15080 Federal Register / Vol. 45, No. 47 / Friday, March 7,1980 / Rules and Regulations

FEDERAL ELECTION COMMISSION

11 CFR Parts 100-115,9008

[Notice 1980-8]

Amendments to Federal Election

Campaign Act of 1971; Regulations

Transmitted to Congress

AGENCY: Federal Election Commission.

ACTION: Transmittal of Regulations to

Congress.

SUMMARY: FEC Regulations relating to 

the Federal Election Campaign Act, Pub. 

L. 96-187, January 8,1980, 93 Stat. 1339- 

69, have been written and transmitted to 

Congress pursuant to Pub. L. 96-187, 

Title III, section 303, January 8,1980,93 

Stat. 1368-69. The amendments were 

proposed by the Committee on House 

Administration of the House of 

Representatives (H.R. 5010) to simplify 

the recordkeeping, reporting and 

disclosure requirements of the Act, to 

increase the role of State and local 

political parties in campaigns, to reduce 

the procedural requirements of the 

enforcement process and for other 

purposes. Further information on the 

intended effect of the proposed 

regulations is contained in the 

supplementary information below.

Pub. L. 96-187, title III, section 303 

requires the Commission to transmit to 

the Congress prior to February 29,1980 

proposed rules and regulations 

prescribed by the Commission to 

implement the provisions and 

amendments made by Act. If neither 

House of Congress disapproves of the 

regulations within 15 legislative days 

after their receipt, the Commission may 

finally prescribe the regulations in 

question. The following regulations were 

transmitted to Congress on February 28, 

1980.

DATE: Further action, including the 

announcement of an effective date and 

deletion.of existing regulations in 

affected parts of 11 CFR will be taken by 

the Commission after these regulations 

have been before Congress for 15 

legislative days in accordance with Pub. 

L. 96-187, title III, section 303.

The Administrative Procedure Act, at 

5 U.S.C. 553(d)(3), provides that a 

substantive rule become effective not 

less than 30 days after publication, 

except as otherwise provided by the 

agency for good cause found and 

published with the rule.

It is possible that the 15 legislative 

day review period will expire in fewer 

than 30 calendar days from the date of 

publication of these regulations. Because 

the 1979 Amendments are already in 

effect and the 1980 election campaigns

are already underway, it is essential 

that these regulations take effect as 

soon as possible to provide guidance to 

candidates and committees for 

compliance with the new requirements 

of the FECA. The Commission, in 

accordance with 2 U.S.C. 553(d)(3), finds 

good cause for waiving the 30 calendar 

day period of the APA and intends to 

finally prescribe these regulations as 

soon as possible following either 

Congressional approval or the 

expiration of the 15 legislative day 

review period.

FOR FURTHER INFORMATION, CONTACT:

Ms. Patricia A. Fiori, Assistant General 

Counsel, 1325 K Street, NW,

Washington, DC 20463 (202-523-4143).

Explanation and Justification of

Regulations Concerning January 8,

1980 Amendments to Federal Election

Campaign Act of 1971

Part 100—Scope and Definitions

§ 100.1 Scope.

This subchapter is issued by the 

Federal Election Commission to 

implement the Federal Election 

Campaign Act of 1971 (Pub. L. 92-225), 

as amended by Pub. L. 93-443, Pub. L. 

94-283, Pub. L. 95-216 and Pub. L. 96- 

187.

§ 100.2 Election.

These definitions follow current

regulation 11 CFR 100.6.

§ 100.3 Candidate.

Subsections (a) (1) and (2) follow 2

USC 431(2) (A) and (B), which establish 

the $5,000 threshold for becoming a 

candidate.

Subsection (a)(3) of this definition 

generally follows the disavowal 

requirement of current regulation 11 CFR 

100.2(c), except that the $5,000 threshold 

is incorporated.

Subsection (a)(4) adds to the statutory 

definition by providing that all 

contributions received or expenditures 

made by an individual or his or her 

committees will be aggregated toward 

the $5,000 threshold. Thus, for example, 

if an individual receives $2,000 in 

contributions and his or her committees 

receive $3,001, that individual will 

become a candidate under the Act. If all 

contributions or expenditines were not 

aggregated in this manner, the $5,000 

threshold could be circumvented.

Subsection (b) defines the election

cycle during which contributions or

expenditures are aggregated for

purposes of determining whether an

individual is a candidate. This time

frame begins on the day following the

previous general election for the office

the candidate seeks and ends on the

date when the general election for that

office is held. However, where an

individual receives contributions or

makes expenditures designated for

another election cycle, then the election

cycle begins when the individual first

receives contributions or makes

expenditures in connection with the

designated election. The establishment

of this time frame is necessary to

prevent the aggregation of an

individual’s campaign receipts or

expenditures over several different

election periods.

§ 100.4 Federal office.

This definition follows 2 USC 431(3).

§ 100.5 P olitical committee.

Subsections (a), (b) and (c) of this 

definition follow 2 USC 431(4) (A), (B) 

and (C).

Subsection (d) adds to the statutory

definition and provides that when an

individual becomes a candidate by

exceeding the $5,000 threshold, his or

her principal campaign committee and

authorized committees become political

committees. Absent this provision, an

individual’s authorized committees

would become political committees

upon reaching die $1,000 threshold even

though the individual would not become

a candidate until reaching the $5,000 

threshold.

Subsection (e) follows current 

regulation 11 CFR 100.14(a), subsection

(f) follows current regulation 11 CFR 

100.14(b), and subsection (g) follows 

current regulation 11 CFR 100.14(c).

§ 100.6 Connected organization.

Subsection (a) follows current 

regulation 11 CFR 100.15.

Subsections (b) and (c) add to the 

statutory definition and reflect language

found in H.R. Rep. No. 96-422,96th 

Cong., 2d Sess. (1979) (hereinafter

referred to as House Report 96-422) at

page 6, as follows:

Subsection (b) provides that where an

entity such as a trade association

establishes a political committee,

member organizations of the trade

association would not in turn be

regarded as connected organizations of

the political-committee.

Subsection (c) makes it clear that an

entity which makes contributions to a

political committee does not become a

connected organization of that

committee. Rather, only an entity that

pays for the establishment,

administration or solicitation costs of

the committee will be regarded as a

connected organization.
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15081

§ 100.7 Contribution.

Subsection (a)(1) follows 2 USC

431(8)(a)(i).

Subsections (a)(l)(i) (A)-(C) clarify 

the relationship between the terms 

"loan” and “contribution.” Under 

subsection (A), no loan may exceed the 

contribution limitations, regardless of 

whether or not it is repaid.

Subsection (B) provides that a loan is 

a contribution at the time it is made and 

for such time and to the extent that it 

remains unpaid. Thus, any contributions 

made by an individual must be added to 

the balance of all unpaid loans and any 

other contributions made by that 

individual from that individual to 

determine whether he or she has 

exceeded the contribution limitations.

Subsection (C) makes it clear that a 

loan is a contribution by each endorser 

or guarantor. Where a written 

agreement sets forth the amount of an 

endorser’s or guarantor’s liability for the 

loan, then he or she is deemed to have 

contributed that amount. Similarly, 

where there is a written agreement, any 

reduction in the unpaid balance of the 

loan reduces the amount guaranteed by 

each endorser or guarantor in 

accordance with the terms of such 

agreement. In the event that the written 

agreement does not state the amount of 

the loan for which each is liable, then 

the loan is reduced proportionately 

among the total number of endorsers or 

guarantors.

Subsection (D) was added to make it 

clear that where a political committee 

makes a loan to any person, the 

repayment of the loan shall be subject to 

the provisions set forth at 11 CFR Parts 

110 and 114. Similarly, payment of 

interest on such a loan is not a 

contribution to the extent that it has not 

exceeded a commercially reasonable 

rate prevailing at the time the loan was 

made.

Subsection (a)(l)(ii) follows current 

regulation 11 CFR 100.4(a)(l)(i).

Subsections (a)(l)(iii) (A) and (B) 

essentially follow current regulations 11

CFR 100.4(a)(l)(iii) (A) and (B) (l)-(2), 

respectively.

Subsection (a)(2) follows current 

regulation 11 CFR 100.4(a)(2) and makes 

it clear that the entire amount paid to 

purchase a ticket to a fundraising or 

other political event is a contribution.

For example, the entire amount paid to 

attend a fundraising dinner, including 

the amount paid for the cost of a meal, is 

a contribution. Subsection (a)(2) also 

adds to current regulations by specifying 

mat the entire amount paid for a 

fundraising item is a contribution. This 

addition follows Commission policy 

with regard to the purchase of

fundraising items, such as watches, etc. 

(See AO 75-15).

Subsection (a)(3) follows 2 USC 

431(8)(A)(ii).

Subsection (a)(4) follows current 

regulation 11 CFR 100.4(a) (1) (iii)(B) (6).

§ 100.7(b).

This subsection sets forth numerous 

activities which are excluded from the 

definition of contribution.

Subsection (b)(1) essentially follows 

current regulation 11 CFR 100.4(b)(1). In 

addition, this subsection makes it clear 

that funds received or payments made 

in order to amass campaign funds to be 

spent after the individual becomes a 

candidate fall within the definition of 

contribution. Also, funds received or 

payments made for general public 

political advertising fall within the 

definition of contribution.

Subsection (b)(2) follows current 

regulation 11 CFR 100.4(b)(8).

Subsection (b)(3) follows 2 USC

431(8)(B)(i).

Subsections (b) (4), (5) and (6) 

essentially follow 2 USC 431(8)(B)(ii) 

with the following amplifications.

Subsection (b)(4) incorporates 

language in House Report 96-422 at page 

7, which expands the definition of 

residential premises to include a 

recreational room in an apartment 

complex.

Subsections (b) (4) and (5) add the 

proviso that such a recreational, church 

or community room must be available 

for use without regard to political 

affiliation.

Subsections (b) (4) and (5) further 

make it clear that the mere payment of a 

nominal fee for the use of the room 

which is not commensurate with its 

rental value does not constitute a 

contribution.

Subsection (b)(7) follows 2 USC

431(8)(B)(iii).

