9005.3(a) — defray qualified campaign expenses, § 9004.4(a)(1) — gifts and bonuses, § 9004.4(a)(6) — investment, § 9004.5; § 9007.2(a)(6) — loan repayment, § 9004.4(a)(2) — support other candidates, § 9002.11(b)(3) — transfer to previous campaign, § 9004.4(b)(7) — winding down costs, § 9004.4(a)(4) See also: QUALIFIED CAMPAIGN EXPENSES

V VICE PRESIDENTIAL CANDIDATE See: CANDIDATE

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A ACCOUNTS Maintained by convention committee — for deposit of private and public funds, § 9008.3(a)(4)(iii); § 9008.6(a)(3) — limitation on payments from, § 9008.4(c) — records for, furnished when requested by FEC, § 9008.10(f) ADMINISTRATIVE EXPENSES Host committee’s, defrayed by contributions, § 9008.52(b)(4)(iv) National committee’s, defrayed by public funds, § 9008.7(a)(4)(x) AGREEMENTS By convention committee, letter of agreement, § 9008.3(a)(1) and (4) — binding also for national committee, § 9008.3(a)(4) — date for filing, § 9008.3(a)(5) — to comply with expenditure limitations, § 9008.3(a)(4)(i) — to comply with Federal Election Campaign Act and FEC regulations, § 9008.3(a)(4)(vii) — to establish accounts, § 9008.3(a)(4)(iii) — to file convention reports, § 9008.3(a)(4)(ii) — to furnish books, records and computerized information, § 9008.3(a)(4)(v) — to make repayments, § 9008.3(a)(4)(vi) — to pay civil penalties, § 9008.3(a)(4)(viii) — to permit audits and examinations, § 9008.3(a)(4)(vi) By national committee, application statement, § 9008.3(a)(1) and (3) AUDITS AND EXAMINATIONS Additional, § 9008.13 Agreement to permit, § 9008.3(a)(4)(vi) Computerized information required, § 9008.10(h) Conducted by FEC, § 9008.11; § 9008.13; § 9008.54 Documentation of disbursements, § 9008.10 See also: DOCUMENTATION Of — convention committee, § 9008.11; § 9008.13 — host committee, § 9008.13; § 9008.54 Repayments based on findings of, § 9008.12(a)(1)

B BANKS May not donate to municipal funds, § 9008.53(a) May not donate to host committee, § 9008.52(a) May provide items of de minimis value, § 9008.9(c) See also: ACCOUNTS

C CANDIDATE Expenditure by, to attend convention, excepted from expenditure limitation, § 9008.8(b)(3) Expenses of, may not be defrayed by convention funds, § 9008.7(b)(1)

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D DEFINITIONS Capital asset, § 9008.10(g)(4) Commission, § 9008.2(a) Convention, § 9008.2(g) Convention committee, § 9008.3(a)(2) Convention expenses, § 9008.7(a)(4) Fund, § 9008.2(b) Host committee, § 9008.50(b) Major party, § 9008.2(c) Minor party, § 9008.2(d) Municipal fund, § 9008.50(c) National committee, § 9008.2(e) New party, § 9008.2(f) Nominating convention, § 9008.2(g) Other asset, § 9008.10(g)(5) Payee, § 9008.10(c) Purpose, § 9008.10(d) Secretary, § 9008.2(h) Winding down costs, § 9008.10(g)(7) DELEGATES Convention expenses paid by public funds, prohibited, § 9008.7(b)(1) Personal funds of, used to attend convention, § 9008.8(b)(3) DISBURSEMENT See: DOCUMENTATION; EXPENDITURES DOCUMENTATION Connection of expense to convention explained, § 9008.10(e) Net outstanding convention expenses, statement of, § 9008.10(g) See also: NET OUTSTANDING CONVENTION EXPENSES Of disbursements, § 9008.10 Payee, defined, § 9008.10(c) Production of computerized information, § 9008.10(h) — information to be provided, § 9008.10(h)(1) and (4) — organization of, § 9008.10(h)(3) — time for, § 9008.10(h)(2) Purpose, defined, § 9008.10(d) Required for — disbursements aggregating over $200 to a payee, § 9008.10(a) — smaller disbursements, § 9008.10(b) Retention of records, § 9008.10(f)

E ELIGIBILITY Convention committee, required, § 9008.3(a)(2) Requirements for, § 9008.3(a) — application statement, § 9008.3(a)(3) and (5) — establishment of convention committee, § 9008.3(a)(2) — letter of agreement filed by convention committee, § 9008.3(a)(4) See also: AGREEMENTS; ENTITLEMENT ENTITLEMENT Acceptance of payment, § 9008.6(a)

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F FEDERAL ELECTION COMMISSION Authorization by, to exceed expenditure limitation, § 9008.8(a)(3) Certification by, to Secretary of Treasury, § 9008.6(d) Definition, § 9008.2(a) Examinations and audits conducted by, § 9008.11; § 9008.13; § 9008.54 See also: AUDITS AND EXAMINATIONS Repayments — notification by, to national committee, § 9008.12(a)(2) — petitions for rehearing, § 9008.14 See also: REPAYMENTS FUNDS See: ENTITLEMENT; PAYMENTS; USE OF FUNDS

G GOVERNMENT AGENCY Expenditures by, not considered expenditure subject to limit, § 9008.8(b)(2) Federal Election Commission, See: FEDERAL ELECTION COMMISSION

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H HOST COMMITTEE Audit of, required, § 9008.54 Contributions to — from businesses and organizations, § 9008.52(b) — from commercial vendors, § 9008.9; § 9008.52(a) — from individuals, § 9008.52(b) Definition, § 9008.50(b) Expenditures by, not subject to limit, § 9008.8(b)(1) Funding for, § 9008.55 Funds, use of, § 9008.52(b) Registration of, § 9008.50; § 9008.51(a) Reporting by, § 9008.50; § 9008.51(b)

I INVESTMENT OF PUBLIC FUNDS Documentation required, § 9008.10(g)(2)(i) Permitted if income defrays convention expenses, § 9008.7(a)(5) Repayment of investment income, § 9008.7(b)(6)

L LEGAL AND ACCOUNTING SERVICES Paid for by employer, exception to expenditure limitation, § 9008.8(b)(4)(i) Paid for by national committee, exception to expenditure limitation, § 9008.8(b)(4)(ii) Reporting of, § 9008.8(b)(4)(iii) LOANS Included in statement of net outstanding convention expenses, § 9008.10(g)(1)(i) Other assets used as collateral for, § 9008.10(g)(5) Repayment of, with public funds, § 9008.7(a)(2) and (4)(xi)

M MAJOR PARTY Definition, § 9008.2(c) Entitlement to payments, § 9008.1(a); § 9008.4(a) See also: ENTITLEMENT Establishment of convention committee, § 9008.3(a)(2) Expenditure limitations, § 9008.8(a)(1) Private contributions to, § 9008.3(a)(2); § 9008.6(a)(2) and (3) Procedures for qualifying for payments, § 9008.3(a) MINOR PARTY Definition, § 9008.2(d) Entitlement to payments, § 9008.1(a); § 9008.4(b) See also: ENTITLEMENT Establishment of convention committee, § 9008.3(a)(2) Expenditure limitations, § 9008.8(a)(2) Private contributions to, § 9008.3(a)(2); § 9008.6(a)(2) and (3) Procedures for qualifying for payments, § 9008.3(a) MUNICIPAL FUND Contributions to — from businesses and organizations, § 9008.53(b) — from commercial vendors, § 9008.9; § 9008.53(a) — from individuals, § 9008.53(b) Definition, § 9008.50(c) Expenditures by, not subject to limit, § 9008.8(b)(2)

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N NATIONAL COMMITTEE Convention committee established by, § 9008.3(a)(2) See also: CONVENTION COMMITTEE Definition, § 9008.2(e) Eligibility for public funds, § 9008.3(a) See also: ELIGIBILITY Entitlement to public funds, § 9008.1(a); § 9008.4(a) See also: ENTITLEMENT Expenditures by, See: EXPENDITURES Payments to, § 9008.6(a)(1) See also: PAYMENTS Repayments by, § 9008.12(a)(1) and (5) See also: REPAYMENTS Use of public funds by — permissible uses, § 9008.7(a) — prohibited uses, § 9008.7(b) See also: USE OF FUNDS NET OUTSTANDING CONVENTION EXPENSES Capital asset, defined, § 9008.10(g)(4) Determination that debt is not collectible, § 9008.10(g)(6) Other assets, defined, § 9008.10(g)(5) Statement of — certain debts not included in, § 9008.10(g)(3) — filed by convention committee, § 9008.10(g) — review of, § 9008.10(g)(8) — when filed, § 9008.10(g) Winding down costs, defined, § 9008.10(g)(7) NEW PARTY Definition, § 9008.2(f) Not entitled to public funds, § 9008.1(a) NOMINATING CONVENTION Committee established for, § 9008.3(a)(2) See also: CONVENTION COMMITTEE Definition, § 9008.2(g) Expenditure limitations, See: EXPENDITURES Use of funds for, § 9008.7 See also: USE OF FUNDS

P PARTY See: MAJOR PARTY; MINOR PARTY; NATIONAL COMMITTEE; NEW PARTY PAYMENTS Acceptance of, § 9008.6(a)(1) and (2) Application for, § 9008.3(a)(1) and (3) Bank depository for, § 9008.3(a)(4)(iii); § 9008.6(a)(3) Certification by Commission to Secretary of Treasury, § 9008.6(d) Convention committee receives, § 9008.3(a)(2); § 9008.6(a)(3) Date for receiving, § 9008.6(c) Eligibility for, § 9008.3(a) See also: ELIGIBILITY Entitlement of national committee to, § 9008.1(a); § 9008.4; § 9008.5 See also: ENTITLEMENT

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R RECORDKEEPING See: DOCUMENTATION REGISTRATION Convention committee, § 9008.3(b)(1)(i) and (ii) Government agency , § 9008.51(c) Host committees, § 9008.51(a) Municipal Funds, § 9008.51(a) Political party committees, § 9008.3(b) REPAYMENTS Bases for requiring, § 9008.12(b) — excess payments, § 9008.12(b)(1) — excessive contributions, § 9008.12(b)(3) — excessive expenditures, § 9008.12(b)(2) — improper contribution to/expenditure by host committee, government agency or municipal fund, § 9008.12(b)(7) — improper usage or documentation, § 9008.12(b)(4) — investment income, § 9008.12(b)(6) — unspent funds, § 9008.12(b)(5) Committee agreement to make, § 9008.3(a)(4)(vi) Extensions of time, § 9008.15 Notification by FEC of need for, § 9008.12(a)(2) and (3) Payable to U.S. Treasury, § 9008.12(a)(1) Petitions for rehearing determinations, § 9008.14 Stale-dated committee checks, § 9008.16 Unspent funds — date for making final repayment, § 9008.12(b)(5)(iii) — must be repaid, § 9008.12(b)(5)(i) — refunded, but later needed to defray expenses, § 9008.12(b)(5)(ii) REPORTING By convention committee, § 107.1 — agreement to file reports, § 9008.3(a)(4)(ii) — post-convention report, § 9008.3(b)(2)(ii) — quarterly reports, § 9008.3(b)(2)(i) — registration, § 107.1; § 9008.3(b)(1) By government agencies, § 9008.51(c) — not required for unsuccessful attempts to attract a convention, § 9008.50 — post-convention statement required, § 9008.51(c) By host committees, § 107.2; § 9008.50; § 9008.51(b) — post-convention report by, § 9008.51(b)(1) — quarterly reporting by, § 9008.51(b)(2) — registration by, § 107.2; § 9008.51(a) By municipal funds , § 107.2; § 9008.50; § 9008.51 — not required for unsuccessful attempts to attract a convention, § 9008.50 By political parties, § 9008.3(b)

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S SECRETARY OF TREASURY Definition, § 9008.2(h) FEC certifications to, for payment of entitlement, § 9008.6(d) Repayments made to, § 9008.12(a)(1)

U USE OF FUNDS By — convention committee, § 9008.7 — host committee, § 9008.52(b) — national committee, § 9008.7 Investment of funds, § 9008.7(a)(5) Permissible uses of public funds — biographical film about Presidential candidate, § 9008.7(a)(4)(xiii) — convention-related expenses, § 9008.7(a)(4)(i)-(x) — gifts and bonuses, § 9008.7(a)(4)(xii) — investment of funds, § 9008.7(a)(5) — repayment of loans and interest, § 9008.7(a)(4)(xi) Private contributions used by national committee, § 9008.6(a)(2) and (3) Prohibited uses of public funds — candidate’s convention expenses, § 9008.7(b)(1) — civil or criminal penalties, § 9008.7(b)(3) — delegate’s convention expenses, § 9008.7(b)(1) — expenses violating State or federal law, § 9008.7(b)(2) — lost, misplaced or stolen items, § 9008.7(c)

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A ACCOUNTS Matching payment account maintained by U.S. Treasury — definition of, § 9032.5 — equal distribution of funds from, § 9037.2 — repayment of funds from, § 9038.2 — transfer of funds from, § 9037.1 Special account maintained by principal campaign committee — deposit of matching funds into, § 9037.3 — designation of, § 9033.1(b)(8) — matching funds no longer contained, § 9038.2(b)(2)(iv) — source of repayment, § 9034.4(c) AGREEMENTS Candidate must agree to — adhere to campaign expenditure limitation, § 9035.1(a) — adhere to personal funds limitation, § 9035.2 — comply with agreements, § 9033.1(a) — comply with documentation requirements, § 9033.1(b) — comply with Title 2 and Regulations governing, § 9033.1(b)(10) — file reports electronically, § 9033.1(b)(13) — furnish information on other candidate organizations, § 9033.1(b)(6) — gather books and records in centralized location, § 9033.1(b)(7) — keep and furnish books, computer tapes and records, § 9033.1(b)(5); § 9033.11(c) — make repayments, § 9033.1(b)(7) — obtain and furnish evidence of qualified expenses, § 9033.1(b)(1) — pay civil penalties, § 9033.1(b)(11) — permit audits and examinations, § 9033.1(b)(7) — prepare submissions in good order, § 9033.1(b)(9) — use closed captioning in television ads, § 9033.1(b)(12) Date for submitting, § 9033.2(a)(1) Eligibility contingent upon, § 9033.1(a) Failure to comply with disclosure requirements, § 9033.9 Joint fundraising, § 9034.8(c)(1) ALLOCATION Among states, § 106.2; § 110.8(c) Categories of, § 106.2(b) — administrative costs, § 106.2(b)(2)(iii) — mass mailings, § 106.2(b)(2)(ii) — media, § 106.2(b)(2)(i) — methods for, § 106.2(b) — overhead expenditures of state/regional offices, § 106.2(b)(2)(iii)(A) and (B) — polling, § 106.2(b)(2)(v) — recordkeeping, § 106.2(d) — reporting, § 106.2(c) — telephone programs targeted to State, § 106.2(b)(2)(iv) — testing-the-waters, § 106.2(a)(2) Disputed by Commission, § 106.2(a)(1)

* This index makes occasional reference to parts 100-116 of 11 CFR, governing Federal election financing.

