# Filing a Complaint

Published in July 1998 

### Contents:

- **Introduction**  **Filing a Complaint****Complaint: Early Stages**
**Receipt of Complaint**
- **Notice to Respondent**  **Respondent's Counsel****Complaint Process (Chart)**
- **Commission Action**    - **Case Processing**  **Initial Vote to Proceed****Investigation**
- **General Counsel's Brief**  **Early Resolution of Complaint****Vote on Violations**
- **Resolution of Complaint**   **Complainant's Recourse****Confidentiality**
- **For More Information**      Introduction  The Commission frequently receives questions on how to file a complaintconcerning possible violations of federal election campaign laws.1 This brochure explains how to file a complaint withthe Commission and describes how complaints are processed.2     I. Filing a Complaint  Any person may file a complaint if he or she believes a violation ofthe Federal Election Campaign Laws or Commission regulations has occurredor is about to occur. The complaint must be made in writing, and sent tothe Office of General Counsel, Federal Election Commission, 999 E Street,N.W., Washington, D.C. 20463. The original must be submitted along withthree copies, if possible. Facsimile transmissions are not acceptable.  A complaint must comply with certain requirements. It **must**:    - Provide the full name and address of the person filing the complaint  (called the complainant); and   Be signed, sworn to and notarized. This means that the notary public's  certificate must say "...signed and sworn to before me..."
Furthermore, in order for a complaint to be considered complete and proper,it **should**:
- Clearly recite the facts that show specific violations under the Commission's  jurisdiction (citations to the law and regulations are not necessary);   Clearly identify each person, committee or group that is alleged to  have committed a violation (called the respondent);  Include any documentation supporting the allegations, if available;  and  
- Differentiate between statements based on the complainant's (the person  who files the complaint) personal knowledge and those based on information  and belief. Statements not based on personal knowledge should identify  the source of the information.     II. Complaint: Early Stages  Receipt of Complaint  The Office of General Counsel (OGC) reviews each complaint to determinewhether it satisfies the above criteria of a proper complaint. If the complaintdoes not meet the requirements, OGC notifies the complainant of the deficiencieswithin 5 days of receipt.  Once a complaint is deemed sufficient, OGC assigns it a MUR (Matter UnderReview) number, acknowledges receipt of the complaint and informs the complainantthat the Commission will notify him or her when the entire case is resolved.Until then, the Commission is required by law to keep its actions regardingthe MUR confidential.  Notice to Respondent  Within 5 days after receiving a proper complaint, OGC sends each respondenta copy of the complaint and a description of the Commission's complianceprocedures. The respondent has 15 days to respond in writing, explainingwhy no action should be taken.  In the case of a complaint that does not satisfy the requirements (seeabove), the respondent nevertheless receives a copy of the complaint anda letter explaining that the matter will remain confidential for 15 daysto give the complainant an opportunity to correct the complaint.  If the complainant corrects and refiles the complaint, the respondentis sent a copy of the corrected complaint and is given 15 days to submita response to the Commission.  Respondent's Counsel  A respondent who wants to be represented by legal counsel must informthe Commission by sending a "statement of designation of counsel."This document, signed by the respondent, must include a statement authorizingthe counsel to receive all communications from the Commission on behalfof the respondent and include the counsel's name, address and telephonenumber.  Once the Commission receives the "statement of designation of counsel,"the agency will communicate only with the counsel unless otherwise authorizedby the respondent.     III. Commission Action  Case Processing  After the 15-day response period has elapsed, OGC evaluates the caseto determine whether it warrants the use of the Commission's limited resources.OGC makes this evaluation based on objective criteria approved by the Commissionunder its enforcement priority system. Cases that meet the threshold criteriaare assigned to attorneys as their caseloads permit. Cases that do not,are dismissed by the Commission.  Initial Vote to Proceed (Reason to Believe)  With regard to each case that is assigned to an attorney, the GeneralCounsel reports to the Commission and recommends whether or not there is"reason to believe" the respondent has committed or is about tocommit a violation of the law. The Commissioners, however, make the finaldecision by voting for or against a "reason to believe" recommendation.(Four affirmative votes are required to go forward with any enforcementaction.)3 In casting their votes, the Commissionersconsider the complaint, the respondent's reply, relevant committee reportson the public record and the General Counsel's analyses and recommendations.4  If the Commission decides there is "no reason to believe" aviolation has occurred or is about to occur with respect to all of the allegations,the case is closed and the parties involved are notified.  If, on the other hand, the Commission finds that there is "reasonto believe" the respondent has violated or is about to violate thelaw, the Commission opens an investigation.  Investigation  At the beginning of the investigation, the Commission sends a letternotifying the respondent of the "reason to believe" finding.5 The letter asks for a written reply and may includequestions to be answered by the respondent.  