Subsection (b)(8) follows 2 USC 

431(8)(B)(iv). This subsection reflects a 

change in the statute by expanding the 

travel payment exemption to encompass 

a ll individuals. House Report 96-422 at 

page 8 makes it clear that this travel 

expense exemption applies not only to 

individuals who volunteer their personal 

services (as provided under current 

regulation 11 CFR 100.7(b)(6)), but 

extends as well to individuals who are 

being paid by a candidate or party 

committee.

Subsection (b)(9) essentially follows 2

USC 431(8)(B)(v) regarding the payment 

by State and local party committees of 

costs incurred with respect to printed 

slate cards, sample ballots, etc.

Language from House Report 96-422 at 

page 8 is incorporated by providing that 

the portion of the costs allocable to

federal candidates must be paid from

funds subject to the Act’s limitations

and prohibitions. If made by a party

committee which qualifies as a political

committee, such payments must be

reported as disbursements but need not

be allocated to specific candidates.

Subsection (b)(10) follows 2 USC

431(8){B)(vi).

Subsection (b)(ll) regarding loans

made by lending institutions in the

ordinary course of business generally

follows 2 USC 431 (8)(B)(vii). In addition,

this subsection incorporates language

from House Report 96-422 at page 8and

provides that an overdraft is to be

considered a contribution by the lending

institution unless it is made on an

account subject to automatic overdraft

protection and to a definite and

customary interest rate and repayment

schedule.

Subsection (b)(12) follows 2 USC 

431 (8) (B)(viii) and provides reporting 

requirements for donations toward 

construction costs of office facilities. 

Such donations are to be reported only 

if they are made directly to a political 

committee. However, if the donations 

are made to a separate entity or 

committee which is not a political 

committee under the Act and which is 

established solely to receive and 

disburse such donations, no reporting is 

required.

Subsections (b) (13) and (14) 

concerning the provision of legal or 

accounting services follow 2 USC 

431 (8) (B)(ix) and current regulation 11

CFR 100.4(b) (11) and (12).

Subsection (b)(15) follows and 

clarifies the provisions of 2 USC 

431(8)(B)(x) regarding the exclusion of 

payments made by State or local party 

committees for campaign materials, such 

as pins, bumper stickers and handbills, 

used in connection with volunteer 

activities, as follows:

Subsection (b)(15)(i) defines the term 

“direct mail” (see 2 USC 431(8)(B)(x)(l)) 

as any mailing made by a commercial 

vendor or from commercial lists. This 

definition is intended essentially to 

follow the definition of “direct mail” as 

it appears in House Report 96-422 at 

page 10. Thus, mailings by a commercial 

vendor or from commercial lists would 

not be included under this exemption. 

The term “commercial lists” refers 

generally to lists that were not 

developed by the State or local party 

committee, that is, to lists developed by 

a commercial vendor or lists purchased 

or obtained by such committee, except 

where the lists are obtained from a 

public office, such as voter registration 

lists obtained from a Secretary of State. 

Mailings from lists developed by a State 

or local committee are permissible.
15082 Federal Register / Vol. 45, No. 47 / Friday, M arch 7, 1980 / Rules and Regulations

Examples of lists developed by a 

committee are lists of contributors to a 

committee, lists of volunteers who have 

worked for the committee and lists 

developed as a result of substantial 

volunteer activity on behalf of the 

committee.

Subsection (b)(15)(iii) reflects 

language in House Report No. 96-422 at 

page 9 to the effect that a contribution 

shall not be considered “designated” 

-(see 2 USC 431(8)(B)(x)(3)) where the 

party committee disbursing the funds 

makes the final decision regarding its 

use.

Subsection (b)(15)(iv) incorporates 

language from House Report No. 96-422 

at page 9 and provides that payments by 

a State or local party committee for 

travel and subsistence or customary 

token payments to volunteers do not 

alter their volunteer status.

Subsection (b)(15)(v) makes it clear 

that such payments, if made by a 

committee which qualifies as a political 

committee under the Act, must be 

reported by the committee as 

disbursements but need not be allocated 

to specific candidates.

Subsection (b)(15)(vi) makes it clear 

that payments by a State candidate for 

his or her share of expenses for such 

campaign materials are not 

contributions so long as the amount paid 

does not exceed the State candidate’s 

proportionate share of the expenses.

Subsection (b)(15)(vii) follows House 

Report 96-422 at page 9 and provides 

that campaign materials which are 

purchased by a national party 

committee for use by a State or local 

committee do not qualify under this 

exemption. Similarly, this subsection 

also provides that materials purchased 

through the use of funds donated by a 

national committee for the purchase of 

such materials do not qualify under this 

exemption. Rather, the costs of these 

materials are subject to 2 USC 441a(d) 

and 11 CFR 110.7 regarding party 

committee expenditure limitations.

Subsection (b)(16) follows 2 USC 

431(8)(B)(xi) and, in addition 

incorporates the definition of “direct 

mail” from House Report 96-422, at page 

10. For the purposes of this section, the 

term “direct mail” means mailings by 

commercial vendors or mailings made 

from lists not developed by the 

candidate. A mailing by a candidate 

from a list of contributors to his or her 

campaign, a list of individuals who had 

volunteered to work for his or her 

campaign or other types of lists 

developed by the candidate would not 

be considered direct mail.

Subsection (b)(17) basically follows 

the provisions of 2 USC 431(8)(B)(xii) 

concerning the payment by State or

local party committees of costs of voter 

registration activities.

Subsection (b)(17)(i) defines "direct 

mail” in the same way it is defined 

under 11 CFR 100.7(b)(15)(i).

Subsection (b)(17)(iii) incorporates 

language contained in House Report No. 

96-422 at page 9, which states that a 

contribution shall not be considered 

“designated” where the party committee 

disbursing the funds makes die final 

decision as to its use.

Subsection (b)(17)(iv) incorporates 

language from House Report No. 96-422 

at page 10, which provides that if voter 

registration activities by State or local 

party committees on behalf of 

presidential and vice presidential 

nominees include references to 

candidates for the House or Senate as 

well, the costs attributable to the House 

or Senate candidates would be 

considered contributions by the State or 

local party committees. If, however, the 

reference to the House or Senate 

candidates is merely incidental to the 

overall activity, then such incidental 

mention would not be considered a 

contribution to such candidates.

Subsection (b)(17)(v) incorporates 

language found in House Report No. 96- 

422 at page 10, concerning phone banks. 

When phone banks are operated by 

volunteers in connection with voter 

registration and get-out-the-vote 

activities, the payment of costs incurred 

in the use of such phone banks is not a 

contribution. Any payment incurred in 

the use of paid professionals to design 

the phone bank system, develop calling 

instructions and train supervisors is not 

a contribution, but, if made by a political 

committee must be reported as a 

disbursement.

Subsection (b)(17)(vii) provides that if 

payments for voter registration and getout-the-vote activities are made from 

funds donated for that purpose to a 

State or local party committee by a 

national committee, such payments are 

not exempt. House Report 96-422 at 

page 9, makes it clear that campaign 

materials purchased by a national party 

committee and given to a State or local 

committee do not quality for the 

exemption at 2 USC 431(8)(B)(x). This 

subsection extends the same rationale 

to payments made for voter registration 

and get-out-the-vote activities where the 

national committee donates funds to the 

State or local committee for such 

activities.

Subsection (b) (18) and (19) follow 2 

USC 431(8)(B)(xiii) and (xiv), 

respectively.

Subsection (b)(20) follows current 

regulation 11 CFR 100.4(b)(15).

§ 100.7(c).

This section incorporates established 

Commission policy into the regulations 

and provides that any contributions or 

payments made by a married individual 

shall not be attributed to that 

individual’s spouse unless otherwise 

specified by that individual or by his or 

her spouse.

§ 100.8 Expenditure.

Subsection (a) and (a)(1) follow 2 USC 

431(9)(A)(i).

Subsections (a)(1) (i) and (ii) follow 

current regulation 11 CFR 

100.7(a) (1) (i) ( A)—(C).

Subsection (a)(l)(iii) follows current 

regulation 11 CFR 100.7(a)(l)(ii).

Subsection (a)(l)(iv)(A) essentially 

follows current regulation 11 CFR 

100.7(a)(l)(iii).

Subsection (a)(l)(iv)(B) follows 

current regulations 11 CFR 

100.7(a) (1 ) (iii) ( A)—(B).

Subsection (a)(2) follows 2 USC 

431(9)(A)(ii) and makes the additional 

clarification that such an agreement is 

considered an expenditure as of the date 

the contract, promise or obligation is 

made.

Subsection (a)(3) follows current 

regulation 11 CFR 100.7(a)(4).

§ 100.8(b).

This section sets forth numerous 

activities which are excluded from the 

definition of expenditure. The 

regulations under this section 

essentially follow the statutory 

language, the current regulations, or the 

proposed regulations pertaining to 

exclusions from the definition of 

“contribution" as discussed above.

Subsection (b)(1) follows proposed 

regulations at 11 CFR 100.7(b)(1).

Subsection (b)(2) follows 2 USC 

431(9)(B)(i) and current regulation 11

CFR 100.7(b)(3j.

Subsection (b)(3) follows 2 USC 

431(9)(B)(ii) and current regulation 11 

CFR 100.7(b)(4).

Subsection (b)(4) follows 2 USC 

431 (9) (B) (iii).

Subsection (b)(4) (i) follows current 

regulation 11 CFR 100.7 (b)(5)(i).

Subsection (b)(4)(ii) follows current 

regulation 11 CFR 100.7 (b)(5)(ii).

Subsection (b)(4)(iii) follows current 

regulation 11 CFR 100.7 (b)(5)(iii).

Subsections (b) (4) (iii) (A) (1)—(2) follow 

current regulations 11 CFR 

100.7(b)(5)(iiiMA)(lH2).

Subsections (b) (4)(iii) (B)(1)—(4) follow 

current regulations 11 CFR 

100.7(b)(5)(iii)(B)(lH4).