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C CAMPAIGN DEPOSITORY Agreement to furnish records of, § 9033.1(b)(4), (5) and (8) Change in, § 9033.1(b)(8) Deposit of contribution required before matching, § 9034.2(a)(3) Documentation of, for threshold submission, § 9036.1(b) Funds deposited into, § 9037.3 Joint fundraising, separate account for, § 9034.8(c)(4) Vice Presidential candidate’s, § 103.4 See also: ACCOUNTS; RECORDS; 11 CFR PART 103 CANDIDATES Active candidacy, § 9033.7 Agreements by, § 9033.1 See also: AGREEMENTS Appeals, See: APPEALS BY CANDIDATE COMMITTEE Authorization — of person who makes qualified campaign expenditures, § 9032.9(b) — of political committee, § 9032.1 — See also: AUTHORIZED COMMITTEE Certifications, § 9033.2 See also: CERTIFICATIONS Continuation of certifications, § 9036.6 Contributions to, See: CONTRIBUTIONS Definition of, § 9032.2 Deposit of funds by, § 9037.3 Eligibility for matching funds — initial, § 9033.4 — reestablishment of, § 9033.8 See also: ELIGIBILITY Entitlement, § 9034.1 See also: ENTITLEMENT Expenditure limitations, See: EXPENDITURES Immediate family of, § 9035.2(b) Inactive candidacy, § 9033.5(a); § 9033.6 Ineligibility for matching funds, § 9033.3; § 9033.5; § 9033.6 See also: ELIGIBILITY Net outstanding campaign obligation of, § 9033.10(a)(6); § 9034.5

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D DEBIT CARDS Contributions by, § 9034.2(b) and (c); § 9036.1(b)(7); § 9036.2(b)(1)(iii) DEBTS AND SETTLEMENTS Amount charged against expenditure limits, § 9035.1(a)(2) Assignment of, to affiliated committee, § 116.2(c)(3) Collectibility of accounts receivable, § 9034.5(d) Extinguishing through reallocation, § 9034.8(c)(7)(ii) Not a basis for entitlement, § 9034.5(b)(1) Settlement of bona fide dispute, § 9035.1(a)(2) Settlement, repayment obligations not subject to, § 116.7(c)(1) DEFINITIONS Administrative costs, § 9034.6(c)(2) Authorized committee § 9032.1 Candidacy, § 9032.2; § 9033.6; § 9033.7 Candidate, § 9032.2 Capital assets, § 9034.5(c)(1)

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E ELECTION Contributions, See: CONTRIBUTIONS Definition, § 9032.7 Participation/performance in, as factor for determining eligibility, § 9033.5(b); § 9033.8(b) ELIGIBILITY Candidate agreements, § 9033.1 See also: AGREEMENTS

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00507 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) EXPENDITURES—Continued Limitations, § 110.8; § 9035.1—Continued — full debt charged against, § 9035.1(a)(2) — made using a credit card, § 9035.2(a)(2) — voting age population used to determine, § 110.8(a)(3) Made by ineligible candidate, § 9033.8(c) Made by party, § 110.8(e) Made on behalf of a candidate, § 9032.1; § 9032.9(b) Made on behalf of Vice Presidential candidate, § 110.8(f)(1) and (g) Media, transportation and services, expenses for, § 9034.6 See also: MEDIA Nonqualified expenses — civil or criminal penalty, § 9034.4(b)(4) — continuing campaign after ineligibility, § 9034.4(a)(3) and (b)(3) — excess of limitations, § 9034.4(b)(2) — expenses incurred after date of ineligibility, § 9034.4(b)(3) — expenses incurred for goods and services received after ineligibility, § 9034.4(b)(3) — expenses insufficiently documented, § 9034.4(b)(7) — general election expenses, § 9034.4(b)(3) and (e) — lost, misplaced or stolen items, § 9034.4(b)(8) — payments to candidate, § 9034.4(b)(5) — seeking of repayment for, § 9038.2(b)(2)(iii) Polling, allocation of, § 106.4; § 9034.4(e)(2) Pre-candidacy payments by multicandidate committees,§ 9034.10 Qualified campaign expenses, See: QUALIFIED CAMPAIGN EXPENSES Starting date of review of expenditures, § 9038.2(b)(2)(iii)(B) Transfers to other campaigns, § 9034.4(d)

F FILING Dates, § 104.5(b) Electronic, required, § 104.18 Places of, § 105.3; § 108.2 FUNDRAISING Allocation of expenditures made for, § 106.2(b); § 110.8(c) By candidates in both primary and general, § 9034.4(e)(6) ‘‘Donative intent’’ required for matching contributions, § 9034.3(i) Entertainment, purchase price of, § 9034.2(c)(5) ‘‘Essentially political’’ activity, admission price for, § 9034.2(c)(6) Expenditures exempted from State allocation, § 110.8(c)(2); § 9035.1(c) Joint, See: JOINT FUNDRAISING Sale of assets for, § 9034.9 Sale of lottery/raffle tickets, § 9034.3(h)

G GOVERNMENT CONTRACTORS Contributions from, nonmatchable, § 9034.3(d) and (f) Contributions from, prohibited, § 115.2(a)

H HEARINGS See: APPEALS

I INACTIVE CANDIDACY Candidate shall notify FEC, § 9033.5(a)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00508 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, Primary Election Financing INACTIVE CANDIDACY—Continued Criteria determination, § 9033.6(a) and (b) See also: CANDIDATE INELIGIBILITY Appeal of FEC determination, § 9033.3(b) Date of, § 9033.5 Expenses — incurred during, § 9033.8(c) — post-ineligibility, § 9034.4(a)(3) and (b)(3) For exceeding expenditure limitations, § 9033.3 Inactive candidacy, § 9033.6 Net outstanding campaign obligation after, § 9034.1(a) and (b); § 9034.5 See also: ELIGIBILITY INTERNET Contributions made over, § 9034.2(b) and (c); § 9036.1(b)(7); 9036.2(b)(1)(vii) INVESTIGATIONS See: AUDITS

J JOINT FUNDRAISING Aggregate contribution to, § 9034.8(c)(6) and (7) Agreement required, § 9034.8(c)(1) Allocation of contributions, § 9034.8(c)(7) Committee/representative/agent for, § 9034.8(b) Contribution limitations, § 9034.8(c)(6) and (7) Depository for receipts from, separate, § 9034.8(c)(4) Disbursements, reporting of, § 9034.8(c)(9)(ii) Exemptions from allocation, § 9034.8(c)(7) Expenditure exemption for, § 9035.1(c) Expenses, allocation of, § 9034.8(c)(8) Expenses from series, allocation of, § 9034.8(c)(8)(i)(C) Formula for allocation, § 9034.8(c)(1) Funds advanced for start-up costs, § 9034.8(c)(2) Notice required for solicitations, § 9034.8(c)(3) Procedures for, § 9034.8(c) Proceeds, allocation of, § 9034.8(c)(7) Receipts from, submitted for matching payments, § 9034.2(c)(7); § 9034.8(a)(2)(i) and (c)(7) Recordkeeping requirements, § 9034.8(c)(5) and (9) Representative — duties, § 9034.8(c)(5) — participant as, § 9034.8(b)(3) — selection of, § 9034.8(b) — separate committee as, § 9034.8(b)(1) and (2) Sale of assets acquired for, § 9034.9 Use of contributions received from, § 9034.8(a)(2)

L LABOR ORGANIZATION Contributions from union account, nonmatchable, § 9034.3(d) and (f) Contributions from union account, prohibited, § 114.2(a) LOANS Future matching payments as collateral, § 100.82(e)(2); § 100.142(e)(2) Not matchable, § 9034.3(b) Public funds may be used to repay, § 9034.4(a)(1)

M MATCHABLE CAMPAIGN CONTRIBUTIONS Additional submissions for, § 9036.2

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00509 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) MATCHABLE CAMPAIGN CONTRIBUTIONS—Continued Candidate satisfies requirements for, § 9036.1(c) Credit or debit cards, contributions by, § 9034.2(b) and (c); § 9036.1(b)(7); § 9036.2(b)(1)(iii) Definition of, § 9034.2; § 9034.3 Documentation required for matching payments, § 9034.2(c); § 9036.1(b); § 9036.2(b) Eligibility for, See: ELIGIBILITY Examples of, § 9034.2(c) — attributed to more than one person, § 9034.2(c)(1) — check drawn on escrow or trust account, § 9034.2(c)(2) — check drawn on joint checking account, § 9034.2(c)(1) — from joint fundraising activity, § 9034.2(c)(7) — negotiable instruments, § 9034.2(c)(4) — ticket purchases, § 9034.2(c)(5) and (6) — written on accounts of unincorporated associations, § 9034.2(c)(3) First submission after threshold, contents of, § 9036.2(b) For ‘‘essentially political event,’’ § 9034.2(c)(6) Ineligibility for, See: INELIGIBILITY Insufficient documentation of, § 9036.3 Joint fundraising receipts, § 9034.8(a)(2) and (c)(6) Must comply with Guideline for Presentation in Good Order, § 9036.1(b)(8); § 9036.2(b) Reattributed, § 9034.2(c)(1)(iii) Received after reestablishment of active candidacy, § 9034.1(c) Repayment of amounts in excess of entitlement, § 9038.2(b)(1)(ii) and (iii) Requirements, § 9034.2(a) Threshold submissions, § 9036.1 See also: CONTRIBUTIONS; SUBMISSIONS MATCHING PAYMENT ACCOUNT Definition, § 9032.5 Matching funds no longer contained, § 9038.2(b)(2)(iii)(B) Source of repayments, § 9034.4(c) See also: ACCOUNTS; PAYMENTS MATCHING PAYMENT PERIOD Audits after close of, § 9038.1 Definition of, § 9032.6 End of, § 9033.5(c) Payment of matching funds begins with, § 9036.1(c); § 9037.1 See also: PAYMENTS MEDIA Costs — allocated among States, § 106.2(b)(2)(i) — attribution to primary or general, § 9034.4(e)(5) Personnel, transportation and services provided to, § 9034.6 Production costs, not allocated, § 106.2(b)(2)(i)(F) Reporting of reimbursement, § 9034.6(e)

N NET OUTSTANDING CAMPAIGN OBLIGATIONS (NOCO) Considered in FEC determination, § 9033.10(a)(6) Explanation of revisions, § 9034.5(f)(2) Items not included on statement, § 9034.5(b)(1) Matching funds to defray, § 9034.1(b) Payments made on basis of debts, § 9038.2(b)(1) Revised statement in event of shortfall, § 9034.5(f)(3) Statement contents, § 9034.5(a), (b), (c) and (f) Submission of statement(s), § 9034.5(a) and (f) Valuation of assets, § 9034.5(g) Winding down costs included, § 9034.5(b)(2)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00510 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, Primary Election Financing NONMATCHABLE CONTRIBUTIONS See: CONTRIBUTIONS NOTIFICATIONS By candidate to FEC concerning — authorization of committee, § 9032.2(d) — candidate agreements, § 9033.1 — depository, § 9033.1(b)(8) — disputed ineligibility determination, § 9033.3(b) — disputed repayment, § 9038.2(c)(2) and (h); § 9038.5 — disputed resubmission, § 9036.5(e) — explanation of expenditures, § 9033.1(b)(3) — extension of repayment period, § 9038.2(d) — identification of person entitled to receive matching funds, § 9033.1(b)(8) — inactive candidacy, § 9033.5(a)(2); § 9033.7(a) — liquidation of all obligations, § 9038.3(b) — net outstanding campaign obligations, § 9034.5(a) — newly discovered assets, § 9038.2(g) — nonmatchable contribution submitted, § 9036.4(c)(1) — refunded contribution, § 9036.4(c)(1) — request for resubmission, § 9036.5 — stale-dated committee checks, § 9038.6 — threshold requirements, § 9033.4(b) By FEC to candidate concerning — audit report, § 9038.1(e)(1) — certification of less than requested amount, § 9036.4(b) and (c)(2) — continuing review, § 9039.2(b) — determination of active candidacy, § 9033.7(b) — determination of inactive candidacy, § 9033.6(c) — determination of ineligibility, § 9033.3(b) — determination to suspend payments, § 9033.9(b) — disputed unmatchable contributions, § 9036.5(e) — eligibility and certification requirements, § 9034.1(a) — failure to meet threshold requirements, § 9033.4(a)(2) — initial certification, § 9036.1(c) — lack of matching funds available, § 9036.4(c)(2) — last date for submission of contributions, § 9036.6 — noncompliance with Title 2, § 9033.9(b) — possible candidate status, § 9032.2(d) — repayments, § 9038.2(a) and (c) — resubmission of documentation, § 9036.4(b) — result of inquiry, § 9039.3(b)(4) — review of submission, § 9033.2(c) — threshold requirements, § 9033.4(b)