As part of its investigation, the Commission may issue orders requiringsworn written answers, and subpoenas requiring a person to testify or toproduce documents. If necessary, the Commission may ask a federal districtcourt to enforce these subpoenas and orders. The investigation may alsoinclude less formal procedures, such as investigative interviews, and itmay involve parties other than the respondent(s) who may have informationpertinent to the complaint. The investigation may also include an auditof the respondent.  General Counsel's Brief  After the investigation is completed, the General Counsel prepares abrief that explains the factual and legal issues of the case and recommendswhether the Commission should find there is "probable cause to believe"a violation has occurred or is about to occur. The respondent is sent acopy of the brief and has 15 days to file a reply brief explaining the respondent'sposition.  Early Resolution of Complaint (Pre-ProbableCause Conciliation)  Before the Commission mails the respondent the General Counsel's briefcontaining probable cause recommendations, the respondent may request, inwriting, that the matter be resolved through pre-probable cause conciliationnegotiations.6 Pre-probable cause discussions,which are limited to 30 days (absent an extension), may result in a conciliationagreement between the respondent and the Commission, thereby resolving thematter. (See "Resolution of Complaint" section below for description.)  If the negotiations do not resolve the matter, however, the Commissionsends the respondent the brief. The respondent has 15 days to submit a replybrief.  Vote on Violations (Probable Cause to Believe)  After reviewing the briefs of both the General Counsel and the respondent,the Commission votes on whether there is "probable cause to believe"that a violation has occurred or is about to occur. (Four affirmative votesare required.)7 If the Commission decides thereis "no probable cause to believe," the case is closed and theparties are notified.  If the Commission determines that there is "probable cause to believe"the law has been violated, the General Counsel attempts (for at least 30days, but not more than 90) to correct or prevent the violation throughinformal methods of conciliation, i.e., by entering into a written conciliationagreement with the respondent.  Resolution of Complaint (Conciliation Agreement)  If the General Counsel and the respondent negotiate a conciliation agreement,the written agreement becomes effective once it is approved by an affirmativevote of 4 Commissioners and signed by the respondent and the General Counsel.Generally, the agreement includes a description of the facts and the law,admissions of the violations by the respondent, any remedial actions therespondent must take and a provision for the payment of a civil penaltyby the respondent. The General Counsel sends a copy of the signed agreementto the respondent and, when the case is closed, to the complainant as well.  If conciliation does not result in an agreement within the 90-day period,the Commission may file suit against the respondent in federal districtcourt.     IV. Complainant's Recourse  A complainant who disagrees with the Commission's dismissal of a complaintor who believes the Commission failed to act in a timely manner may filea petition in the U.S. District Court for the District of Columbia. In thecase of a Commission dismissal, the petition has to be filed within 60 daysafter the date of the dismissal. 2 U.S.C. § 437g(a)(8).    V. Confidentiality  To protect the interests of those involved in a complaint, the law requiresthat any Commission action on a MUR be kept strictly confidential untilthe case is resolved. These provisions do not, however, prevent a complainantor respondent from disclosing the substance of the complaint itself or theresponse to that complaint or from engaging in conduct that leads to thepublication of information contained in the complaint.8Nevertheless, information about a Commission notification of findings orabout a Commission investigation may not be disclosed, unless the respondentwaives his or her right to confidentiality, in writing.  Because the public has the right to know the outcome of any enforcementproceeding, a case file is made available to the public in the Press Officeand the Office of Public Records within 30 days after the parties involvedhave been notified that the entire case has been closed.    VI. For More Information  For more information on how to file a complaint, call the InformationDivision (202/694-1100). All media inquiries and questions concerning thestatus of a complaint should be directed to the Press Office (202/694-1220).Both offices can also be reached, toll free, at 800/424-9530.    **FOOTNOTES:**  1 See 2 U.S.C. § 437g and 11 CFR 111.  2 Enforcement proceedings originate in other ways as well.For example, other federal agencies sometimes refer an enforcement matterto the Commission; and the Commission, itself, may initiate enforcementproceedings based on information gathered in the normal course of its supervisoryfunctions such as reviewing reports or conducting field audits. In addition,a matter may enter the enforcement process through a sua sponte letter,that is, a letter sent by an entity who violates the law and notifies theCommission of the facts of the violation. In some cases, filing sua spontemay serve as a mitigating circumstance when the Commission considers thematter.  3 A complaint may allege several violations, in which casethe Commission votes on each allegation separately.  4 At any point during the complaint process, however, theCommission has the discretion to take no further action in a particularmatter.  5 In some cases, where sufficient information is alreadyknown, the Commission proposes a written conciliation agreement (see "Resolutionof Complaint" section below for description) to resolve the matterat the same time it notifies the respondent of the "reason to believe"finding.  6 In certain circumstances, the Commission will take theinitiative to offer a written pre-probable cause agreement to respondent.  7 If several violations are alleged, the Commission voteson each one separately.8 See Advisory Opinions 1994-32 and 1995-1.