Subsection (b)(4)(iii)(C) follows 

current regulations 11 CFR 

100.7 (b) (5) (iii) (C).
Federal R egister / Vol. 45, No. 47 / Friday, M arch 7, 1980 / Rules and Rpcxilations 15083

Subsection (b )(4 )(iii)(D ) follow s

current regulations 1 1 C F R

100.7(b)(5)(iii)(D ).

Subsections (b )(4 )(iv )-(v ii) fo llo w

current regulations 1 1 C F R

100.7(b)(5)(iv)—(vii), respectively.

Subsections (b)(5), (6), and (7)

essentially fo llo w current regulations 11

CFR 100.7(b)(6) and (7).

Subsection (b)(8) w as added to reflect

the addition o f its p arallel provision

under “contribution” at 11 CFR 

100.7(b)(7).

Subsection (b)(9) follows current 

regulations 11 CFR 100.7(b)(8) and (10) 

and incorporates the new $1,000 and 

$2,000 limitations established in its 

counterpart provision under 

“contribution” at 11 CFR 100.7(b)(8).

Subsections (b)(10) and (11) 

essentially follow 2 USC 431 (9) (B) (iv) 

and (v). In addition, subsection (b)(10) 

incorporates the provisions concerning 

the portion of costs allocable to Federal 

candidates found in the parallel 

provision under “contribution” at 11

CFR 100.7(b)(9).

Subsection (b)(12) basically follows 

current regulation 11 CFR 100.7(b)(16) 

and incorporates those additional 

provisions of its counterpart provision 

under “contribution” at 11 CFR 

100.7(b)(ll).

Subsection (b)(13) was added to 

reflect the addition of its parallel 

"contribution” provision at 11

100.7(b)(12).

Subsections (b)(14) and (15) follow 2 

USC 431 (9) (b) (vii) (I) and (II) and 

incorporate the language regarding 

partnerships found in their parallel 

provisions at 11 CFR 100.7 (b)(13) and 

(14). In addition, subsection (b)(15) 

makes it clear that expenditures for 

legal or accounting services by a

candidate certified to receive public 

funds under 11 CFR Parts 143-or 9034 do 

not count against the candidate’s 

expenditure limitations.

Subsections (b)(16)(i)—(iii) essentially 

follow 2 USC 431(9)(B)(viii)(l)—(3), 

respectively, and incorporate the 

additions made to their parallel 

provisions under “contribution” at 11

CFR 100.7(b)(15)(i)—(iii). In addition, 

subsections (b) (16)(iv)—(vi) were 

inserted to reflect the additions made at 

100.7(b)(15) (i v)—( vi).

Subsection (b)(17) was added to

reflect the addition of a parallel

provision under'“contribution” at 11

CFR 100.7(b)(16).

Subsections (b)(18)(i)—(vi) follow 2

USC 431 (9)(B)(ix)(1—3) and incorporate 

those additions made to the parallel 

provisions under “contribution” at 11

CFR 100.7(b)(17)(i)-(vi).

Subsection (b)(19) follows 2 USC 

431 (9) (B) (x).

Subsection (b)(20) follows current 

regulation 11 CFR 100.7(b)(17).

Subsections (b)(21),.(21)(i) and (ii) 

follow current regulations 11 CFR 

100.7(b)(13}(i)—(iii).

Subsection (b)(22) follows current 

regulation 11 CFR 100.7(b)(10).

Subsection (c) was added to reflect 

the addition of its counterpart provision 

under “contribution” at 11 CFR 100.7(c).

§§ 100.9-100.18.

These definitions follow 2 USC 

§§ 431 (10)—(19), respectively. Section 

100.14(b) additionally incorporates 

current regulation 11 CFR 100.19(b).

§ 100.19. File, filed or filing.

This definition follows current 

regulation 11 CFR 100.9.

§ 100.20 Occupation.

This definition follows current 

regulation 11 CFR 100.11.

§ 100.21 Employer.

This section makes it clear that the 

term “employer” means the name of the 

organization by which an individual is 

employed and not the name of the 

individual’s supervisor.

Part 101 Candidate Status and 

Designations.

§ 101.1 Candidate designations.

Subsections (a) and (b) generally 

follow 2 USC 432(e)(1). In addition, 

subsection (a) incorporates language in 

House Report 96-422 at page 12 and sets 

forth registration procedures to be 

followed by principal campaign 

committees and the Commission.

§ 101.2 Candidate as agent of

authorized committee.

Subsection (a) follows 2 USC 

432(e)(2). Under subsection (b), once an 

individual becomes a candidate, he or 

she will be deemed to have acted as an 

agent of his or her authorized 

committees in receiving funds, obtaining 

loans or making disbursements in 

connection with the campaign prior to 

becoming a candidate.

i 101.3 Funds received or expended

prior to becom ing a candidate.

This subsection clarifies the agency 

principle set forth in subsection 101.2. 

Funds received or expended by an 

individual prior to becoming a 

candidate, which were used in 

connection with that individual’s 

election campaign, are subject to the 

limitations and prohibitions of the Act. 

As these funds and payments must be 

reported by the individual after 

candidate status is attained, such 

individual should keep accurate records

of all such funds received and payments 

made. All funds received which violate 

the provisions of the Act must be 

refunded within 10 days from the date 

on which the individual attains 

candidate status.

Part 102—Registration, Organization and 

Recordkeeping by Political Committees.

§ 102.1 Registration o f p olitical

com m ittees.

Subsections (a)-(d) generally follow 2

U.S.C. 433(a) and 432(f) (1) and (2). In 

addition, subsection (c) makes it clear 

that a fund established solely for the 

purpose of financing State or local 

elections is not required to file a 

Statement of Organization with the 

Commission.

§ 102.2 Statem ent o f organization:

Forms and com m ittee identification

numbers.

Subsections (a)(l)(i)—(vi) generally 

follow 2 U.S.C. 433(b)(lH6), 

respectively. To insure that 

communications from the Commission 

reach the appropriate person, subsection 

(a)(l)(v) adds the requirement that the 

authorized committee also include the 

address to which communications 

should be sent

Subsection (a)(2) generally follows 2 

U.S.C. 433(c) and current regulation 11

CFR 102.3.

Subsections (b)(l)(i) and (b)(l)(ii)(A)—

(B) generally follow current regulations 

11 CFR 102.2(b)(l)(i) and (b)(l)(ii)(A)—

(B), respectively.

Subsection (b)(l)(ii)(C) incorporates 

the committee identification number 

procedure set forth in current regulation 

11 CFR 102.5

Subsection (b)(2) follows current 

regulation 11 CFR 102.2(b)(2).

S 102.3 Termination o f registration.

Subsections (a) and (b) essentially 

follow current regulation 11 CFR 102.4 

(a) and (b), respectively.

§ 102.4 Adm inistrative termination.

This subsection sets forth procedures 

to implement 2 U.S.C. 433(d)(2) which 

provides the Commission with authority 

to terminate a committee’s reporting 

obligations. See also House Report 96- 

422 at page 15.

% 102.5 Organizations financing

p olitical activity in connection with

F ederal and non-federal elections, other

than through transfers and joint

fundraisers.

Subsection (a) basically tracks current 

regulations at 11 CFR 102.6. It sets forth 

requirements for organizations which 

finance political activity in connection 

with both federal and non-federal
15084 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

elections where those organizations

qualify as political committees under the

Act. Such organizations must either (1)

establish a separate account for federal

activity that accepts only funds subject

to the limitations and prohibitions of the

Act; or (2) establish one committee to

conduct both federal and non-federal

activity, which committee may accept

only funds subject to the limitations and

prohibitions of the Act.

Subsection (b) deals with

organizations which finance both

federal and non-federal election activity,

but which do not qualify as political

committees under the Act. Such

organizations must demonstrate through

a reasonable accounting method that

their federal activity is financed with

funds subject to the limitations and

prohibitions of the Act. Upon request,

the committee must supply the

Commission with records which will

demonstrate compliance with

subsection (b).

§ 102.6 Transfers and joint fundraisers.

Subsection (a) provides that transfers

of funds may be made without limit

between affiliated committees, whether

or not they are political committees. For

example, a committee established by a

labor organization for State and local

election activity may transfer funds to

any political committee established by

the labor organization or by any local

unit of that labor organization. Similarly,

a committee established by a

corporation for State and local election

activity may transfer funds to any

political committee established by the

corporation or by any of its subsidiaries,

branches, divisions or departments.

These transfers apply toward the

thresholds for determining whether the

committee becomes a political

committee under the Act. Hence, if a

committee established1 by a corporation

or labor organization for State or local

activity transferred any amount (other

than transfers under 11 CFR 102.6(b)) to

an affiliated political committee such

committee would become a political

committee under the Act.

With regard to party committees,

subsection (a) provides that transfers of

funds may be made without limit

between any party committees,

regardless of whether or not they are

political committees or of whether or not

they are affiliated. These transfers

would apply toward the threshold in

determining whether such committees

become political committees under the

Act.

Subsection (b) deals with the transfer

of contributions collected by a

committee which is not a political

committee under the Act in joint

fundraising with or as a fundraising

agent for an affiliated political

committee. In transferring such

contributions, a committee which is not

a political committee under the Act may

either: (1) establish a transmittal

account for transferring contributions;

(2) transmit the contributions by money 

order, cashier's check or similar 

instrument without depositing them in 

any account; or (3) for collections 

through joint fundraising or a check-off 

plan, deposit such contributions in its 

account and subsequently transfer them 

to the political committee with which it 

is affiliated. A committee which 

deposits contributions into its account 

prior to making a transfer must keep 

detailed records of the contributions, 

deposits and transfers.

Past Commission policy has been to

require such committees to establish a

transmittal account when engaging in

joint fundraising with or when acting as

a fundraising agent for a political

committee. An exception was created

for contributions collected through

check-off plans. (See AO 78-42 and 78- 

98.) The proposed regulations effect a

change in Commission policy by

permitting contributions collected in

joint fundraising to be deposited into a

committee’s account prior to their

transfer to a political committee. This

change is based on the legislative

history of Public Law 96-187. During

debate on H.R. 5010, both Senator Pell

and Representative Thompson stated

that under the new amendments a

committee which is established for nonfederal election activity need not

establish a separate account when

transferring contributions collected in

joint fundraising with an affiliated

political committee. (125 Cong. Rec.