P PAYMENTS Bank depository for, § 9033.1(b)(8); § 9037.3 By committee to candidate, § 9034.4(b)(5) Candidate documentation of matchable contributions — additional submissions, § 9036.2(a) and (c) — resubmissions, § 9036.5 — threshold submissions, § 9033.2 Candidate eligibility for — FEC determination of, § 9036.1 — reestablishment of, § 9033.8 — requirements, § 9033.1; § 9033.2; § 9035.1 See also: ELIGIBILITY Candidate ineligible for, § 9033.3(a) and (d); § 9034.1(a) See also: INELIGIBILITY

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00511 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) PAYMENTS—Continued Certification of funds by FEC to Secretary of Treasury — additional amounts, § 9036.2(d); § 9036.6 — disputed submissions, § 9036.5(c) — for less than amount requested, § 9036.4(b) and (c)(2) — for threshold submission, § 9036.1(c) Changes in recipient information, § 9033.1(b)(8) Collateral for bank loan, § 100.82(e)(2); § 100.142(e)(2) Continuation of payments after ineligibility, § 9034.1(b) Entitlement to funds, § 9034.1 Equal distribution of funds by Secretary of Treasury, § 9037.2 Excessive, examples of, § 9038.2(b)(1) Limitation of, § 9034.1(d) Matchable campaign contributions, § 9034.2 Matching payment account, § 9032.5 Matching payment period, § 9032.6 Net outstanding campaign obligations, based on, § 9033.10(a); § 9034.1 Nonmatchable campaign contributions, § 9034.3 Payment schedule, § 9036.1(c); § 9036.2(d) Post-election payments, § 9036.6 Reimbursement to candidate for campaign expenses, § 9034.4(b)(5) Repayments, See: REPAYMENTS Secretary of the Treasury disbursements, § 9037.1; § 9037.2 Shortfall in matching payment account, § 9036.4(c)(2); § 9037.1; § 9037.2 Suspension of, for noncompliance, § 9033.3(b); § 9033.9 Suspension of, right to appeal, § 9033.3(b); § 9033.10 Termination of payments, § 9033.6; § 9034.1 Use of, See: USE OF FUNDS PERSONAL FUNDS Definition, § 9035.2 Limitations on, § 9035.2 Of Vice Presidential candidate, § 110.8(f)(2) Repayments, source of, § 9034.4(c) PETITIONS FOR HEARING See: REPAYMENTS POLITICAL COMMITTEE Authorized by candidate, § 9032.1 Contributions not matchable, § 9034.3(d) Definition, § 9032.8 POLLING See: EXPENDITURES PRIMARY See: ELECTION PRIMARY MATCHING FUNDS See: ENTITLEMENT; PAYMENTS PUBLIC FUNDS See: ENTITLEMENT; PAYMENTS; REPAYMENTS; USE OF FUNDS

Q QUALIFIED CAMPAIGN EXPENSES Attribution to primary/general election, § 9034.4(e) Authorization to make, § 9032.9(b) Burden of proof, § 9033.1(b)(1); § 9033.11(a) Certification not to exceed limitations, § 9033.2(b)(2) Definition, § 9032.9; § 9034.4(a) Documentation required to prove, § 9033.11(a) and (b); § 9034.4(b)(7) Gifts and bonuses, § 9034.4(a)(5) Limitation on, § 9035.1 Liquidation of, § 9038.3

502

VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00512 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, Primary Election Financing QUALIFIED CAMPAIGN EXPENSES—Continued Matchability contingent upon, § 9034.4(a) Media — allocation of costs, by State, § 106.2(b)(1)(i) — attribution to primary/general election, § 9034.4(e)(5) — nationwide advertising, § 106.2(b)(2)(i)(E) — personnel, transportation and services provided to, § 9034.6 — production costs incurred for, § 106.2(b)(2)(i)(F) Nonqualified campaign expenses, § 9034.4(b) — See also: EXPENDITURES Pre-candidacy payments by multicandidate committees,§ 9034.10 Secret Service, transportation and services for, § 9034.6(a) Taxes, § 9034.4(a)(4) Termination of political activity, § 9034.4(a)(3) ‘‘Testing-the-waters,’’ § 9034.4(a)(2) Travel, allocation of — between primary/general election, § 9034.4(e)(7) — candidate’s spouse/family accompanying, § 9034.7(b)(6) — charters, § 9034.7(b)(4) and (7)(i) — commercial airlines, § 9034.7(b)(7)(ii) — government conveyance, § 9034.7(b)(4) and (5) — incidental contacts, § 9034.7(b)(2) — itinerary required, § 9034.7(b)(3) — noncampaign-related stops, § 9034.7(b)(2) Use of public funds for, § 9034.4(a) Use of public funds for other than, § 9034.4(b); § 9038.2(b)(2) Winding down costs, § 9034.4(a)(3); § 9034.11 See also: EXPENDITURES

R RECEIPTS See: CONTRIBUTIONS; MATCHABLE CAMPAIGN CONTRIBUTIONS RECORDS Agreement to keep, § 9033.1(a) and (b)(2)-(6) Allocation of exempted expenditures, § 9035.1(c) Audit review of, § 9033.1(b)(7); § 9038.1 Capital and other assets, requirements for, § 9033.11(d); § 9034.5(c) Computerized — agreement to furnish, § 9033.1(b)(5) — digital imaging, § 9036.2(b)(1)(vi) — production of, § 9033.12 — requested during audit, § 9038.1(b) Joint fundraising, requirements for, § 9034.8(c)(5) and (9) Recordkeeping requirements, § 9033.11 Retention of, § 9033.11(c); § 9039.1 See also: DOCUMENTATION; REPORTING; SUBMISSIONS; 11 CFR PART 102 REPAYMENTS Additional determinations, § 9038.2(f) and (g) Agreement to comply with determination, § 9033.1(b)(7) Appeal procedures, § 9038.2(c) and (h); § 9038.5 Bases for, § 9038.2(b) — debts settled for less than owed, § 9038.2(b)(1)(v) — failure to provide adequate documentation, § 9038.2(b)(3) — funds used for nonqualified campaign expenses, § 9038.2(b)(2) — payments exceed entitlement, § 9038.2(b)(1) — surplus of funds, § 9038.2(b)(4); § 9038.3(c) Collection of, § 111.51(a)(5); § 111.52 Exempted from limitations on personal funds, § 9035.2(a)(1) FEC determination of need for making, § 9038.2(a)(1) — administrative record for, § 9038.7

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00513 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) REPAYMENTS—Continued FEC determination of need for making, § 9038.2(a)(1)—Continued — notification of, § 9038.2(a)(2) and (c)(1) — procedures for, § 9038.2(c) — time limit on, § 9038.2(a)(2) Inquiry resulting in, § 9039.3(b)(4) Liquidation of obligations, § 9038.3 Newly discovered assets, § 9038.2(g) Petitions for rehearing — effect of failure to raise issues, § 9038.5(b) — requirements to file, § 9038.5(a)(1) — suspension of time for repayment, § 9038.5(a)(2) — time of filing, § 9038.5(a)(1)(i) Primary obligation, over other debts, § 9038.2(a)(3) Settlement for less than amount owed, prohibited, § 116.7(c)(1) Sources of, § 9038.2(a)(4) Stay of determination — amount of interest due, § 9038.5(c)(4) — amount placed in separate account, § 9038.5(c)(2)(i) — amount requested to be stayed, § 9038.5(c)(1)(i) — basis for Commission approval, § 9038.5(c)(2) and (3) — criteria for candidate to meet, § 9038.5(c)(2)(iii) — payment of interest required, § 9038.5(c)(4) — surety bond, posted on amount, § 9038.5(c)(2)(ii) — time of making request, § 9038.5(c)(1)(ii) Stale-dated checks, § 9038.6 Time period for making, § 9038.2(d) and (e); § 9038.4 REPORTING Allocation of expenditures by State, § 106.2(c) Alphabetized schedules, § 9037.4 Appeal of FEC determination of failure to file, § 9033.9 Compliance with requirements by candidate/committee, § 9033.1(a) and (b)(10) Computer-generated, § 104.2(d); § 9033.1(b)(5); § 9037.4 Electronic filing of reports, § 104.18; § 9033.1(b)(13) Fundraising representative’s duties, § 9034.8(b) Joint fundraising, receipts and disbursements, § 9034.8(c)(9) Location for filing, § 105.3; § 108.2 Media, reimbursement for travel/services provided to, § 9034.6(e) Net outstanding campaign obligations, § 9034.5(a) Requirements, § 9033.1(b)(10) Review by FEC, § 9039.2; § 9039.3 Schedule for filing, § 104.5(b) Travel expenses, § 9034.7(a) See also: QUALIFIED CAMPAIGN EXPENSES; 11 CFR PARTS 104, 105 and 108 RESUBMISSIONS See: SUBMISSIONS REVIEW See: AUDITS; SUBMISSIONS

S SECRETARY OF TREASURY Definition, § 9032.10 Equitable distribution of funds by, § 9037.2 Establishment of primary matching payment account, § 9032.5 FEC certifications to Secretary for — additional requests, § 9036.2(d) — disputed submissions, § 9036.5(d) — less than requested amount, § 9036.4(b) and (c)(2) — threshold amount, § 9036.1(c)(2)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00514 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR Index, Primary Election Financing SECRETARY OF TREASURY—Continued FEC certifications to Secretary for—Continued — undisputed submissions, § 9036.4(b)(3) Repayment by committee to, § 9038.2(d); § 9038.6 STATE Action under State law to qualify as candidate, § 9032.2(a) Activity in more than one State — defines eligibility of candidate, § 9033.2(b) — defines ineligibility date, § 9033.5(a) and (b) — determines inactive candidacy, § 9033.6(a) and (c) — reestablishes eligibility, § 9033.8(a) and (b) Contributions submitted for matching, segregated by — for additional submissions, § 9036.2(b)(1) — for threshold submissions, § 9036.1(b)(3) Definition of State, § 9032.11 Filing with Secretary of, part 108 Preemption of State law, § 9032.9(a)(3) Violation of State law, § 9032.9(a)(3) SUBMISSIONS Additional — alphabetical list, § 9036.2(b)(1)(ii) — amount to be certified, § 9036.2(d) — certification by FEC, § 9036.2(d) — contributions returned to contributor, § 9036.2(b)(1)(iii) and (iv) — contributor information required, § 9036.2(b)(1)(v) — dates for presenting, § 9036.2(a); § 9036.6 — digital imaging used for, § 9036.2(b)(1)(vi) — documentation supporting, § 9036.2(b) — first additional submission, § 9036.2(b)(1) — format for, § 9036.2(b) — in non-Presidential election year, § 9036.2(c) — last date for submitting contributions, § 9036.6 — notification of last date by FEC, § 9036.6 — photocopies of checks required, § 9036.2(b)(1)(vi) Adjustments to, § 9036.4(c) Audit of, § 9036.4(d) Credit or debit cards, § 9036.2(b)(1)(vii) Errors, § 9035.1(c)(1) — discrepancy between contribution list and written instrument, § 9036.3(b) — discrepancy in written instrument, § 9036.3(a) — inconsistency within/between contributor lists, § 9036.3(c) — insufficient documentation as basis for rejection, § 9036.3 — omission of information/supporting documentation, § 9036.3(d) Insufficient documentation as basis for ineligibility, § 9036.3 Nonmatchable contribution, § 9036.4(c)(1) Resubmissions — alternative methods of, § 9036.5(a) — certification of, § 9036.5(d) — cutoff date, § 9036.5(b) — dates for presenting, § 9036.5(b) — documentation required, § 9036.5(c) — final determination of, § 9036.5(e) and (f) — format for, § 9036.5(c) Review by FEC — accepted for matching, § 9036.4(b) — adjustment of amount to be matched, § 9036.4(c) — certification of less than amount requested, § 9036.4(b) and (c) — continuing, § 9039.2 — error rate leading to cessation of review, § 9036.2(d)(2); § 9036.4(a)(2) — past actions considered, § 9033.4(d)(2); § 9036.4(a)(2)