819,099 (daily ed. December 18,1979) 

(remarks of Senator Pell); 125 Cong. Rec.

H12.365 (daily ed. December 20,1979) 

(remarks of Representative Thompson)).

§ 102.7 Organization o f p olitical

com m ittee.

Subsection (a) follows the amendment 

made by 2 U.S.C. 432(a), in that a 

committee is only required to have a 

treasurer, and in addition permits the 

designation of an assistant treasurer as 

set forth in current regulation 11 CFR 

102.7(b)(2).

Subsections (b) and (c) follow 2 U.S.C. 

432(a) and current regulation 11 CFR 

102.7(d).

Subsection (d) incorporates the 

provisions of 2 U.S.C. 432(e)(2) and 

proposed regulation 11 CFR 101.2(a) so 

as to make it clear that a candidate who 

receives contributions or makes 

disbursements in connection with his or 

her campaign shall be deemed to do so

as an agent of his or her authorized 

committee(s).

1 102.8 R eceipt o f contributions.

Subsections (a) and (b)(l)-(2) 

basically follow 2 U.S.C. 432(b)(1) and 

(2)(A)-(B), respectively, and further 

impose the duty on every person 

receiving contributions in excess of $200

to forward the identification of the 

contributor to the treasurer together 

with the contribution. Absent such a 

duty, the treasurer would be unable to 

keep an account of the identification of 

such contributors as required by 2 U.S.C. 

432(c)(3) in situations where someone 

other than the treasurer received the 

contribution.

Similarly, subsection (c) was added to 

•clarify the situation where an 

intermediary or conduit receives 

earmarked contributions. Under this 

subsection, all duties imposed upon 

those receiving contributions apply to 

intermediaries and conduits as well. In 

addition, this subsection makes it dear 

that the date of receipt of a contribution 

is the date on which the treasurer or any 

other person acting on behalf of a 

committee obtains possession of such 

contribution.

% 102.9 Accounting fo r contributions

and expenditures.

Subsections (a) and (b) basically 

follow 2 U.S.C. 432(c). Subsection 

(b)(l)(iv) clarifies the meaning of the 

term “purpose" of the disbursement as 

used in 2 U.S.C. 432(c)(5) to require a 

brief description of why the 

disbursement was made and cites to 11

CFR 104.3(b)(3)(i)(A) for examples of 

descriptions which would or would not 

satisfy this requirement.

Subsection (b)(2) essentially follows 

those provisions of 2 U.S.C. 432(c)(5) 

concerning documentation for 

disbursements in excess of $200. This 

subsection also sets forth 

documentation requirements for 

disbursements made by cash advance, 

share draft or check drawn on a credit 

union account, and for credit card 

transactions, to provide adequate notice 

to those committees using such methods 

of disbursements.

Subsection (c) essentially follows 2 

U.S.C. 432(d).

Subsection (d) incorporates language 

from House Report 96-422, p. 14, and 

details more specific procedures to be 

followed by the treasurer in satisfying 

the "best efforts’’ test set forth in 2 USC 

432(i). Unless the treasurer has made at 

least one written effort pm transaction 

to obtain a duplicate copy of the receipt, 

invoice or cancelled check, he or she 

will not be deemed to have exercised his 

or her best efforts to comply with the
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15085

Act’s recordkeeping requirements. 

Recordkeeping requirements for 

receipts, invoices and cancelled checks 

are extremely important. Without such 

documentation, it would be impossible 

to verify how contributions received by 

a committee are spent.

Subsection (e) follows current 

regulation 11 CFR 101.2(d). It should be 

noted that the procedure set forth in 

subsection (e) is necessary only where 

contributions from one contributor 

exceed $1,000.

§ 102.10 Disbursement by check.

This section generally follows 2 USC 

432(h)(1).

§ 102.11 Petty cash fund.

This section essentially follows 2 USC 

432(h)(2).

§ 102.12 Designation o f principal

campaign committee.

Subsection (a) essentially follows 2 

USC 432(e)(1).

Subsection (b) follows current 

regulation 11 CFR 102.11(b).

Subsection (c)(1) follows 2 USC

432(e)(3) (A) (i).

Subsection (c)(2) follows 2 USC

432(e)(3)(B).

§ 102.13 Authorization o f political

committees.

Subsections (a) and (b) generally 

follow current regulations 11 CFR 102.12 

(a) and (b).

Subsections (c) (1) and (2) essentially 

follow 2 USC 432(e)(3)(A)(ii) and

(e)(3)(B), respectively. In addition, 

subsection (c)(2) incorporates the 

language in House Report 96-422 at page 

13 as set forth above regarding a 

national political party committee which 

has been designated the principal 

campaign committee pf its Presidential 

candidate.

§ 102.14. Name o f p olitical com m ittees.

Subsection (a) follows 2 USC

432(e)(4).

Subsection (b) (1) and (2) clarify

requirements for naming delegate and

draft committees. A delegate committee

must include the word "delegate(s)” in

its name and may also include the name

of the presidential candidate it supports.

Similarly, a committee established

solely to draft a candidate may include

the individual’s name, provided that the

committee’s name also clearly indicates

that it is a draft committee.

Subsection (c) follows 2 USC 432(e)(5) 

regarding names of separate segregated

hinds but also incorporates language 

from the House Report 96-422 at page

*®\A ^!nci may U8e a dearly recognized

abbreviation or acronym by which its

connected organization is commonly 

known, so long as both its full name and 

such abbreviation or acronym are 

included on all required disclosure 

statements and on all advertisement and 

solicitation notices. The fund may make 

contributions in its acronym or 

abbreviation. While a newly formed 

labor organization or corporation may 

not have an acronym or abbreviation 

with which the public is familiar, the 

fund of such an organization may use an 

acronym or abbreviation by which the 

organization intends to be known. If a 

corporation with a number of 

subsidiaries establishes a fund, the fund 

will not have to include the name of 

each subsidiary in its name. By the same 

token, a fund established by a 

subsidiary is not required to include in 

its name the name of its parent or 

another subsidiary of its parent.

§ 102.15. Commingled funds.

This section follows 2 USC 432(b)(3).

§ 102.16. N otice: Solicitation o f

contribution.

This section was inserted to make it 

clear that political committees must 

comply with the notice requirements set 

forth at 2 USC 441d.

Part 103—Campaign Depositories

§ 103.1 N otification o f the Commission.

This section follows current 

regulations at 11 CFR 103.1.

§ 103.2 D epositories.

This section follows those provisions 

of 2 USC 432(b)(1) and 432(h)(1) which 

expanded the permissible tyjpes of 

campaign depositories. In addition, it 

incorporates the provisions of current 

regulation 11 CFR 103.2 which permits 

the establishment of one or morq 

depositories in one or more States and 

one or more accounts per depository.

§ 103.3 D eposit o f receipts and

disbursements.

This section follows 2 USC 432(h) (1) 

and (2) and current regulation 11 CFR 

103.3.

§ 103.4 Vice Presidential candidate

campaign depository.

This section follows current regulation 

11 CFR 103.4.

Part 104—Reports by Political

Committees

§ 104.1 Scope.

This section generally follows 2 USC 

434(a)(1) and in addition permits 

voluntary registration and reporting by 

an individual seeking federal office who 

has not yet attained candidate status

under the Act. Subsection (b) makes it

clear that such an individual does not

become a candidate solely by registering

and reporting and the individual’s

committee need not file any reports until

the individual becomes a candidate.

§ 104.2 Forms.

This section was added to standardize 

and clarify reporting formats.

Subsection (e) specifies the appropriate

FEC forms to be used by various types

of reporting committees. Under

subsection (d), a committee is permitted

to use computer-produced schedules of

receipts and disbursements for reporting

purposes. However, the schedules must

be reduced to the size of FEC forms and

the Commission must have approved the

proposed format prior to its use.

§ 104.3 Contents o f reports.

This section generally follows 2 USC 

434. The cash-on-hand requirement of 

subsection (a)(1) provides a starting 

point for each report. It requires the 

reporting of all cash-on-hand, in 

whatever form, as of the beginning of 

the reporting period. The section also 

requires the reporting of the total 

amount of receipts received during the 

reporting period.

Subsection (a)(2)(ii) specifies that 

contributions from all political party 

committees, including party committees 

which are not registered committees 

under the Act, must be reported. The 

Commission believes that it is important 

for public disclosure purposes that 

contributions from unregistered party 

committees be reported along with 

contributions from registered political 

party committees, rather than being 

reported as “contributions from persons 

other than political committees.’’ For the 

same reason, subsection (a)(2)(iii) 

specified that contributions from 

committees which are not political 

committees under the Act must be 

reported along with contributions from 

political committees which are 

registered under the Act.

Under subsection (a)(4)(i), the 

threshold for itemizing contributions 

from persons other than committees has 

been increased from an aggregate 

amount in excess of $100 to an aggregate 

amount in excess of $200. Also, under 

subsection (a)(4)(v) and (a)(4)(vi) the 

threshold for identifying persons who 

provide a rebate, refund, or other offset 

to operating expenditures to the 

reporting committee, or who provide any 

dividend, interest, or other receipt, has 

been raised to $200.

The reporting requirements for

disbursements are similar to the

reporting requirements for receipts. The

threshold for the identification of
15086 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

persons to whom disbursements are 

made has been increased to $200 per 

disbursement

Subsection (b)(3)(i){A) explains the 

requirement for reporting the “purpose” 

of an expenditure, and sets forth 

examples of those statements and 

descriptions which will meet the 

requirements, as well as examples of 

those statements and descriptions which 

are unacceptable. The latter are 

illustrative of those descriptions which, 

in the Commission’s view, would not 

provide sufficient public disclosure of 

how a committee used its funds.

Subsection (b)(3)(viii) adds the 

requirement that each person who 

receives an expenditure from the 

reporting committee in connection with 

an expenditure under 2 USC 441a(d) be 

identified by name and office sought, 

including the state and congressional 

district where applicable.

Subsection (c) provides for a summary

of contributions and operating

expenditures.

Subsection (d) requires disclosure of

the amount and nature of outstanding

debts and obligations owed by or to the

reporting committee. Included are loans

obtained by an individual prior to

becoming a candidate which are used in

connection with the individual’s

campaign.

Pursuant to 2 USC 438(a)(4), 

subsection (e) was added to permit a 

political committee to submit ten (10) 

pseudonyms on each report hied in 

order to determine if the names and 

addresses of its contributors are being 

used to solicit contributions or for 

commercial purposes in violation of 11

CFR 104.5. The subsection also includes 

the proper method of reporting amounts 

attributed to pseudonyms. A list of such 

pseudonyms must be submitted to the 

Commission. In addition, a limitation is 

placed on the amount of contributions 

which may be attributed to a 

pseudonym. This provision is designed 

to prevent die possibility of pseudonyms 

becoming the subject of Commission 

compliance actions.

Subsection (f) explains the method by

which a principal campaign committee

files consolidated reports based on

reports submitted to it by any

authorized committees and the principal

campaign committee’s own report.

Subsection (g) requires the reporting

on a separate schedule of any

contributions received by a political

committee to defray the costs of

construction or die purchase of office

facilities.

Subsection (h) requires that a

committee which receives legal or

accounting services report on a separate

schedule the amounts paid for these

services by the regular employer of the

persons providing such services, the

date the services were performed and

the name of the person performing such

services.

§ 104.4 Independent expenditures by

p olitical com m ittees.

The reporting requirements for

political committees making

independent expenditures is now wholly

contained in this subsection, which

includes instructions on where to file

such reports, as well as requirements for

reporting certain independent

expenditures within 24 hours after they

are made.

§ 104.5 Filing dates.

Subsection (a) generally follows 2 

USC 434(a)(2) and (a p ).

Subsection (b) generally follows 2 

USC 434(a)(3).

Subsection (c) essentially follows 2

USC 434(a)((4) and clarifies the 

procedures to be followed by political 

committees who wish to change the 

frequency of their reporting and limits 

each committee to no more than one 

change in its filing status per calendar 

year.

’ Subsection (d) follows 2 USC

434(a)(10).

Subsection (e) generally follows 2

USC 434(a)(5) with the added 

clarification that when reports are sent 

by first class mail, they must be received 

by the required filing date.

Subsection (f) follows 2 USC 434(a)(6).

Subsection (g) generally follows the 24 

hour reporting requirement for certain

independent expenditures set forth in

the last paragraph of 2USC 434(c)(2).

Subsection (h) was added to 

incorporate 2 USC 434(a)(9).

§ 104.6 Form and content o f internal

communication reports.

Subsection (a) generally follows 2

USC 431(9)(B)(iii).

Subsection (b) gererally follows 2 USC

434(a) (4){ A) (i)-(ii).

Subsection (c) incorporates wellestablished Commission practice .

regarding the specific information to be

included in such reports.

§ 104.7 B est effoTts.

This subsection incorporates language 

found in House Report 96-422 at page 

14, which gives examples of procedures 

that may be followed by a treasurer in 

satisfying the “best efforts” test set forth 

at 2 USC 432(i). In determining whether 

or not a committee has exercised “best 

efforts,” the Commission’s primary focus 

will be on the system established by the 

committee for obtaining disclosure 

information. The main concern will be

whether the committee has in place a

systematized method for complying with

the Act’s disclosure requirements. Under

proposed regulation 11 CFR 104.3(a)(4), 

the treasurer of a political committee

must report the identification of each

person whose contributions to such

committee and its affiliates aggregate in

excess of $200 per calendar year. The

treasurer must make at leqst one effort, '

by clear written request or clear oral

request contemporaneously documented

in writing, to obtain identification

information from the contributor. The

request must also inform the contributor

that the reporting of such information is

required by law. The treasurer is

provided with the option of making the

request orally or in writing. Thus, ¡he or

she is given some latitude in deciding

which type of request would be more

effective in eliciting required

information from the contributor, The

requirement that the treasurer keep a 

written record of an oral request will

assist in verifying that such a request

was indeed made.

i 104.8 Uniform reporting o f

contributions.

Subsections (a) and (b) were amended

to conform to 2 USC 434(b)(3)(A). 

Subsection (a) also incorporates the

provision of current regulation 11 CFR

104.5(a) regarding a change in the 

contributor’s name. Subsection (b) adds

to the statutory language by specifying 

procedures for the reporting of 

contributions received through a payroll 

deduction plan.

Subsections (c) and (d) follow current

regulations 11 CFR 104.5(c) and (e), 

respectively.

% 104.9 Uniform reporting o f

expenditures.

This section was amended to comply

with 2 USC 434(b)(5)(A). In addition, the

term “purpose” is defined as a brief 

statement or description of the reason 

for the disbursement. (See proposed 

regulation 11 CFR 104.3(b)(3).)

§ 104.10 A llocation o f expenditures

among candidates.

This section follows current regulation

11 CFR 1Q4.7.

§ 104.11 Continuous reporting o f debts

and obligations.

This section follows current regulation 

11 CFR 104.8, with the addition of the 

reporting requirements for those debts 

which were settled for less than their 

reported value, the authority for which 

is found at 2 USC 434(b)(8).
Federal Register / V ol. 45, No» 47 / Friday, M arch 7, 1980 / Rules and Regulations 15087

§ 104.12 Beginning cash on hand fo r

political com m ittees.

This section essentially follows 

current regulation 11 CFR 104.10.

§ 104.13 D isclosure o f receipt and

consumption o f in-kind contributions.

This section generally follows current 

regulation 11 CFR 104.3.

§ 104.14 Form al requirem ents

regarding reports and statements.

This section generally follows current 

regulation 11 CFR 104.12.

§ 104.15 Sale or use restriction.

This section essentially follows 

current regulation 11 CFR 104.13. It 

specifically states that the use of 

information copied from the FEC reports 

in newspapers, magazines, and similar 

communications is permissable so long 

as the principal purpose is not to 

communicate contributor information 

for any commençai purpose.

§ 104.16 Audits.

This section has been added to follow 

2 USC 438(b).

§ 104.17 Content o f reports;

Presidential and V ice Presidential

committees.

This section incorporates the effective 

dates provided in thé footnote to 2 USC 

431 and affords authorized committees 

of Presidential and Vice Presidential 

candidates for the 1980 elections the 

option of following the requirements set 

forth in proposed regulations 11 CFR 

104.3 (a) and (b) or adhering to existing 

reporting procedures.

Part 105—Document Filing

§ 105.1 Place o f filing: House

candidates, their principal campaign

committees, and com m ittees supporting

only house candidates.

This section follows current 

regulations at 11 CFR 105.1 and 

105.4(a)(1).

§ 105.2 P lace o f filing; Senate

candidates, their principal campaign

committees, and com m ittees supporting

only Senate candidates.

This section follows current regulation 

at 11 CFR 105.2 and 105.4(a)(2).

§ 105.3 Place o f filing; Presidential

candidates and their principal campaign

committees.

This section follows current regulation 

U CFR 105.3.

§ 105.4 Place o f filing; p olitical

committees and other persons.

This section follows current regulation 

11 CFR 105.4(b).

§ 105.5 Transmittal o f m icrofilm copies

and photocopies o f original reports filed

with the Clerk o f the House and the

Secretary o f the Senate.

The two (2) day requirement for 

transmittal of records in subsection (a) 

follows 2 USC 432(g)(3) and subsections 

(b) and (c) follow current regulation 11

CFR 105.5 (a) and (b), respectively.

Part 106—Allocations of Candidate and 

Committee Activities

§ 106.1 A llocation o f expenditures

among (or betw een) candidates and

activities.

This section follows current regulation 

11 CFR 106.1 with the exception of the 

addition of subsection (c)(3). The 

addition of this subsection was 

necessary to make it clear that while 

payments made for get-out-the vote 

activities conducted by state and local 

party organizations on behalf of any 

Presidential or Vice Presidential 

candidates are exempt from the 

definition of expenditure (see 11 CFR 

100.8(b)(18)), references to 

Congressional candidates, unless such 

references are incidental, are 

contributions to or expenditures on 

behalf of such candidates and a 

proportionate share of thp costs will be 

allocated to such candidates.

§ 106.2 A llocation o f expenditures

among states by candidates fo r

Presidential nomination.

This section essentially follows 

current regulation 11 CFR 106.2.

§ 106.3 A llocation o f expenses betw een

campaign and non-campaign related

travel.

This section essentially follows 

current regulation 11 CFR 106.3.

§ 106.4 A llocation o f polling expenses.

This section follows current regulation 

11 CFR 106.4.

Part 108—Filing Copies of Reports and 

Statements With State Officers

§ 108.1 Filing requirements.

This section follows 2 USC 439(a)(1).

§ 108.2 Filing copies o f reports and

statem ents in connection with the

campaign o f any candidate seeking

nomination fo r election to the office o f

President or Vice President.

This section follows current 

regulations 11 CFR 108.2 as amended by 

2 USC 439(a) (1) and (2)(A) in that the 

requirement for committees of 

Presidential candidates to file reports 

pertaining to the general election with 

any Secretary of State has been

eliminated. See House Report 96-422 at 

page 25.

§ 108.3 Filing copies o f reports and

statem ents in connection with the

campaign o f any congressional

candidates.

This section follows current regulation 

11 CFR 108.3 and adds the amendment 

set forth at 2 USC 439(a)(2)(B) that 

political committees are only required to 

file and Secretaries of State are only 

required to keep that portion of each 

report applicable to candidates seeking 

election in that State.

§ 108.4 Filing copies o f reports by

com m ittees other than principal

campaign com m ittees.

This section generally follows current 

regulation 11 CFR 108.4.

i 108.5 Time and manner o f filing

copies.

This section generally follows current 

regulation 11 CFR 108.5.

§ 108,6 Duties o f state officers.

This section has been amended to

incorporate the changes made by 2 USC

439(b), which were intended to alleviate

the burden on Secretaries of State. See

House Report 96-422 at page 25.