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VerDate Sep<11>2014 09:47 Feb 23, 2016 Jkt 238034 PO 00000 Frm 00515 Fmt 8189 Sfmt 8189 Y:\SGML\238034.XXX 238034 wgreen on DSK2VPTVN1PROD with CFR 11 CFR (1–1–16 Edition) SUBMISSIONS—Continued Review by FEC—Continued — rejected for noncompliance with Guideline, § 9036.4(a) — statistical sampling techniques used, § 9036.4(b) Revised NOCO statement in event of shortfall, § 9034.5(f) Schedule, as designated by FEC, § 9036.6 Threshold submissions — bank depository documentation required, § 9036.1(b)(3) — certification by FEC, § 9036.1(c)(2) — computerized information, § 9036.1(b)(2) — content of, § 9036.1(b) — contributor information required, § 9036.1(b)(1) — date for making, § 9036.1(a) — documentation required, § 9036.1(b)(3) — Guideline for Presentation in Good Order, § 9036.1(b)(7) — notification of eligibility, § 9036.1(c) — photocopy of written instrument, § 9036.1(b) — refunded contributions, listed, § 9036.1(b)(6) — segregation of contributions by State, § 9036.1(b) See also: CERTIFICATIONS; CONTRIBUTIONS; NOTIFICATIONS; RECORDS

T TERMINATION OF PAYMENTS See: ELIGIBILITY; INELIGIBILITY; PAYMENTS THRESHOLD See: CERTIFICATIONS; ELIGIBILITY; SUBMISSIONS TRANSFERS Between — affiliated committees, § 110.3(c)(1) — candidate’s nonfederal and federal campaigns, § 110.3(c)(6) — candidate’s previous and current committees, § 110.3(c)(4) — candidate’s primary and general election campaigns, § 110.3(c)(3) — committees of one party, § 102.6(a); § 110.3(c) — dual candidate’s campaign committees, § 110.3(c)(5) and (7); § 110.8(d)(2); § 9034.4(d) Not qualified campaign expense, § 9034.4(b)(6) Of joint fundraising proceeds, § 110.3(c)(2) Recordkeeping required, § 102.9(b)(1); § 110.3(c)(6)(i) Reporting — by transferring nonfederal campaign committee, § 110.3(c)(6)(i) — from committee, § 104.3(b)(4)(ii) — to committee, § 104.3(a)(4)(iii)(A) Unlimited, § 102.6(a); § 110.3(c)(1); § 113.2(c) When actively seeking election to more than one office, § 110.3(c)(5)(i); § 110.8(d)(2); § 9034.4(d) TRANSPORTATION Interstate, not allocable, § 106.2(c)(4) Intra-State, allocable, § 106.2(a)(2) Of media personnel, § 9034.6 TRAVEL See: QUALIFIED CAMPAIGN EXPENSES TREASURY See: SECRETARY OF TREASURY

U USE OF FUNDS Continuing to campaign, § 9034.4(a)(3) and (b)(3) Depository for matching funds, § 9037.3 Determining whether to become candidate, § 9034.4(a)(2)

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V VICE PRESIDENTIAL CANDIDATES Contributions to and expenditures by, § 9035.3 VOTING AGE POPULATION Definition, § 110.18 Used in determining expenditure limitations, § 110.8(a)(3)

W WINDING DOWN COSTS Allocation of primary and general elections, § 9034.11(c) Definition, § 9034.11(a) For primary paid during the general election, § 9034.11(d) Limitation of amount paid for with matching funds, § 9034.11(b)

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Title 1—General Provisions

I Administrative Committee of the Federal Register (Parts 1—49) II Office of the Federal Register (Parts 50—299) III Administrative Conference of the United States (Parts 300—399) IV Miscellaneous Agencies (Parts 400—500)

Title 2—Grants and Agreements

SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR GRANTS AND AGREEMENTS I Office of Management and Budget Governmentwide Guidance for Grants and Agreements (Parts 2—199) II Office of Management and Budget Guidance (Parts 200—299) SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND AGREEMENTS III Department of Health and Human Services (Parts 300—399) IV Department of Agriculture (Parts 400—499) VI Department of State (Parts 600—699) VII Agency for International Development (Parts 700—799) VIII Department of Veterans Affairs (Parts 800—899) IX Department of Energy (Parts 900—999) X Department of the Treasury (Parts 1000—1099) XI Department of Defense (Parts 1100—1199) XII Department of Transportation (Parts 1200—1299) XIII Department of Commerce (Parts 1300—1399) XIV Department of the Interior (Parts 1400—1499) XV Environmental Protection Agency (Parts 1500—1599) XVIII National Aeronautics and Space Administration (Parts 1800— 1899) XX United States Nuclear Regulatory Commission (Parts 2000—2099) XXII Corporation for National and Community Service (Parts 2200— 2299) XXIII Social Security Administration (Parts 2300—2399) XXIV Housing and Urban Development (Parts 2400—2499) XXV National Science Foundation (Parts 2500—2599) XXVI National Archives and Records Administration (Parts 2600—2699) XXVII Small Business Administration (Parts 2700—2799)

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XXVIII Department of Justice (Parts 2800—2899) XXIX Department of Labor (Parts 2900—2999) XXX Department of Homeland Security (Parts 3000—3099) XXXI Institute of Museum and Library Services (Parts 3100—3199) XXXII National Endowment for the Arts (Parts 3200—3299) XXXIII National Endowment for the Humanities (Parts 3300—3399) XXXIV Department of Education (Parts 3400—3499) XXXV Export-Import Bank of the United States (Parts 3500—3599) XXXVI Office of National Drug Control Policy, Executive Office of the President (Parts 3600—3699) XXXVII Peace Corps (Parts 3700—3799) LVIII Election Assistance Commission (Parts 5800—5899) LIX Gulf Coast Ecosystem Restoration Council (Parts 5900—5999)

Title 3—The President

I Executive Office of the President (Parts 100—199)

Title 4—Accounts

I Government Accountability Office (Parts 1—199)

Title 5—Administrative Personnel

I Office of Personnel Management (Parts 1—1199) II Merit Systems Protection Board (Parts 1200—1299) III Office of Management and Budget (Parts 1300—1399) IV Office of Personnel Management and Office of the Director of National Intelligence (Parts 1400—1499) V The International Organizations Employees Loyalty Board (Parts 1500—1599) VI Federal Retirement Thrift Investment Board (Parts 1600—1699) VIII Office of Special Counsel (Parts 1800—1899) IX Appalachian Regional Commission (Parts 1900—1999) XI Armed Forces Retirement Home (Parts 2100—2199) XIV Federal Labor Relations Authority, General Counsel of the Fed- eral Labor Relations Authority and Federal Service Impasses Panel (Parts 2400—2499) XVI Office of Government Ethics (Parts 2600—2699) XXI Department of the Treasury (Parts 3100—3199) XXII Federal Deposit Insurance Corporation (Parts 3200—3299) XXIII Department of Energy (Parts 3300—3399) XXIV Federal Energy Regulatory Commission (Parts 3400—3499) XXV Department of the Interior (Parts 3500—3599) XXVI Department of Defense (Parts 3600—3699) XXVIII Department of Justice (Parts 3800—3899)

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XXIX Federal Communications Commission (Parts 3900—3999) XXX Farm Credit System Insurance Corporation (Parts 4000—4099) XXXI Farm Credit Administration (Parts 4100—4199) XXXIII Overseas Private Investment Corporation (Parts 4300—4399) XXXIV Securities and Exchange Commission (Parts 4400—4499) XXXV Office of Personnel Management (Parts 4500—4599) XXXVII Federal Election Commission (Parts 4700—4799) XL Interstate Commerce Commission (Parts 5000—5099) XLI Commodity Futures Trading Commission (Parts 5100—5199) XLII Department of Labor (Parts 5200—5299) XLIII National Science Foundation (Parts 5300—5399) XLV Department of Health and Human Services (Parts 5500—5599) XLVI Postal Rate Commission (Parts 5600—5699) XLVII Federal Trade Commission (Parts 5700—5799) XLVIII Nuclear Regulatory Commission (Parts 5800—5899) XLIX Federal Labor Relations Authority (Parts 5900—5999) L Department of Transportation (Parts 6000—6099) LII Export-Import Bank of the United States (Parts 6200—6299) LIII Department of Education (Parts 6300—6399) LIV Environmental Protection Agency (Parts 6400—6499) LV National Endowment for the Arts (Parts 6500—6599) LVI National Endowment for the Humanities (Parts 6600—6699) LVII General Services Administration (Parts 6700—6799) LVIII Board of Governors of the Federal Reserve System (Parts 6800— 6899) LIX National Aeronautics and Space Administration (Parts 6900— 6999) LX United States Postal Service (Parts 7000—7099) LXI National Labor Relations Board (Parts 7100—7199) LXII Equal Employment Opportunity Commission (Parts 7200—7299) LXIII Inter-American Foundation (Parts 7300—7399) LXIV Merit Systems Protection Board (Parts 7400—7499) LXV Department of Housing and Urban Development (Parts 7500— 7599) LXVI National Archives and Records Administration (Parts 7600—7699) LXVII Institute of Museum and Library Services (Parts 7700—7799) LXVIII Commission on Civil Rights (Parts 7800—7899) LXIX Tennessee Valley Authority (Parts 7900—7999) LXX Court Services and Offender Supervision Agency for the District of Columbia (Parts 8000—8099) LXXI Consumer Product Safety Commission (Parts 8100—8199) LXXIII Department of Agriculture (Parts 8300—8399) LXXIV Federal Mine Safety and Health Review Commission (Parts 8400—8499) LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699)

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LXXVII Office of Management and Budget (Parts 8700—8799) LXXX Federal Housing Finance Agency (Parts 9000—9099) LXXXIII Special Inspector General for Afghanistan Reconstruction (Parts 9300—9399) LXXXIV Bureau of Consumer Financial Protection (Parts 9400—9499) LXXXVI National Credit Union Administration (Parts 9600—9699) XCVII Department of Homeland Security Human Resources Manage- ment System (Department of Homeland Security—Office of Personnel Management) (Parts 9700—9799) XCVII Council of the Inspectors General on Integrity and Efficiency (Parts 9800—9899) XCIX Military Compensation and Retirement Modernization Commis- sion (Parts 9900—9999) C National Council on Disability (Partys 10000—10049)

Title 6—Domestic Security

I Department of Homeland Security, Office of the Secretary (Parts 1—199) X Privacy and Civil Liberties Oversight Board (Parts 1000—1099)

Title 7—Agriculture

SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS 0—26) SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE I Agricultural Marketing Service (Standards, Inspections, Mar- keting Practices), Department of Agriculture (Parts 27—209) II Food and Nutrition Service, Department of Agriculture (Parts 210—299) III Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 300—399) IV Federal Crop Insurance Corporation, Department of Agriculture (Parts 400—499) V Agricultural Research Service, Department of Agriculture (Parts 500—599) VI Natural Resources Conservation Service, Department of Agri- culture (Parts 600—699) VII Farm Service Agency, Department of Agriculture (Parts 700— 799) VIII Grain Inspection, Packers and Stockyards Administration (Fed- eral Grain Inspection Service), Department of Agriculture (Parts 800—899) IX Agricultural Marketing Service (Marketing Agreements and Or- ders; Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900—999) X Agricultural Marketing Service (Marketing Agreements and Or- ders; Milk), Department of Agriculture (Parts 1000—1199)

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XI Agricultural Marketing Service (Marketing Agreements and Or- ders; Miscellaneous Commodities), Department of Agriculture (Parts 1200—1299) XIV Commodity Credit Corporation, Department of Agriculture (Parts 1400—1499) XV Foreign Agricultural Service, Department of Agriculture (Parts 1500—1599) XVI Rural Telephone Bank, Department of Agriculture (Parts 1600— 1699) XVII Rural Utilities Service, Department of Agriculture (Parts 1700— 1799) XVIII Rural Housing Service, Rural Business-Cooperative Service, Rural Utilities Service, and Farm Service Agency, Depart- ment of Agriculture (Parts 1800—2099) XX Local Television Loan Guarantee Board (Parts 2200—2299) XXV Office of Advocacy and Outreach, Department of Agriculture (Parts 2500—2599) XXVI Office of Inspector General, Department of Agriculture (Parts 2600—2699) XXVII Office of Information Resources Management, Department of Agriculture (Parts 2700—2799) XXVIII Office of Operations, Department of Agriculture (Parts 2800— 2899) XXIX Office of Energy Policy and New Uses, Department of Agri- culture (Parts 2900—2999) XXX Office of the Chief Financial Officer, Department of Agriculture (Parts 3000—3099) XXXI Office of Environmental Quality, Department of Agriculture (Parts 3100—3199) XXXII Office of Procurement and Property Management, Department of Agriculture (Parts 3200—3299) XXXIII Office of Transportation, Department of Agriculture (Parts 3300—3399) XXXIV National Institute of Food and Agriculture (Parts 3400—3499) XXXV Rural Housing Service, Department of Agriculture (Parts 3500— 3599) XXXVI National Agricultural Statistics Service, Department of Agri- culture (Parts 3600—3699) XXXVII Economic Research Service, Department of Agriculture (Parts 3700—3799) XXXVIII World Agricultural Outlook Board, Department of Agriculture (Parts 3800—3899) XLI [Reserved] XLII Rural Business-Cooperative Service and Rural Utilities Service, Department of Agriculture (Parts 4200—4299)

Title 8—Aliens and Nationality

I Department of Homeland Security (Immigration and Naturaliza- tion) (Parts 1—499)

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V Executive Office for Immigration Review, Department of Justice (Parts 1000—1399)

Title 9—Animals and Animal Products

I Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 1—199) II Grain Inspection, Packers and Stockyards Administration (Packers and Stockyards Programs), Department of Agri- culture (Parts 200—299) III Food Safety and Inspection Service, Department of Agriculture (Parts 300—599)