§ 108.7 E ffect on state law.

This section follows current regulation

11 CFR 108.7.

§ 108.8 Exemption fo r the D istrict o f

Columbia.

This section follows current regulation

11 CFR 108.8.

Part 109—Independent Expenditures

§ 109.1 Definitions.

This section follows current regulation

11 CFR 109.1.

§ 109.2 Reporting o f independent

expenditures by persons other than a

p olitical comm ittee.

This section has been amended to 

incorporate the^changes set forth at 2

USC 434(c) (1) and (2) regarding 

reporting requirements for persons, 

other than a political committee, who 

make independent expenditures.

§ 109.3 Non-authorization notice.

This section generally refers to 11 CFR 

110.11, which has been amended by 2 , 

USC 441d. Such notice need not appear 

on the front face or page of the 

document. See 125 Cong. Rec. H12.366 

(daily ed. December 20,1979) (remarks 

of Congressman Thompson).
15088 Federal Register / Vol. 45, No. 47 / Friday, M arch 7, 1980 / Rules and Regulations

Part 110—Contribution and Expenditure 

Limitations and Prohibitions

§§ 110.1 through 110.5

These sections follow current 

regulations 11 CFR 110.1 through 110.5.

§ 110.6 Earm arked contributions.

This section follows current regulation

11 CFR 110.6, except that the

contribution threshold for the reporting

of the contributor’s occupation and

employer is raised to $200.

§ 110.7 Party com m ittee expenditure

lim itations.

This section follows current regulation 

11 CFR 110.7, except that the provisions 

regarding limitations and allocations of 

expenditures by State and local party 

committees (110.7(b)(5) and 110.7(c)(2) 

(i)-(iii)) are deleted.

§§ 110.8 through 110.10

These sections follow current 

regulations 11 CFR 110.8 through 110.10.

§ 110.11 Communications; advertising.

This section essentially follows 2 USC 

441d (a) and (b) and incorporates the 

exemption found in current regulation 11

CFR 109.4(a)(1) for small items upon 

which the disclaimer cannot be 

conveniently printed. The Act no longer 

requires that the notice be on the front 

page or face of any materials. See 125 

Cong. Rec. H12.366 (daily ed. December 

20,1979) (remarks of Congressman 

Thompson).

§ 110.12 Honoraria.

This section was amended to reflect

the 1977 Amendments to the Act (Pub. L. 

No. 95-216).

Subsection (a) was amended to 

include the guidelines set forth in the 

1977 Amendments for determining the 

aggregate amount of honoraria accepted 

in a calendar year (2 USC 441i (c) and 

( d ) ) .

Subsection (b)(5) has been amended 

to reflect the changes made in the 

definition of “accepted” by 2 USC 

441i(b).

Subsection (b)(6) has been added to 

include the definition of “charitable 

organization” found in 2 USC 44li(b).

Part 111—Compliance Procedure

§ l l i i Scope.

The compliance regulations provide 

procedures for processing possible 

violations of the Federal Election 

Campaign Act o( 1971 as amended (2

USC 431, etseq.), the Presidential 

Primary Matching Payment Account 

Act, as amended (26 USC 9031, et seq.) 

and the Presidential General Election 

Campaign Fund Act, as amended (26

USC 9001, et seq.) (chapters 95 and 96 of

the Internal Revenue Code of 1954). The

procedures set forth below essentially

follow 2 USC 437g and explain the steps

by which the Commission exercises its

power to investigate, conciliate and

redress cases involving violations of

those statutory provisions.

% 111.2 Computation o f time.

This section sets forth the rules for 

computing time to be followed in 

calulating the date when responses, 

notifications, etc. must be served under 

this Part. In accordance with House 

Report 96-422 at page 21, the provision 

of the Federal Rules of Civil Procedure 

which governs the calculation of time 

has been incorporated into this section.

§ 111.3 Initiation o f com pliance

matters.

This section sets forth the two means

by which the Commission may begin an

enforcement proceeding.

§ 111.4 Complaints.

The manner for filing of complaints by

members of the public alleging

violations of the statutes within the

Commission’s jurisdiction is set forth in

this section. Subsection (b) sets forth the

statutory requirements with which a

complaint must comply in order for the

Commission to act upon it. A complaint

is improper if it does not comply with

this subsection, and shall not be acted

upon by the Commission. Subsection (d)

sets forth additional requirements which

should be complied with in order to

provide the Commission with sufficient

information to address a complaint fully.

The Commission may find that a

complaint which does, not comply with

subsection (d) provides insufficient

information, and for that reason, may

vote to take no action on a complaint.

§ 111.5 Initial com plaint processing.

This section sets forth the requirement 

that a respondent be notified within 5 

days of receipt of a complaint. 

Subsection (b) provides that, in the case 

of a complaint which does not conform 

with the requirements of section 

114.4(a), the Commission shall notify 

both the complainant and respondent 

within 5 days that no action will be 

taken on the basis of the improper 

complaint.

§ 111.6 Opportunity to dem onstrate

that no action should b e taken on

com plaint-generated matters.

For any compliance matter initiated 

by the filing of a complaint, a 

respondent shall be given 15 days to 

respond in writing to the complaint

before the Commission takes any action

other than dismissal of the complaint.

§ 111.7 G eneral Counsel’s

recom m endation on complaintgenerated matters.

This section describes the first

recommendations which the General

Counsel may make to the Commission

on a compliance matter initiated by the

filing of a complaint.

§ 111.8 Internally generated matters;

referrals.

This section sets forth the procedure 

for handling compliance matters 

initiated on the basis of information 

ascertained by the Commission in the 

normal course of its supervisory 

responsibilities. Referrals from other 

government agencies are also handled in 

this manner. The Commission may find 

reason to believe on such matters 

without waiting 15 days. If the 

Commission finds reason to believe, a 

copy of a staff report setting forth the 

factual and legal basis of the finding 

shall accompany the notification to the 

respondent as set forth in House Report 

96-422 at page 22.

Subsection (c) sets forth the

additional requirement of publishing the 

names of persons failing to file preelection and quarterly disclosure reports 

due immediately prior to an election.

Such names must be published before

the Commission may find reason to

believe the Act was violated.

§ 111.9 The reason to believe finding;

notification.

If the Commission by 4 affirmative 

votes finds reason to believe in any 

compliance matter, the notification of 

such finding shall be signed by the 

Chairman and shall describe the alleged 

violation. Notification of any action 

which terminates the Commission’s 

proceedings shall be made by the 

General Counsel.

% 111.10 Investigation.

This section sets forth a general 

outline of the procedure for Commission 

investigations which occur after a 

finding of reason to believe. Review of 

reports and statements filed with the 

Commission may constitute an 

investigation.

§ 111.11 Written questions under oath.

This section sets forth the

Commission’s power to issue orders.

§ 111.12 Subpoenas and subpoenas

duces tecum; depositions.

This section sets forth the

Commission’s power to issue

subpoenas. Subsection (c) provides that
Federal Register / Vol. 45, No. 47 / Friday, M arch 7, 1980 / Rules and Regulations 15089

Rule 30(e) of the Federal Rules of Civil 

Procedure governs the review and 

signing of depositions. Thus, if a 

deponent does not expressly waive 

signature, he or she must sign a 

deposition within 30 days.

§ 111.13 Service o f subpoenas, orders

and notifications.

This section describes the proper 

manner of service of all Commission 

subpoenas, orders and notifications 

(including letters). In accordance with 

House Report 96-422 at page 21, this 

section tracks the Federal Rules of Civil 

Procedure for service. Subsection (b) 

provides that all service shall be made 

upon the attorney in any case in which a 

respondent has advised the Commission 

in writing of representation in 

accordance with 11 CFR 111.23. 

Subsection (c) describes proper service 

on individuals (natural persons) and 

subsection (d) describes proper service 

on other persons, such as organizations 

or corporations.

\ 111.14 W itness fees and m ileage.

This section sets forth the 

requirements for witness fees for 

depositions. Witness fees must be 

tendered in advance or within a 

reasonable time after a deposition.

§ 111.15 M otions to quash or m odify a

subpoena.

This section provides persons 

subpoenaed an opportunity to request 

that the Commission quash or modify a 

subpoena. Such a motion must be filed 

within 5 days of receipt of the subpoena.

Subsection (c) provides that the 

General Counsel and a person 

subpoenaed may agree to change the 

place, date or time for a deposition or 

for production of documents without 

affecting the validity of the subpoena. 

Such agreements must be confirmed in 

writing by one of the parties.

§ 111.16 The probable cause to believe

recommendation; briefing procedures.

This section describes, the briefing 

procedures prior to a finding by the 

Commission of probable cause. If the . 

General Counsel intends to recommend 

that the Commission vote on whether or 

not there is probable cause, he or she 

shall so advise the respondent and shall 

provide the respondent with a brief 

setting forth the factual and legal issues 

of the case. The respondent may submit 

a brief in response within 15 days of 

receipt of the General Counsel’s brief.

Subsection (d) provides that after

review of the respondent’s brief, the

General Counsel shall notify the

Commission in writing if he or she

intends to proceed with

recommendation in the General 

Counsel’s brief. Upon receipt of this 

notification from the General Counsel, 

the Commission shall consider both 

briefs (if respondent files one) before it 

proceeds to a vote.

§ 111.17 The probable cause to believe

finding; notification.

The General Counsel shall notify the 

respondent of a Commission finding of 

probable cause. If the Commission finds 

no probable cause or otherwise 

terminates its proceedings, the General 

Counsel shall so notify both the 

complainant and the respondent.

% 111.18 Conciliation.

This section sets forth the conciliation 

procedures.

Subsection (d) makes clear that the 

Commission is not precluded from 

conciliating, upon request of a 

respondent, prior to entering into that 

mandatory conciliation period. For 

example, if, in the course of an 

investigation, and prior to any 

recommendation on probable cause, a 

respondent indicates in writing a desire 

to enter conciliation the Commission 

may enter into conciliation negotiations. 

Any such conciliation agreement 

reached without a finding of probable 

cause shall carry the same force and 

effect as an agreement reached after a 

finding of probable cause.

% 111.19 Civil proceedings.

This section sets forth the procedure 

for authorizing the General Counsel to 

seek judicial relief in the event 

conciliation has failed. Subsection (c) 

makes it clear that the Commission may 

enter into a conciliation agreement even 

after it has authorized the filing of a civil 

action if a respondent seeks to 

conciliate instead of awaiting civil suit 

by the Commission.

§ 111.20 Public disclosure o f

Commission action.

This section provides that final 

Commission action on all compliance 

matters shall be made public no later 

than 30 days from notification of the 

respondent and the complainant of such 

final action. In addition, the Commission 

shall make public as soon as possible 

any signed conciliation agreement.

§ 111.21 Confidentiality.

This section sets forth the 

confidentiality requirements of the Act. 

Subsection (a) describes the 

confidentiality provision which governs 

the Commission’s entire compliance 

proceeding until such time as a case is 

closed and the provisions of 11 CFR

111.20 apply. Subsection (b) describes

the additional confidentiality 

requirement which is applicable only to 

conciliation efforts, and information 

derived therefrom, which are not 

finalized.

§ 111.22 Ex parte communications.

This section sets forth the prohibition 

on ex porte communications between 

Commissioners (and their staffs) and 

persons outside the Commission on any 

compliance matter. The section tracks 

current regulations except that 

subsection (c) makes it clear that this 

section does riot prohibit staff of the 

Office of General Counsel from 

contacting any persons in the course of 

representing the Commission and 

conducting its investigation.

§ 111.23 Representation by counsel;

N otification.

This section provides that any 

respondent or witness before the 

Commission who wishes to be 

represented by counsel must so notify 

the Commission in writing. Upon receipt 

of such a letter, all future 

communications from the Commission 

shall be made to the designated 

representative.

Part 112—Advisory Opinions

% 112.1 R equests fo r advisory opinions.

Subsection (a) broadens, to any 

person, the class of those who have 

standing to request an advisory opinion, 

as provided in 2 USC 437f(a)(l).

Subsections (b) and (c) have been 

amended to follow the language of 2

USC 437f(a)(l) which requires a request 

to relate to a specific transaction or 

activity which the person requesting the 

opinion intends to undertake.

Subsection (b) also includes language 

from House Report 96-422 at page 20, 

which precludes opinions based on 

requests which pose a hypothetical 

situation or which concern the activities 

of third parties.

Subsection (d) reflects the 

Commission’s current practice of 

reviewing requests for sufficiency.

Subsections (e) and (!) generally 

incorporate current regulations 11 CFR 

112.1 (d) and (e).

§ 112.2 Public availability o f requests.

This section follows the requirements 

of 2 USC 437f(d).

§ 112.3 Written comments on requests.

This section follows 2 USC 437f(d) 

and elaborates on the computation of 

the 10 day period for submitting written 

comments. It also indicates that the 

written comment period may be 

extended, but without affecting the time 

periods in 11 CFR 112.4.
15090 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

§ 112.4 Issuance o f advisory opinions.

, Subsections (a), (b) and (c) 

incorporate the specific time 

requirements provided in 2 USC 437f(a)

(1) and (2) within which an opinion must 

be issued by the Commission and 

include in the definition of response the 

provision in House Report 96-422 at 

page 20 that a 3-3 vote by the 

Commission on a proposed opinion will 

satisfy the response time requirement.

Subsections (d), (ë), (f) and (g) follow 

the language of 2 USC 437f(b).

% 112.5 R eliance on advisory opinions. -

This section incorporates the 

provisions of 2 USC 437f(c).

§ 112.6 Reconsideration o f advisory

opinions.

This section allows for

reconsideration of an advisory opinion

at the initiative of either the person to

whom the opinion is issued or a

Commissioner who voted with the

majority in the original issuance of the

opinion. It also sets forth procedures for

reconsideration, and permits the original

requestor, in cases where

reconsideration is at the initiative of a

Commissioner, to rely on the original

opinion without being subject to

sanction, until the requestor receives

notice of the Commission’s decision to

reconsider its opinion.

Part 113—Excess Campaign Funds and

Contributions to Support Federal

Officeholder Activities

§ 113.2 Use o f funds.

This séction has been amended to 

follow the changes made in 2 USC 439a.

In particular, this section includes the

new prohibition against using excess

campaign funds for any personal use,

other congressional officeholders on

January 8,1980. In addition, the

prohibition on personal use does not

apply to former members of Congress

who were retired or no longer

officeholders as of January 8,1980.

Those individuals are instead governed

by the restrictions in effect at the time

they were Members of Congress.

§ 113.3 D eposits o f funds donated to a

F ederal or state officeholder.

This section was expanded to permit

funds donated to be deposited in a

separate account established for that

purpose.

§ 113.4 Contribution and expenditure

lim itations.

This section was formerly 11 CFR 

113.5. Since the 1979 Amendments drop 

the reporting requirement for office

accounts, former regulation 11 CFR 113.4 

has been deleted.

Part 9008—Federal Financing of 

Presidential Nominating Conventions

§ 9008.3 Entitlement to paym ents from

the fund.

Subsection (a) has been amended to 

reflect the increase in federal financing 

of presidential nominating conventions 

from $2 million to $3 million as set forth 

in 26 USC 9008(b).

Index to Regulations, Parts 100-115

The following subject index to FEC 

regulations, 11 CFR Parts 100-115, was 

prepared by the Information Services 

Division of the Federal Election 

Commission. The Index covers both the 

regulations published in this notice, 

implementing Pub. L. 96-187, and current 

regulations in Parts 100-115 that were 

not modified by the regulations being 

published today.

Advertising/Solicitation

Comparable rate charged, § 110.11(b)

Notice required, § 102.16; § 110.11(a)

Advisory Opinions

Issuance of, § 112.4

Reconsideration of,§ 112.6

Reliance on, § 112.5

Requests for, § 112.1

—made public, § 112.2

—written comments on, § 112.3 •

Standing to receive, § 112.1(a)

Affiliated Committee

Definition, § 100.5(g); § 110.3

C ontribution lim itations, § 110.3

D isclosure of, § 102.2(b)

Transfers between, § 102.6(a)

Audits

By Commission, § 104.16

Preservation of reports for, § 104.14(b)(3)

Authorized Committee

A s affiliated com m ittee, § 100.5(g)

Contributions received by, § 102.8(a)

Definition, § 100.5(d); § 100.5(f)(1)

Designation of, by candidate, § 101.1(b);

§ 102.13 (a) and (c)

Registration of, § 102.1(b)

Reports by, § 104.3(f)

R estrictions on nam e of, § 102.14(a)

Campaign Depository

D eposit of receipts in, § 103.3(a)

Designation of, by political committee,

§ 103.1; § 103.2

Disbursements from, § 102.10; § 103.3(a)

Fo r com m ittees financing both federal and

non-federal elections, § 102.5

Fo r joint fundraising, § 102.6(b)

For Vice Presidential candidate campaign,

§ 103.4

Communications

Newstory exempted from contribution/

expenditure, § 100.7(b)(2); § 100.8(b)(2)

Nonpartisan communications by

corporations, labor organizations or other

membership organizations, § 114.1(a)(2)(ii)-

§114.4

Notice required, § 110.11(a)

Partisan communications by corporations,

labor organizations or other membership

organizations, § 100.8(b)(4); § 114.1(a)(2)(i);

§ 114.3

Candidate

As agent of authorized committee, § 101.2;

§ 102.7(d)

Clearly identified, definition, § 100.17

Contributions to, § 110.1; § 110.2

Definition, § 100.3

Designations by, § 101.1 '

—of authorized committees, § 101.1(b);

§ 102.13

—of principal campaign committee,

§ 101.1(a); § 102.12

—when individual is candidate for more

than one federal office, or for federal and

state office, § 110.8(d)

Expenditures by, from personal funds,

§ 110.10

Expenditures made for more than one

candidate, § 106.1

Fraudulent misrepresentation by candidate,

§ 110.9(b)

Living expenses, § 100.8(b)(22)

Presidential candidate expenditure

limitations, § 110.8

Travel by, § 106.3

Compliance

Briefing procedures, § 111.16

Civil proceedings, § 111.19

Complaints, § 111.4; § 111.5; § 111.6; § U1.7

Computation of time, § 111.2

Confidentiality, § 111.21

Conciliation agreements, § 111.18

Ex parte communications, § 111.22

Initiation of compliance matters, § 111.3

Internally generated compliance matters,

s. § 111.8

Investigation, § 111.10

Motions to quash or modify subpoenas,

§ 111.15

Probable cause to believe

—recommendation, § 111.16

—notification, § 111.17

Public disclosure of Commission action,

§ 111.20

Reason to believe finding, § 111.9

Representation by counsel, notification,

§ 111.23

Service of subpoenas, orders and

notifications, § 111,13

Subpoenas, depositions, § 111.12

Witness fees and mileage, § 111.14

Written questions under order, § 111.11

Connected Organization

Definition, §100.6

Disclosure of, § 102.2(b)

S ee also: Affiliated Committee

Contributions

Accounting for, § 102.9(a)

Criteria for establishing candidate status,

§ 100.3(a)

Definition, § 100.7(a)

Determining candidate “support,”

§ 102.12(c)(2); § 102.13(c)(2)

Earmarked, § 102.8(c); § 110.6

Exemptions from definition, § 100.7(b)

Financing both federal and non-federal

elections, § 102.5
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15091

Forty-eight hour notification of, § 104.5(f)

Identification of contributor, § 104.7(b);

§104.8

Impermissible, § 101.3; § 103.3(b); § 104.12;

§ 110.4; § 114.2; § 114.8(b); § 115.2(a)

In-kind

—“anything of value” defined,

§ 100.7(a)(l)(iii); § 100.8(a)(l)(iv)

—opinion polling expenses, § 106.4(b)

—reporting of, § 104.13; § 106.1(b);

§ 106.4(b)

—when not an independent expenditure,

§ 109.1(c)