Title 10—Energy

I Nuclear Regulatory Commission (Parts 0—199) II Department of Energy (Parts 200—699) III Department of Energy (Parts 700—999) X Department of Energy (General Provisions) (Parts 1000—1099) XIII Nuclear Waste Technical Review Board (Parts 1300—1399) XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799) XVIII Northeast Interstate Low-Level Radioactive Waste Commission (Parts 1800—1899)

Title 11—Federal Elections

I Federal Election Commission (Parts 1—9099) II Election Assistance Commission (Parts 9400—9499)

Title 12—Banks and Banking

I Comptroller of the Currency, Department of the Treasury (Parts 1—199) II Federal Reserve System (Parts 200—299) III Federal Deposit Insurance Corporation (Parts 300—399) IV Export-Import Bank of the United States (Parts 400—499) V Office of Thrift Supervision, Department of the Treasury (Parts 500—599) VI Farm Credit Administration (Parts 600—699) VII National Credit Union Administration (Parts 700—799) VIII Federal Financing Bank (Parts 800—899) IX Federal Housing Finance Board (Parts 900—999) X Bureau of Consumer Financial Protection (Parts 1000—1099) XI Federal Financial Institutions Examination Council (Parts 1100—1199) XII Federal Housing Finance Agency (Parts 1200—1299) XIII Financial Stability Oversight Council (Parts 1300—1399) XIV Farm Credit System Insurance Corporation (Parts 1400—1499)

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XV Department of the Treasury (Parts 1500—1599) XVI Office of Financial Research (Parts 1600—1699) XVII Office of Federal Housing Enterprise Oversight, Department of Housing and Urban Development (Parts 1700—1799) XVIII Community Development Financial Institutions Fund, Depart- ment of the Treasury (Parts 1800—1899)

Title 13—Business Credit and Assistance

I Small Business Administration (Parts 1—199) III Economic Development Administration, Department of Com- merce (Parts 300—399) IV Emergency Steel Guarantee Loan Board (Parts 400—499) V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)

Title 14—Aeronautics and Space

I Federal Aviation Administration, Department of Transportation (Parts 1—199) II Office of the Secretary, Department of Transportation (Aviation Proceedings) (Parts 200—399) III Commercial Space Transportation, Federal Aviation Adminis- tration, Department of Transportation (Parts 400—1199) V National Aeronautics and Space Administration (Parts 1200— 1299) VI Air Transportation System Stabilization (Parts 1300—1399)

Title 15—Commerce and Foreign Trade

SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0— 29) SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGN TRADE I Bureau of the Census, Department of Commerce (Parts 30—199) II National Institute of Standards and Technology, Department of Commerce (Parts 200—299) III International Trade Administration, Department of Commerce (Parts 300—399) IV Foreign-Trade Zones Board, Department of Commerce (Parts 400—499) VII Bureau of Industry and Security, Department of Commerce (Parts 700—799) VIII Bureau of Economic Analysis, Department of Commerce (Parts 800—899) IX National Oceanic and Atmospheric Administration, Department of Commerce (Parts 900—999) XI Technology Administration, Department of Commerce (Parts 1100—1199) XIII East-West Foreign Trade Board (Parts 1300—1399)

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XIV Minority Business Development Agency (Parts 1400—1499) SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE- MENTS XX Office of the United States Trade Representative (Parts 2000— 2099) SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS AND INFORMATION XXIII National Telecommunications and Information Administration, Department of Commerce (Parts 2300—2399)

Title 16—Commercial Practices

I Federal Trade Commission (Parts 0—999) II Consumer Product Safety Commission (Parts 1000—1799)

Title 17—Commodity and Securities Exchanges

I Commodity Futures Trading Commission (Parts 1—199) II Securities and Exchange Commission (Parts 200—399) IV Department of the Treasury (Parts 400—499)

Title 18—Conservation of Power and Water Resources

I Federal Energy Regulatory Commission, Department of Energy (Parts 1—399) III Delaware River Basin Commission (Parts 400—499) VI Water Resources Council (Parts 700—799) VIII Susquehanna River Basin Commission (Parts 800—899) XIII Tennessee Valley Authority (Parts 1300—1399)

Title 19—Customs Duties

I U.S. Customs and Border Protection, Department of Homeland Security; Department of the Treasury (Parts 0—199) II United States International Trade Commission (Parts 200—299) III International Trade Administration, Department of Commerce (Parts 300—399) IV U.S. Immigration and Customs Enforcement, Department of Homeland Security (Parts 400—599)

Title 20—Employees’ Benefits

I Office of Workers’ Compensation Programs, Department of Labor (Parts 1—199) II Railroad Retirement Board (Parts 200—399) III Social Security Administration (Parts 400—499) IV Employees’ Compensation Appeals Board, Department of Labor (Parts 500—599)

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V Employment and Training Administration, Department of Labor (Parts 600—699) VI Office of Workers’ Compensation Programs, Department of Labor (Parts 700—799) VII Benefits Review Board, Department of Labor (Parts 800—899) VIII Joint Board for the Enrollment of Actuaries (Parts 900—999) IX Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 1000—1099)

Title 21—Food and Drugs

I Food and Drug Administration, Department of Health and Human Services (Parts 1—1299) II Drug Enforcement Administration, Department of Justice (Parts 1300—1399) III Office of National Drug Control Policy (Parts 1400—1499)

Title 22—Foreign Relations

I Department of State (Parts 1—199) II Agency for International Development (Parts 200—299) III Peace Corps (Parts 300—399) IV International Joint Commission, United States and Canada (Parts 400—499) V Broadcasting Board of Governors (Parts 500—599) VII Overseas Private Investment Corporation (Parts 700—799) IX Foreign Service Grievance Board (Parts 900—999) X Inter-American Foundation (Parts 1000—1099) XI International Boundary and Water Commission, United States and Mexico, United States Section (Parts 1100—1199) XII United States International Development Cooperation Agency (Parts 1200—1299) XIII Millennium Challenge Corporation (Parts 1300—1399) XIV Foreign Service Labor Relations Board; Federal Labor Relations Authority; General Counsel of the Federal Labor Relations Authority; and the Foreign Service Impasse Disputes Panel (Parts 1400—1499) XV African Development Foundation (Parts 1500—1599) XVI Japan-United States Friendship Commission (Parts 1600—1699) XVII United States Institute of Peace (Parts 1700—1799)

Title 23—Highways

I Federal Highway Administration, Department of Transportation (Parts 1—999) II National Highway Traffic Safety Administration and Federal Highway Administration, Department of Transportation (Parts 1200—1299)

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III National Highway Traffic Safety Administration, Department of Transportation (Parts 1300—1399)

Title 24—Housing and Urban Development

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE- VELOPMENT I Office of Assistant Secretary for Equal Opportunity, Department of Housing and Urban Development (Parts 100—199) II Office of Assistant Secretary for Housing-Federal Housing Com- missioner, Department of Housing and Urban Development (Parts 200—299) III Government National Mortgage Association, Department of Housing and Urban Development (Parts 300—399) IV Office of Housing and Office of Multifamily Housing Assistance Restructuring, Department of Housing and Urban Develop- ment (Parts 400—499) V Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 500—599) VI Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 600—699) [Reserved] VII Office of the Secretary, Department of Housing and Urban Devel- opment (Housing Assistance Programs and Public and Indian Housing Programs) (Parts 700—799) VIII Office of the Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Section 8 Housing Assistance Programs, Section 202 Di- rect Loan Program, Section 202 Supportive Housing for the El- derly Program and Section 811 Supportive Housing for Persons With Disabilities Program) (Parts 800—899) IX Office of Assistant Secretary for Public and Indian Housing, De- partment of Housing and Urban Development (Parts 900—1699) X Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Interstate Land Sales Registration Program) (Parts 1700—1799) XII Office of Inspector General, Department of Housing and Urban Development (Parts 2000—2099) XV Emergency Mortgage Insurance and Loan Programs, Depart- ment of Housing and Urban Development (Parts 2700—2799) [Reserved] XX Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Parts 3200—3899) XXIV Board of Directors of the HOPE for Homeowners Program (Parts 4000—4099) [Reserved] XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)

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I Bureau of Indian Affairs, Department of the Interior (Parts 1— 299) II Indian Arts and Crafts Board, Department of the Interior (Parts 300—399) III National Indian Gaming Commission, Department of the Inte- rior (Parts 500—599) IV Office of Navajo and Hopi Indian Relocation (Parts 700—799) V Bureau of Indian Affairs, Department of the Interior, and Indian Health Service, Department of Health and Human Services (Part 900) VI Office of the Assistant Secretary-Indian Affairs, Department of the Interior (Parts 1000—1199) VII Office of the Special Trustee for American Indians, Department of the Interior (Parts 1200—1299)

Title 26—Internal Revenue

I Internal Revenue Service, Department of the Treasury (Parts 1— End)

Title 27—Alcohol, Tobacco Products and Firearms

I Alcohol and Tobacco Tax and Trade Bureau, Department of the Treasury (Parts 1—399) II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart- ment of Justice (Parts 400—699)

Title 28—Judicial Administration

I Department of Justice (Parts 0—299) III Federal Prison Industries, Inc., Department of Justice (Parts 300—399) V Bureau of Prisons, Department of Justice (Parts 500—599) VI Offices of Independent Counsel, Department of Justice (Parts 600—699) VII Office of Independent Counsel (Parts 700—799) VIII Court Services and Offender Supervision Agency for the District of Columbia (Parts 800—899) IX National Crime Prevention and Privacy Compact Council (Parts 900—999) XI Department of Justice and Department of State (Parts 1100— 1199)

Title 29—Labor

SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO LABOR I National Labor Relations Board (Parts 100—199)

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II Office of Labor-Management Standards, Department of Labor (Parts 200—299) III National Railroad Adjustment Board (Parts 300—399) IV Office of Labor-Management Standards, Department of Labor (Parts 400—499) V Wage and Hour Division, Department of Labor (Parts 500—899) IX Construction Industry Collective Bargaining Commission (Parts 900—999) X National Mediation Board (Parts 1200—1299) XII Federal Mediation and Conciliation Service (Parts 1400—1499) XIV Equal Employment Opportunity Commission (Parts 1600—1699) XVII Occupational Safety and Health Administration, Department of Labor (Parts 1900—1999) XX Occupational Safety and Health Review Commission (Parts 2200—2499) XXV Employee Benefits Security Administration, Department of Labor (Parts 2500—2599) XXVII Federal Mine Safety and Health Review Commission (Parts 2700—2799) XL Pension Benefit Guaranty Corporation (Parts 4000—4999)

Title 30—Mineral Resources

I Mine Safety and Health Administration, Department of Labor (Parts 1—199) II Bureau of Safety and Environmental Enforcement, Department of the Interior (Parts 200—299) IV Geological Survey, Department of the Interior (Parts 400—499) V Bureau of Ocean Energy Management, Department of the Inte- rior (Parts 500—599) VII Office of Surface Mining Reclamation and Enforcement, Depart- ment of the Interior (Parts 700—999) XII Office of Natural Resources Revenue, Department of the Interior (Parts 1200—1299)

Title 31—Money and Finance: Treasury

SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS 0—50) SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE I Monetary Offices, Department of the Treasury (Parts 51—199) II Fiscal Service, Department of the Treasury (Parts 200—399) IV Secret Service, Department of the Treasury (Parts 400—499) V Office of Foreign Assets Control, Department of the Treasury (Parts 500—599) VI Bureau of Engraving and Printing, Department of the Treasury (Parts 600—699) VII Federal Law Enforcement Training Center, Department of the Treasury (Parts 700—799)

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VIII Office of International Investment, Department of the Treasury (Parts 800—899) IX Federal Claims Collection Standards (Department of the Treas- ury—Department of Justice) (Parts 900—999) X Financial Crimes Enforcement Network, Department of the Treasury (Parts 1000—1099)

Title 32—National Defense

SUBTITLE A—DEPARTMENT OF DEFENSE I Office of the Secretary of Defense (Parts 1—399) V Department of the Army (Parts 400—699) VI Department of the Navy (Parts 700—799) VII Department of the Air Force (Parts 800—1099) SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE- FENSE XII Defense Logistics Agency (Parts 1200—1299) XVI Selective Service System (Parts 1600—1699) XVII Office of the Director of National Intelligence (Parts 1700—1799) XVIII National Counterintelligence Center (Parts 1800—1899) XIX Central Intelligence Agency (Parts 1900—1999) XX Information Security Oversight Office, National Archives and Records Administration (Parts 2000—2099) XXI National Security Council (Parts 2100—2199) XXIV Office of Science and Technology Policy (Parts 2400—2499) XXVII Office for Micronesian Status Negotiations (Parts 2700—2799) XXVIII Office of the Vice President of the United States (Parts 2800— 2899)

Title 33—Navigation and Navigable Waters

I Coast Guard, Department of Homeland Security (Parts 1—199) II Corps of Engineers, Department of the Army (Parts 200—399) IV Saint Lawrence Seaway Development Corporation, Department of Transportation (Parts 400—499)

Title 34—Education

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU- CATION (PARTS 1—99) SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT OF EDUCATION I Office for Civil Rights, Department of Education (Parts 100—199) II Office of Elementary and Secondary Education, Department of Education (Parts 200—299) III Office of Special Education and Rehabilitative Services, Depart- ment of Education (Parts 300—399)

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IV Office of Career, Technical and Adult Education, Department of Education (Parts 400—499) V Office of Bilingual Education and Minority Languages Affairs, Department of Education (Parts 500—599) [Reserved] VI Office of Postsecondary Education, Department of Education (Parts 600—699) VII Office of Educational Research and Improvement, Department of Education (Parts 700—799) [Reserved] SUBTITLE C—REGULATIONS RELATING TO EDUCATION XI [Reserved] XII National Council on Disability (Parts 1200—1299)

Title 35 [Reserved]

Title 36—Parks, Forests, and Public Property

I National Park Service, Department of the Interior (Parts 1—199) II Forest Service, Department of Agriculture (Parts 200—299) III Corps of Engineers, Department of the Army (Parts 300—399) IV American Battle Monuments Commission (Parts 400—499) V Smithsonian Institution (Parts 500—599) VI [Reserved] VII Library of Congress (Parts 700—799) VIII Advisory Council on Historic Preservation (Parts 800—899) IX Pennsylvania Avenue Development Corporation (Parts 900—999) X Presidio Trust (Parts 1000—1099) XI Architectural and Transportation Barriers Compliance Board (Parts 1100—1199) XII National Archives and Records Administration (Parts 1200—1299) XV Oklahoma City National Memorial Trust (Parts 1500—1599) XVI Morris K. Udall Scholarship and Excellence in National Environ- mental Policy Foundation (Parts 1600—1699)

Title 37—Patents, Trademarks, and Copyrights

I United States Patent and Trademark Office, Department of Commerce (Parts 1—199) II U.S. Copyright Office, Library of Congress (Parts 200—299) III Copyright Royalty Board, Library of Congress (Parts 300—399) IV Assistant Secretary for Technology Policy, Department of Com- merce (Parts 400—599)

Title 38—Pensions, Bonuses, and Veterans’ Relief

I Department of Veterans Affairs (Parts 0—199) II Armed Forces Retirement Home (Parts 200—299)

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I United States Postal Service (Parts 1—999) III Postal Regulatory Commission (Parts 3000—3099)

Title 40—Protection of Environment

I Environmental Protection Agency (Parts 1—1099) IV Environmental Protection Agency and Department of Justice (Parts 1400—1499) V Council on Environmental Quality (Parts 1500—1599) VI Chemical Safety and Hazard Investigation Board (Parts 1600— 1699) VII Environmental Protection Agency and Department of Defense; Uniform National Discharge Standards for Vessels of the Armed Forces (Parts 1700—1799) VIII Gulf Coast Ecosystem Restoration Council (Parts 1800—1899)

Title 41—Public Contracts and Property Management

SUBTITLE A—FEDERAL PROCUREMENT REGULATIONS SYSTEM [NOTE] SUBTITLE B—OTHER PROVISIONS RELATING TO PUBLIC CONTRACTS 50 Public Contracts, Department of Labor (Parts 50–1—50–999) 51 Committee for Purchase From People Who Are Blind or Severely Disabled (Parts 51–1—51–99) 60 Office of Federal Contract Compliance Programs, Equal Employ- ment Opportunity, Department of Labor (Parts 60–1—60–999) 61 Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 61–1—61–999) 62—100 [Reserved] SUBTITLE C—FEDERAL PROPERTY MANAGEMENT REGULATIONS SYSTEM 101 Federal Property Management Regulations (Parts 101–1—101–99) 102 Federal Management Regulation (Parts 102–1—102–299) 103—104 [Reserved] 105 General Services Administration (Parts 105–1—105–999) 109 Department of Energy Property Management Regulations (Parts 109–1—109–99) 114 Department of the Interior (Parts 114–1—114–99) 115 Environmental Protection Agency (Parts 115–1—115–99) 128 Department of Justice (Parts 128–1—128–99) 129—200 [Reserved] SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE- MENT [RESERVED] SUBTITLE E—FEDERAL INFORMATION RESOURCES MANAGEMENT REGULATIONS SYSTEM [RESERVED] SUBTITLE F—FEDERAL TRAVEL REGULATION SYSTEM 300 General (Parts 300–1—300–99) 301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99)

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302 Relocation Allowances (Parts 302–1—302–99) 303 Payment of Expenses Connected with the Death of Certain Em- ployees (Part 303–1—303–99) 304 Payment of Travel Expenses from a Non-Federal Source (Parts 304–1—304–99)

Title 42—Public Health

I Public Health Service, Department of Health and Human Serv- ices (Parts 1—199) IV Centers for Medicare & Medicaid Services, Department of Health and Human Services (Parts 400—599) V Office of Inspector General-Health Care, Department of Health and Human Services (Parts 1000—1999)

Title 43—Public Lands: Interior

SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS I Bureau of Reclamation, Department of the Interior (Parts 400— 999) II Bureau of Land Management, Department of the Interior (Parts 1000—9999) III Utah Reclamation Mitigation and Conservation Commission (Parts 10000—10099)

Title 44—Emergency Management and Assistance

I Federal Emergency Management Agency, Department of Home- land Security (Parts 0—399) IV Department of Commerce and Department of Transportation (Parts 400—499)

Title 45—Public Welfare

SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC WELFARE II Office of Family Assistance (Assistance Programs), Administra- tion for Children and Families, Department of Health and Human Services (Parts 200—299) III Office of Child Support Enforcement (Child Support Enforce- ment Program), Administration for Children and Families, Department of Health and Human Services (Parts 300—399) IV Office of Refugee Resettlement, Administration for Children and Families, Department of Health and Human Services (Parts 400—499) V Foreign Claims Settlement Commission of the United States, Department of Justice (Parts 500—599)

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VI National Science Foundation (Parts 600—699) VII Commission on Civil Rights (Parts 700—799) VIII Office of Personnel Management (Parts 800—899) X Office of Community Services, Administration for Children and Families, Department of Health and Human Services (Parts 1000—1099) XI National Foundation on the Arts and the Humanities (Parts 1100—1199) XII Corporation for National and Community Service (Parts 1200— 1299) XIII Office of Human Development Services, Department of Health and Human Services (Parts 1300—1399) XVI Legal Services Corporation (Parts 1600—1699) XVII National Commission on Libraries and Information Science (Parts 1700—1799) XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899) XXI Commission on Fine Arts (Parts 2100—2199) XXIII Arctic Research Commission (Part 2301) XXIV James Madison Memorial Fellowship Foundation (Parts 2400— 2499) XXV Corporation for National and Community Service (Parts 2500— 2599)

Title 46—Shipping

I Coast Guard, Department of Homeland Security (Parts 1—199) II Maritime Administration, Department of Transportation (Parts 200—399) III Coast Guard (Great Lakes Pilotage), Department of Homeland Security (Parts 400—499) IV Federal Maritime Commission (Parts 500—599)

Title 47—Telecommunication

I Federal Communications Commission (Parts 0—199) II Office of Science and Technology Policy and National Security Council (Parts 200—299) III National Telecommunications and Information Administration, Department of Commerce (Parts 300—399) IV National Telecommunications and Information Administration, Department of Commerce, and National Highway Traffic Safe- ty Administration, Department of Transportation (Parts 400— 499)

Title 48—Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1—99) 2 Defense Acquisition Regulations System, Department of Defense (Parts 200—299)

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3 Health and Human Services (Parts 300—399) 4 Department of Agriculture (Parts 400—499) 5 General Services Administration (Parts 500—599) 6 Department of State (Parts 600—699) 7 Agency for International Development (Parts 700—799) 8 Department of Veterans Affairs (Parts 800—899) 9 Department of Energy (Parts 900—999) 10 Department of the Treasury (Parts 1000—1099) 12 Department of Transportation (Parts 1200—1299) 13 Department of Commerce (Parts 1300—1399) 14 Department of the Interior (Parts 1400—1499) 15 Environmental Protection Agency (Parts 1500—1599) 16 Office of Personnel Management, Federal Employees Health Benefits Acquisition Regulation (Parts 1600—1699) 17 Office of Personnel Management (Parts 1700—1799) 18 National Aeronautics and Space Administration (Parts 1800— 1899) 19 Broadcasting Board of Governors (Parts 1900—1999) 20 Nuclear Regulatory Commission (Parts 2000—2099) 21 Office of Personnel Management, Federal Employees Group Life Insurance Federal Acquisition Regulation (Parts 2100—2199) 23 Social Security Administration (Parts 2300—2399) 24 Department of Housing and Urban Development (Parts 2400— 2499) 25 National Science Foundation (Parts 2500—2599) 28 Department of Justice (Parts 2800—2899) 29 Department of Labor (Parts 2900—2999) 30 Department of Homeland Security, Homeland Security Acquisi- tion Regulation (HSAR) (Parts 3000—3099) 34 Department of Education Acquisition Regulation (Parts 3400— 3499) 51 Department of the Army Acquisition Regulations (Parts 5100— 5199) 52 Department of the Navy Acquisition Regulations (Parts 5200— 5299) 53 Department of the Air Force Federal Acquisition Regulation Supplement (Parts 5300—5399) [Reserved] 54 Defense Logistics Agency, Department of Defense (Parts 5400— 5499) 57 African Development Foundation (Parts 5700—5799) 61 Civilian Board of Contract Appeals, General Services Adminis- tration (Parts 6100—6199) 63 Department of Transportation Board of Contract Appeals (Parts 6300—6399) 99 Cost Accounting Standards Board, Office of Federal Procure- ment Policy, Office of Management and Budget (Parts 9900— 9999)

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SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION (PARTS 1—99) SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION I Pipeline and Hazardous Materials Safety Administration, De- partment of Transportation (Parts 100—199) II Federal Railroad Administration, Department of Transportation (Parts 200—299) III Federal Motor Carrier Safety Administration, Department of Transportation (Parts 300—399) IV Coast Guard, Department of Homeland Security (Parts 400—499) V National Highway Traffic Safety Administration, Department of Transportation (Parts 500—599) VI Federal Transit Administration, Department of Transportation (Parts 600—699) VII National Railroad Passenger Corporation (AMTRAK) (Parts 700—799) VIII National Transportation Safety Board (Parts 800—999) X Surface Transportation Board, Department of Transportation (Parts 1000—1399) XI Research and Innovative Technology Administration, Depart- ment of Transportation (Parts 1400—1499) [Reserved] XII Transportation Security Administration, Department of Home- land Security (Parts 1500—1699)

Title 50—Wildlife and Fisheries

I United States Fish and Wildlife Service, Department of the Inte- rior (Parts 1—199) II National Marine Fisheries Service, National Oceanic and Atmos- pheric Administration, Department of Commerce (Parts 200— 299) III International Fishing and Related Activities (Parts 300—399) IV Joint Regulations (United States Fish and Wildlife Service, De- partment of the Interior and National Marine Fisheries Serv- ice, National Oceanic and Atmospheric Administration, De- partment of Commerce); Endangered Species Committee Reg- ulations (Parts 400—499) V Marine Mammal Commission (Parts 500—599) VI Fishery Conservation and Management, National Oceanic and Atmospheric Administration, Department of Commerce (Parts 600—699)

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CFR Title, Subtitle or Agency Chapter Administrative Committee of the Federal Register 1, I Administrative Conference of the United States 1, III Advisory Council on Historic Preservation 36, VIII Advocacy and Outreach, Office of 7, XXV Afghanistan Reconstruction, Special Inspector General for 5, LXXXIII African Development Foundation 22, XV Federal Acquisition Regulation 48, 57 Agency for International Development 2, VII; 22, II Federal Acquisition Regulation 48, 7 Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Agriculture Department 2, IV; 5, LXXIII Advocacy and Outreach, Office of 7, XXV Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Animal and Plant Health Inspection Service 7, III; 9, I Chief Financial Officer, Office of 7, XXX Commodity Credit Corporation 7, XIV Economic Research Service 7, XXXVII Energy Policy and New Uses, Office of 2, IX; 7, XXIX Environmental Quality, Office of 7, XXXI Farm Service Agency 7, VII, XVIII Federal Acquisition Regulation 48, 4 Federal Crop Insurance Corporation 7, IV Food and Nutrition Service 7, II Food Safety and Inspection Service 9, III Foreign Agricultural Service 7, XV Forest Service 36, II Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II Information Resources Management, Office of 7, XXVII Inspector General, Office of 7, XXVI National Agricultural Library 7, XLI National Agricultural Statistics Service 7, XXXVI National Institute of Food and Agriculture 7, XXXIV Natural Resources Conservation Service 7, VI Operations, Office of 7, XXVIII Procurement and Property Management, Office of 7, XXXII Rural Business-Cooperative Service 7, XVIII, XLII Rural Development Administration 7, XLII Rural Housing Service 7, XVIII, XXXV Rural Telephone Bank 7, XVI Rural Utilities Service 7, XVII, XVIII, XLII Secretary of Agriculture, Office of 7, Subtitle A Transportation, Office of 7, XXXIII World Agricultural Outlook Board 7, XXXVIII Air Force Department 32, VII Federal Acquisition Regulation Supplement 48, 53 Air Transportation Stabilization Board 14, VI Alcohol and Tobacco Tax and Trade Bureau 27, I Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II AMTRAK 49, VII American Battle Monuments Commission 36, IV American Indians, Office of the Special Trustee 25, VII

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At 67 FR 50584, Aug. 5, 2002, a document was published restructuring part 100. For the convenience of the user, the following Redesignation Table shows the relationship of the old regulations to the new regulations.

100.7 AND 100.8 DISTRIBUTION TABLE 100.7 AND 100.8 DISTRIBUTION TABLE— CONTINUED Old section New section Old section New section 100.7 ...... 100.51(a) 100.7(a)(1) ...... 100.52(a) 100.7(b)(17) ...... 100.89 100.7(a)(1)(i) ...... 100.52(b) 100.7(b)(17)(i) ...... 100.89(a) 100.7(a)(1)(i)(A) ...... 100.52(b)(1) 100.7(b)(17)(ii) ...... 100.89(b) 100.7(a)(1)(i)(B) ...... 100.52(b)(2) 100.7(b)(17)(iii) ...... 100.89(c) 100.7(a)(1)(i)(C) ...... 100.52(b)(3) 100.7(b)(17)(iv) ...... 100.89(d) 100.7(a)(1)(i)(D) ...... 100.52(b)(4) 100.7(b)(17)(v) ...... 100.89(e) 100.7(a)(1)(i)(E) ...... 100.52(b)(5) 100.7(b)(17)(vi) ...... 100.89(f) 100.7(a)(1)(ii) ...... 100.52(c) 100.7(b)(17)(vii) ...... 100.89(g) 100.7(a)(1)(iii)(A) ...... 100.52(d)(1) 100.7(b)(18) ...... 100.90 100.7(a(1)(iii)(B) ...... 100.52(d)(2) 100.7(b)(19) reserved ...... Removed 100.7(a)(2) ...... 100.53 100.7(b)(20) ...... 100.91 100.7(a)(3) ...... 100.54 100.7(b)(21) ...... 100.92 100.7(a)(3)(i) ...... 100.54(a) 100.7(b)(22) ...... 100.83 100.7(a)(3)(ii) ...... 100.54(b) 100.7(c) ...... 100.51(b) and 100.71(b) 100.7(a)(3)(iii) ...... 100.54(c) 100.8(a) ...... 100.110(a) 100.7(a)(4) ...... 100.55 100.8(a)(1) ...... 100.111(a) 100.7(b) ...... 100.71(a) 100.8(a)(1)(i) ...... 100.111(b) 100.7(b)(1)(i) ...... 100.72(a) 100.8(a)(1)(ii) ...... 100.111(c) 100.7(b)(1)(ii) ...... 100.72(b) 100.8(a)(1)(iii) ...... 100.111(d) 100.7(b)(1)(ii)(A) ...... 100.72(b)(1) 100.8(a)(1)(iv)(A) ...... 100.111(e)(1) 100.7(b)(1)(ii)(B) ...... 100.72(b)(2) 100.8(a)(1)(iv)(B) ...... 100.111(e)(2) 100.7(b)(1)(ii)(C) ...... 100.72(b)(3) 100.8(a)(2) ...... 100.112 100.7(b)(1)(ii)(D) ...... 100.72(b)(4) 100.8(a)(3) ...... 100.113 100.7(b)(1)(ii)(E) ...... 100.72(b)(5) 100.7(b)(2) ...... 100.73 100.8(b) ...... 100.130(a) 100.7(b)(3) ...... 100.74 100.8(b)(1)(i) ...... 100.131(a) 100.7(b)(4) ...... 100.75 100.8(b)(1)(ii) ...... 100.131(b) 100.7(b)(5) ...... 100.76 100.8(b)(1)(ii)(A) ...... 100.131(b)(1) 100.7(b)(6) ...... 100.77 100.8(b)(1)(ii)(B) ...... 100.131(b)(2) 100.7(b)(7) ...... 100.78 100.8(b)(1)(ii)(C) ...... 100.131(b)(3) 100.7(b)(8) ...... 100.79 100.8(b)(1)(ii)(D) ...... 100.131(b)(4) 100.7(b)(9) ...... 100.80 100.8(b)(1)(ii)(E) ...... 100.131(b)(5) 100.7(b)(10) ...... 100.81 100.8(b)(2) ...... 100.132 100.7(b)(11) ...... 100.82(a) through (d) 100.8(b)(2)(i) and (ii) ...... 100.132(a) and (b) 100.7(b)(11)(i) ...... 100.82(e) 100.8(b)(3) ...... 100.133 100.7(b)(11)(ii)(A)(1) ...... 100.82(e)(1)(i) 100.8(b)(4) ...... 100.134(a) 100.7(b)(11)(ii)(A)(2) ...... 100.82(e)(1)(ii) 100.8(b)(4)(i) ...... 100.134(b) 100.7(b)(11)(i)(B) ...... 100.82(e)(2) 100.8(b)(4)(ii) ...... 100.134(c) 100.7(b)(11)(i)(B)(1) ...... 100.82(e)(2)(i) 100.8(b)(4)(iii) ...... 100.134(d) 100.7(b)(11)(i)(B)(2) ...... 100.82(e)(2)(ii) 100.8(b)(4)(iii)(A)(1) ...... 100.134(d)(1)(i) 100.7(b)(11)(i)(B)(3) ...... 100.82(e)(2)(iii) 100.8(b)(4)(iii)(A)(2) ...... 100.134(d)(1)(ii) 100.7(b)(11)(i)(B)(4) ...... 100.82(e)(2)(iv) 100.8(b)(4)(iii)(B)(1) ...... 100.134(d)(2)(i) 100.7(b)(11)(i)(B)(5) ...... 100.82(e)(2)(v) 100.8(b)(4)(iii)(B)(2) ...... 100.134(d)(2)(ii) 100.7(b)(11)(ii) ...... 100.82(e)(3) 100.8(b)(4)(iii)(B)(3) ...... 100.134(d)(2)(iii) 100.7(b)(12) ...... 100.84 100.8(b)(4)(iii)(B)(4) ...... 100.134(d)(2)(iv) 100.7(b)(13) ...... 100.85 100.8(b)(4)(iii)(C) ...... 100.134(d)(3) 100.7(b)(14) ...... 100.86 100.8(b)(4)(iii)(D) ...... 100.134(d)(4) 100.7(b)(15) ...... 100.87 100.8(b)(4)(iv)(A) ...... 100.134(e) 100.7(b)(15)(i) ...... 100.87(a) 100.8(b)(4)(iv)(A)(1) ...... 100.134(e)(1) 100.7(b)(15)(ii) ...... 100.87(b) 100.8(b)(4)(iv)(A)(2) ...... 100.134(e)(2) 100.7(b)(15)(iii) ...... 100.87(c) 100.8(b)(4)(iv)(A)(3) ...... 100.134(e)(3) 100.7(b)(15)(iv) ...... 100.87(d) 100.8(b)(4)(iv)(A)(4) ...... 100.134(e)(4) 100.7(b)(15)(v) ...... 100.87(e) 100.8(b)(4)(iv)(A)(5) ...... 100.134(e)(5) 100.7(b)(15)(vi) ...... 100.87(f) 100.8(b)(4)(iv)(A)(6) ...... 100.134(e)(6) 100.7(b)(15)(vii) ...... 100.87(g) 100.8(b)(4)(iv)(B) ...... 100.134(f) 100.7(b)(16) ...... 100.88(a) and (b) 100.8(b)(4)(iv)(B)(1) ...... 100.134(f)(1)

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100.7 AND 100.8 DISTRIBUTION TABLE— 100.7 AND 100.8 DISTRIBUTION TABLE— CONTINUED CONTINUED

Old section New section Old section New section

100.8(b)(4)(iv)(B)(2) ...... 100.134(f)(2) 100.8(b)(16) ...... 100.147 100.8(b)(4)(iv)(B)(3) ...... 100.134(f)(3) 100.8(b)(16)(i) ...... 100.147(a) 100.8(b)(4)(iv)(C) ...... 100.134(g) 100.8(b)(16)(ii) ...... 100.147(b) 100.8(b)(4)(iv)(D) ...... 100.134(h) 100.8(b)(16)(iii) ...... 100.147(c) 100.8(b)(4)(iv)(E) ...... 100.134(i) 100.8(b)(16)(iv) ...... 100.147(d) 100.8(b)(4)(iv)(F) ...... 100.134(j) 100.8(b)(16)(v) ...... 100.147(e) 100.8(b)(4)(v) ...... 100.134(k) 100.8(b)(16)(vi) ...... 100.147(f) 100.8(b)(4)(vi) ...... 100.134(l) 100.8(b)(16)(vii) ...... 100.147(g) 100.8(b)(4)(vii) ...... 100.134(m) 100.8(b)(17) ...... 100.148 100.8(b)(5) ...... 100.135 100.8(b)(6) ...... 100.136 100.8(b)(18) ...... 100.149 100.8(b)(7) ...... 100.137 100.8(b)(18)(i) ...... 100.149(a) 100.8(b)(8) ...... 100.138 100.8(b)(18)(ii) ...... 100.149(b) 100.8(b)(9) ...... 100.139 100.8(b)(18)(iii) ...... 100.149(c) 100.8(b)(10) ...... 100.140 100.8(b)(18)(iv) ...... 100.149(d) 100.8(b)(11) ...... 100.141 100.8(b)(18)(v) ...... 100.149(e) 100.8(b)(12) ...... 100.142(a) through (d) 100.8(b)(18)(vi) ...... 100.149(f) 100.8(b)(12)(i) ...... 100.142(e) 100.8(b)(18)(vii) ...... 100.149(g) 100.8(b)(12)(i)(A)(1) ...... 100.142(e)(1)(i) 100.8(b)(19) ...... 100.150 100.8(b)(12)(i)(A)(2) ...... 100.142(e)(1)(ii) 100.8(b)(20) ...... 100.151 100.8(b)(12)(i)(B) ...... 100.142(e)(2) 100.8(b)(21)(i) ...... 100.152(a) 100.8(b)(12)(i)(B)(1) ...... 100.142(e)(2)(i) 100.8(b)(21)(ii) ...... 100.152(b) 100.8(b)(12)(i)(B)(2) ...... 100.142(e)(2)(ii) 100.8(b)(21)(iii) ...... 100.152(c) 100.8(b)(12)(i)(B)(3) ...... 100.142(e)(2)(iii) 100.8(b)(21)(iii)(A) ...... 100.152(c)(1) 100.8(b)(12)(i)(B)(4) ...... 100.142(e)(2)(iv) 100.8(b)(21)(iii)(B) ...... 100.152(c)(2) 100.8(b)(12)(i)(B)(5) ...... 100.142(e)(2)(v) 100.8(b)(22) ...... 100.153 100.8(b)(12)(ii) ...... 100.142(e)(3) 100.8(b)(23) ...... 100.154 100.8(b)(13) ...... 100.144 100.8(b)(24) ...... 100.143 100.8(b)(14) ...... 100.145 100.8(c) ...... 100.110(b) and 100.130(b) 100.8(b)(15) ...... 100.146

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2011 11 CFR—Continued 79 FR Page 11 CFR 76 FR Chapter I—Continued Page 2.2 (b) correctly amended ...... 77844 Chapter I 2.4 (a)(1) and (2) correctly amend- 7 Revised ...... 70330 ed ...... 77844 104 Policy statement ...... 61254 4.1 (b) and (f) correctly amend- 109 Policy statement ...... 61254 ed ...... 77844 110 Policy statement ...... 16233 4.4 (a)(3) correctly amended ...... 77844 201.1 Amended ...... 70331 4.5 (a)(4)(vi) correctly amended ...... 77844 2012 4.8 (a) correctly amended ...... 16663 (No regulations published) 5 Authority citation correctly revised...... 77844 2013 5.1 (b) and (f) correctly amended ...... 77844 11 CFR 78 FR 5.3 (a) correctly amended ...... 77844 Page 5.4 (a) introductory text and (4) Chapter I correctly amended...... 77844 1.2 Correctly amended; CFR cor- 7 Authority citation correctly re- rection ...... 46256 vised...... 77844 100 Policy statement ...... 76032 7.2 (b) correctly amended ...... 77844 100.19 (a) heading correctly 7.7 Correctly revised...... 77844 added; CFR correction ...... 46256 7.8 Introductory text and (b) cor- 104 Policy statement ...... 40625 rectly amended...... 77844 111.24 (a)(2)(ii) revised...... 44420 8 Authority citation correctly re- 111.43 (a) and (b) revised ...... 44421 vised...... 77844 100 Authority citation and head- 2014 ing correctly revised...... 77844 11 CFR 79 FR 100.1 Correctly revised...... 16663 Page Correctly amended ...... 77844 Chapter I 100.2 Heading correctly re- 1.1 (c) correctly amended ...... 77843 vised...... 77844 1.2 Correctly amended ...... 77843 100.3 Heading correctly re- 1.14 (a) correctly revised ...... 77843 vised...... 77844

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11 CFR—Continued 79 FR 11 CFR—Continued 79 FR Page Page Chapter I—Continued Chapter I—Continued 100.4 Heading correctly re- 100.110—100.114 (Subpart D) Head- vised...... 77844 ing correctly revised...... 77845 100.5 Heading correctly revised; 100.134 (d)(2)(iv) correctly amend- (b) correctly amended ...... 77844 ed ...... 16663 100.6 Heading correctly re- 100.137 Correctly amended ...... 77845 vised...... 77844 100.147 (g) correctly amended ...... 77845 100.9 Heading correctly re- 100.149 (g) correctly amended ...... 77845 vised...... 77845 101 Heading and authority cita- 100.10 Heading correctly re- tion correctly revised ...... 77845 vised...... 77845 101.1 Heading correctly re- 100.11 Heading correctly revised...... 77845 vised...... 77845 101.2 Heading correctly re- 100.12 Heading correctly revised...... 77845 vised...... 77845 101.3 Heading correctly re- 100.13 Heading correctly revised...... 77845 vised...... 77845 102 Heading and authority citation correctly revised ...... 77845 100.14 Heading correctly re- 102.1 Heading correctly revised; vised...... 77845 (c) correctly amended ...... 77845 100.15 Heading correctly re- 102.2 Heading correctly revised...... 77845 vised...... 77846 100.16 Heading correctly re- 102.3 Heading correctly revised...... 77845 vised...... 77846 100.17 Heading correctly re- 102.4 Heading correctly revised...... 77845 vised...... 77846 100.18 Correctly revised ...... 16663 102.7 Heading correctly re- Correctly revised ...... 77845 vised...... 77846 100.19 Heading correctly re- 102.8 Heading correctly revised...... 77845 vised...... 77846 100.20 Heading correctly re- 102.9 (f) correctly amended...... 16663 vised...... 77845 Heading correctly revised ...... 77846 100.21 Heading correctly re- 102.10 Heading correctly revised...... 77845 vised...... 77846 100.22 Heading correctly re- 102.11 Heading correctly revised...... 77845 vised...... 77846 100.24 Heading correctly re- 102.12 Heading correctly revised...... 77845 vised...... 77846 100.25 Heading correctly re- 102.13 Heading correctly revised...... 77845 vised...... 77846 100.26 Heading correctly re- 102.14 Heading correctly revised...... 77845 vised...... 77846 100.27 Heading correctly re- 102.15 Heading correctly revised; vised...... 77845 correctly amended...... 77846 100.28 Heading correctly re- 102.16 Heading correctly revised...... 77845 vised...... 77846 100.29 (c) introductory text cor- 103 Heading and authority cita- rected...... 16663 tion correctly revised ...... 77846 Heading correctly revised ...... 77845 103.2 Heading correctly re- 100.51—100.57 (Subpart B) Head- vised...... 77846 ing correctly revised...... 77845 103.3 Heading correctly re- 100.52 (a) and (b)(5) correctly vised...... 77846 amended...... 16663 104 Heading and authority cita- (b)(1) correctly amended ...... 77845 tion revised (eff. date pend- 100.82 (f) correctly amended ...... 16663 ing) ...... 62816 100.87 (g) correctly amended ...... 77845 104.1 Heading correctly re- 100.89 (g) correctly amended ...... 77845 vised...... 77846

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11 CFR—Continued 79 FR 11 CFR—Continued 79 FR Page Page Chapter I—Continued Chapter I—Continued 104.3 Heading correctly revised; 108.5 Heading correctly re- (a)(3)(iii), (b)(1)(viii), (2)(iv) vised...... 77847 and (3)(viii) correctly amend- 108.6 Heading correctly re- ed ...... 77846 vised...... 77847 104.4 Heading correctly re- 108.7 Heading correctly revised...... 77846 vised...... 77847 104.5 (c)(3)(ii) correctly amend- 109 Heading and authority cita- ed ...... 16663 tion correctly revised ...... 77847 Heading correctly revised ...... 77846 110 Authority citation revised ...... 62336 104.6 (b) correctly amended ...... 16663 Regulation at 79 FR 62336 con- Heading correctly revised ...... 77846 firmed...... 77374 104.7 Heading correctly re- 110.1 (a) correctly amended ...... 16663 vised...... 77846 Heading and (c)(3) revised; in- 104.9 (f) correctly amended...... 16663 terim ...... 62336 Regulation at 79 FR 62336 con- 104.14 (a) correctly amended ...... 16663 firmed...... 77374 104.15 Heading correctly re- 110.2 Heading correctly revised...... 77846 vised...... 77847 104.16 Heading correctly re- 110.3 Heading correctly revised...... 77846 vised...... 77847 104.18 Heading correctly re- 110.4 Heading correctly revised...... 77846 vised...... 77847 104.20 Heading, (c)(7), (8) and (9) 110.5 Removed; interim...... 62336 revised (eff. date pending) ...... 62816 Regulation at 79 FR 62336 con- 104.22 Heading correctly re- firmed...... 77374 vised...... 77846 110.6 Heading correctly re- 105 Heading and authority cita- vised...... 77847 tion correctly revised ...... 77846 110.11 Heading correctly revised; 105.1 Heading correctly re- (d)(1)(i), (ii) and (2) correctly vised...... 77846 amended...... 77847 105.2 Heading correctly re- 110.14 (d)(1) and (g) revised; in- vised...... 77846 terim...... 62336 105.3 Heading correctly re- Regulation at 79 FR 62336 con- vised...... 77847 firmed...... 77374 105.4 Heading correctly re- 110.17 (b) introductory text and vised...... 77847 (1) revised; interim ...... 62336 105.5 Heading correctly re- Regulation at 79 FR 62336 con- vised...... 77847 firmed...... 77374 106 Authority citation correctly 110.19 Introductory text amend- revised ...... 77847 ed; interim...... 62336 106.1 Authority citation cor- Regulation at 79 FR 62336 con- rectly revised ...... 77847 firmed...... 77374 106.3 Authority citation cor- 110.20 Heading correctly re- rectly revised ...... 77847 vised...... 77847 107 Authority citation correctly 111 Heading and authority cita- revised ...... 77847 tion correctly revised ...... 77847 108 Heading and authority cita- 111.1 Heading correctly revised; tion correctly revised ...... 77847 correctly amended...... 77847 108.1 Heading correctly re- 111.3 Heading correctly revised...... 77847 vised...... 77847 108.2 Heading correctly re- 111.4 Heading correctly revised...... 77847 vised...... 77848 108.3 Heading correctly re- 111.5 Heading correctly revised...... 77847 vised...... 77848 108.4 Heading correctly re- 111.6 Heading correctly revised...... 77847 vised...... 77848

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11 CFR—Continued 79 FR 11 CFR—Continued 79 FR Page Page Chapter I—Continued Chapter I—Continued 111.7 Heading correctly re- 112.3 Heading correctly revised...... 77848 vised...... 77849 111.8 Heading correctly revised; 112.4 Heading correctly revised; (d) correctly amended ...... 77848 (e) correctly amended ...... 77849 111.9 Heading correctly re- 112.5 Heading correctly revised...... 77848 vised...... 77849 111.10 Heading correctly re- 113 Authority citation correctly vised...... 77848 revised ...... 77849 111.11 Heading correctly re- 113.1 Heading correctly revised...... 77848 vised...... 77849 111.12 Heading correctly re- 113.2 Heading correctly revised...... 77848 vised...... 77849 111.13 Heading correctly re- 113.3 Heading correctly revised...... 77848 vised...... 77849 111.14 Heading correctly re- 113.4 Heading correctly revised; vised...... 77848 (a) correctly amended ...... 77849 111.15 Heading correctly re- 113.5 Heading correctly revised...... 77848 vised...... 77849 111.16 Heading correctly re- 114 Authority citation revised ...... 62817 vised...... 77848 114.1 (a) introductory text, (2)(ii) 111.17 Heading correctly re- and (x) revised (eff. date pend- vised...... 77848 ing) ...... 62817 111.18 Heading correctly re- (a)(2)(v) and (e)(3) correctly vised...... 77848 amended; authority citation 111.19 Heading correctly re- correctly revised...... 77849 vised...... 77848 114.2 (a)(1) and (c) revised; (b)(2) 111.20 Heading correctly revised; and (3) removed; (b)(1) redesig- (c) correctly amended ...... 77848 nated as (b); (b) note added (eff. 111.21 Heading correctly re- date pending)...... 62817 vised...... 77848 114.3 (b) and (c)(4) revised (eff. 111.24 Heading correctly revised; date pending)...... 62817 (a)(2)(ii) and (b) correctly (c)(1)(ii) correctly amended...... 77849 amended...... 77848 114.4 Heading, (a), (c)(1) through 111.30 Revised ...... 3303 (6) and (d) revised; (c)(8) re- Correctly amended ...... 77848 moved (eff. date pending) ...... 62817 111.31 Heading correctly revised; 114.5 Authority citation cor- (b) correctly amended ...... 77848 rectly revised ...... 77849 111.32 Introductory text cor- 114.6 Authority citation correctly amended...... 77848 rectly revised ...... 77849 111.37 (a) correctly amended ...... 77848 114.7 Authority citation cor- 111.38 Correctly amended...... 77848 rectly revised ...... 77849 111.39 (c) correctly amended...... 77848 114.8 Authority citation cor- 111.40 (a) and (c) correctly amend- rectly revised ...... 77849 ed ...... 77848 114.10 Revised (eff. date pend- 111.41 Removed ...... 3303 ing) ...... 62819 111.44 (a) correctly amended ...... 77848 114.12 (c)(1) correctly amended...... 16663 111.51 (c) correctly redesignated 114.14 Removed (eff. date pend- as (b)...... 16663 ing) ...... 62819 (a) correctly amended ...... 77848 114.15 Removed (eff. date pend- 111.53 Correctly amended...... 77848 ing) ...... 62819 112 Heading and authority cita- 115 Authority citation correctly tion correctly revised ...... 77849 revised ...... 77849 112.1 Heading correctly re- 116 Authority citation correctly vised...... 77849 revised ...... 77849 112.2 Heading correctly re- 116.2 (c)(3) correctly amended ...... 77849 vised...... 77849 116.3 (d) correctly amended ...... 77849

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11 CFR—Continued 79 FR 11 CFR—Continued 79 FR Page Page Chapter I—Continued Chapter I—Continued 200 Authority citation correctly 9003.3 (a)(2)(i)(A), (B), (C), (I), revised ...... 77849 (ii)(A), (C), (E), (iii), (iv), (b)(6), 200.2 (a)(1) correctly amended ...... 77849 (c)(3)(iv) and (6) correctly 200.3 (a)(2) correctly amended ...... 77849 amended...... 77850 201 Authority citation correctly 9003.5 (b)(1)(iii)(B) correctly revised ...... 77849 amended...... 77851 201.2 (c) correctly amended ...... 77849 9004.10 (a) and (b) correctly 201.3 (b)(2)(ii) correctly amend- amended...... 77851 ed ...... 77850 9006 Authority citation correctly revised ...... 77851 300 Authority citation correctly 9007.1 (b)(1)(iii), (v) and (d)(2) cor- revised ...... 77850 rectly amended...... 77851 300.1 (a) correctly amended ...... 77850 9008 Authority citation correctly 300.10 Heading correctly re- revised ...... 77851 vised...... 77850 9008.1 (a) and (b) correctly amend- 300.11 Heading correctly re- ed ...... 77851 vised...... 77850 9008.3 (a)(4)(ii), (vii) and (viii) cor- 300.12 (b)(1) correctly amended...... 77850 rectly amended...... 77851 300.13 Heading correctly re- 9008.5 (a) correctly amended ...... 77851 vised...... 77850 9008.6 (a)(3) correctly amended...... 77851 300.31 (c) correctly amended...... 77850 9008.7 (b)(3) correctly amended...... 77851 300.35 (a) correctly amended ...... 77850 9008.8 (a)(3) and (b)(4)(ii)(A) cor- 300.36 (a)(2) and (b)(1) correctly rectly amended...... 77851 amended...... 77850 9008.55 (d) correctly amended ...... 77851 300.37 Heading correctly re- 9031.1 Correctly amended...... 77851 vised...... 77850 9032.4 Correctly amended...... 77851 300.50 Heading correctly re- 9033.1 (b)(10) and (11) correctly vised...... 77850 amended...... 77851 300.51 Heading correctly re- 9033.2 (b)(1) correctly amended...... 77851 vised...... 77850 9033.9 (a) correctly amended ...... 77851 300.52 Heading correctly re- 9033.10 (d) correctly amended ...... 77851 vised...... 77850 9034.3 (e) correctly amended...... 77851 300.60 Heading correctly re- 9034.4 (a)(2) and (d)(1) correctly vised...... 77850 amended...... 77851 300.61 Heading correctly re- 9034.5 (e)(2)(i) correctly amend- vised...... 77850 ed ...... 77851 300.62 Heading correctly re- 9034.8 (c)(4)(i) correctly amend- vised...... 77850 ed ...... 77851 300.63 Heading correctly re- 9034.9 (a) and (b) correctly amend- vised...... 77850 ed ...... 77851 300.64 Heading correctly re- 9035.1 (a)(1) correctly amended...... 77851 vised...... 77850 9036.2 (b)(1)(v) correctly amend- 300.65 Heading correctly re- ed ...... 77852 9038.1 (b)(1)(iii), (v) and (d)(2) cor- vised...... 77850 rectly amended...... 77852 300.70 Heading correctly re- 9039.3 (a)(2) and (b)(3) correctly vised...... 77850 amended...... 77852 300.71 Heading correctly revised...... 77850 300.72 Heading correctly re- 2015 vised...... 77850 11 CFR 80 FR 9001.1 Correctly amended...... 77850 Page 9002.11 (b)(5) correctly amend- Chapter I ed ...... 77850 104 Regulation at 79 FR 62816 eff. 9002.13 Correctly amended ...... 77850 date confirmed ...... 12079 9003.1 (b)(8) and (9) correctly 104.20 Regulation at 79 FR 62816 amended...... 77850 eff. date confirmed...... 12079

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11 CFR—Continued 80 FR 11 CFR—Continued 80 FR Page Page Chapter I—Continued Chapter I—Continued 114 Regulation at 79 FR 62817 eff. 114.4 Regulation at 79 FR 62817 eff. date confirmed ...... 12079 date confirmed ...... 12079 114.1 Regulation at 79 FR 62817 eff. 114.10 Regulation at 79 FR 62819 date confirmed ...... 12079 eff. date confirmed...... 12079 114.2 Regulation at 79 FR 62817 eff. 114.14 Regulation at 79 FR 62819 date confirmed ...... 12079 eff. date confirmed...... 12079 114.3 Regulation at 79 FR 62817 eff. 114.15 Regulation at 79 FR 62819 date confirmed ...... 12079 eff. date confirmed...... 12079 Æ

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