Limitations on contributions

—affiliated com m ittees share one limit,

§ 110.3(a)(l)(i)

—annual limitations, § 110.5

—by a minor, § 110.1(i)(2)

—by candidates, § 110.1(f)

—by m ulticandidate com m ittees, § 110.2

—by partners, § 110.1(e); § 115.4(c)

—by persons, § 110.1

—by spouses, § 100.7(c); § 110.1(i)(l)

—exempted contributions, § 100.7(b) (6), (7)

and (8)

—to both a cand idate’s authorized

committee and a com m ittee that supports

the same candidate, § 110.1(h)

—to retire debts, § 110.1(g)

—violations of, § 110.9

Raised jointly by non-political and political

committees, § 102.6

Receipt of, § 102.8

Received prior to an individual’s becom ing a

candidate, § 101.3

Reporting of

—by authorized com m ittees, § 104.3(a)(3);

§ 104.3(a)(4) (i) and (ii); § 104.3(b)(4)(v)

—by political com m ittees other than

authorized com m ittees, § 104.3(a)(2);

§ 104.3(a)(4)(i) and (ii); § 104.3(b)(l)(v);

§ 104.3(b)(3)(iv) and (v)

—summary, § 104.3(c)(1)

Solicitation of

—notices required, § 102.16; § 110.11;

§ 104.5(a)(3), (4) and (5)

—restrictions on use of reports for,

§ 114.15(a) and (b)

—to retire debts, § 110.1(g)

—See also: Corporation/Labor

Organization/National Bank

Convention, National Nominating

Reports and registration by

—host com mittees, § 107.1

—organization» an d groups representing a

local government agency, § 107.1

—organizations and groups representing a

state or municipality, § 107.1

—political parties, § 107.2

Corporation/Labor Organization/National

Bank

Affiliated com m ittees of, § 110.3(a)

Candidate and party app earan ces,

§ 114.3(c)(2); § 114.4(b)

Communications to stockholders, executives

or members

—nonpartisan registration and voting

information, § 114.4(c)

—registration and get-out-the-vote drives,

§ 114.3(c)(4); § 114.4(d)

—partisan, § 100.8(b)(4); § 114.3

Connected organization

—Definition, § 100.6

—Reported, § 102.2(b)

Contributions and expenditures prohibited,

§ 114.2

Debt settlement, § 114.10(b) and (c)

Employee participation plan, § 114.11

Establishment, administration and

solicitation costs, § 114.1(a)(2)(iii);

§ 114.1(b); § 114.5(b)

Extension of credit by, § 114.10(a)

Facilities

—customarily made available to civic

organizations, § 114.12(b)

—isolated use by corporate employees or

union members, § 114.9(a) and (b)

—reimbursement for costs required if used

by other persons, § 114.9(d)

Fringe benefits while employee on leave,

§ 114.12(c)

Good Government activities, § 114.3(c)(2);

§ 114.4(b)

Incorporation for liability purposes only,

§ 114.12(a)

Legal and accounting services,

§ 114.1(a)(2)(vi) and (vii)

Partisan communications, § 114.3

Payroll deduction/check-off plans

—employee participation plans, § 114.11

—for executives, shareholders, members,

§ 114.5(k)

—Presidential nominating convention

activity, § 114.1(a)(2)(viii)

—prohibited by corporate member to trade

association’s separate segregated fund,

§ 114.8(e)(3)

—prohibited under twice yearly

solicitations, § 114.6(e)(1)

Raffle as fundraiser, § 114.5(b)(2)

Separate segregated funds

—coercion prohibited, § 114.5(a)

—communications paid with voluntary

, contributions, § 114.5(i)

—control by parent organization, § 114.5(d)

—defined as political committee, § 100.5(b)

—membership in, § 114.5(c)

—registration of, § 102.1(c)

—subject to contribution limits, § 114.5(f)

—voluntary contributions to, § 114.5(a)

Solicitations

—accidental or inadvertent, § 114.5(h)

—methods available, § U4.5(k); § 114.6(e)

—methods,permitted by law to labor

uniops, § 114.5(1)

—must inform employee of political

purpose and right to refuse, § 114.5(a)(3)

and (4) .

—notification required, § 114.5(a)(3), (4)

and (5)

—of all employees twice yearly, § 114.6

—of members, § 114.5(g)

—of shareholders and executive and

administrative personnel, § 114.5(g)

Transportation provided to candidate,

§ 114.9(e)

Trustee plan

See: Employee participation plan

Twice yearly solicitations; § 114.5(e)(3);

§ 114.6

See also: Membership Organization; Separate

Segregated Fund; Trade Association

Debts

See: Reporting

Definitions

Act, § 100.18

Affiliated committee, § 100.5(g)

Agent, § 109.1(b)(5)

Anything of value, § 100.7(a)(l)(iii);

§ 100.8(a)(l)(iv)

Authorized committee, § 100.5(d); § 100.5(f)(1) 

Candidate, § 100.3(a)

Caucus, § 100.2(e)

Clearly identified candidate, § 100.17 

Commission, § 100.9 

Connected organization, § 100.6 

Contribution, § 100.7(a)

Contribution exemptions, § 100.7(b) 

Convention, § 100.2(e)

Corporation, § 100.8(b)(4)(vi)

Election, § 100.2(a)

Election cycle, § 100.3(b)

Employee participation plan, § 114.11(a)

Employer, § 100.21

Excess campaign funds, § 113.1(e)

Executive or administrative personnel,

§ 100.8(b)(4)(iii); § 114.1(c)

Expenditure, § 100.8(a)

Expenditure exemptions, § 100.8(b)

Expressly advocating, § 109.1(b)(2)

Federal Election Commission, § 100.9 

Federal office. § 100.4 

Federal officeholder, § 113.1(c)

File, filed or filing, § 100.19 

Foreign national, § 110.4(a)(3)

Funds donated, § 113.1(a)

Général election, § 100.2(b)

Honorarium, § 110.12(b)

Identification, § 100.12 

Independent expenditure, § 100.16; § 109.1(a) 

Labor organization, § 100.8(b)(4)(i); § 114.1(d) 

Member, § 100.8(b)(4)(iv); § 114.1(e) 

Multicandidate committee, § 100.5(e)(3) 

National committee, § 100.13 

Occupation, § 100.20 

Office account, § 113.1(b)

Party committee, § 100.5(e)(4)

Person, § 100.10 

Personal funds, § 110.10(b)

Petty cash fund, § 102.11 

Political committee, § 100.5 

Political party, § 100.15 

Primary election, § 100.2(c)

Principal campaign committee, § 100.5(d);

§ 100.5(e)(1)

Runoff election, § 100.2(d)

Single candidate committee, § 100.5(e)(2) 

Special election, § 100.2(f)

Speech, § 110.12(b)(3)

State, § 100.11

State committee, § 100.14(a)

Subordinate committee of state committee,

, § 100.14(b)

Support, § 102.12(c)(2); § 102.13(c)(2) 

Stockholder, § 100.8(b)(4)(ii); § 114.1(h)

Trade association, § 114.8(a)

Unauthorized committee, § 100.5(f)(2) 

Voluntary contributions, § 114.1(i)

Voting age population, § 110.9(d)

Depository

See: Campaign Depository 

Election

Definition, § 100.2(a)

—caucus or convention, § 100.2(e)

—cycle, § 100.3(b)

—general, § 100.2(b)

—primary, § 100.2(cj 

—runoff, § 100.2(d)

—special, § 100.2(f)

Enforcem ent

See: Compliance
15092 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

Excess Campaign Funds

Definition, § 113.1(e)

Use of, § 113.1(e); § 113.2

Expenditures

Accounting for, § 102.9(b)

Allocation of

—among (or between) candidates, § 104.10;

§ 106.1

—among states, by candidates for

Presidential nomination, § 106.2

—between campaign and noncampaign

travel, § 106.3

—for polling expenses, § 106.4

Criteria for establishing candidate status,

§ 100.3

Definition,? 100.8(a)

Disbursement of

—by check, § 102.10

;—from petty cash fund, § 102.11

Exemptions from definition, § 100.8(b)

Identifying recipient of, § 104.9

Limitations on

—by candidate, from personal funds,

. § 110.10

—by party committees, § 110.7

—by Presidential candidate, § 110.8

—exempted expenditures, § 100.8(b) (7), (8)

and (9)

—“price index” increase of, § 110.9(c)

—violations of, § 110.9(a)

Independent expenditures

See: Independent Expenditures

Operating expenditures

—reporting of

—by authorized committees, § 104.3 (a)(3)

(ix); § 104.3 (a)(4) (v); § 104.3 (b)(2) (i)

—by political committees other than

authorized committees, § 104.3 (a)(2)

(vii); § 104.3 (a)(4) (v); § 104.3 (b)(1) (i)

—summary, § 104.3(c)(2)

Prohibited expenditures for national banks,

corporations and labor organizations,

§ 114.2

Reporting of

— by authorized committees, § 104.3(b) (2)

and (4)

v —by political committees other than

authorized committees, § 104.3(b) (1) and

(3)

—in-kind contributions as expenditures,

§ 104.13(a)(2); § 109.1(c)

Federal Contractor

Contributions and expenditures by,

prohibited, § 115.2(a)

Definition* § 115.1(a)

Employee contributions or expenditures,

§ 115.6

Individuals and sole proprietors, § 115.5

Partnership, § 115.4

Separate segregated funds established by,

§ 115.3

Federal Election Commission

Advisory opinions

See: Advisory Opinions

Audits and investigations by, § 104.16

Definition, § 100.9

Enforcement by, Part 111

Federal O fficeholder

Definition, § 113.1(c)

Filing Reports, Designations and Statements

Definition of filing, § 100.19

Forty-eight hour notification of contribution,

8 104.5(f)

Independent expenditure reports, § 104.4;

§ 109.2

Internal communication reports by

membership organizations and

corporations, § 104.6; § 105.4

National nominating convention reports,

§ 107

Postmarks, when filing by mail, § 104.5(e)

Transmittal of documents to Commission by

Secretary of Senate and Clerk of House,

§ 105.5

When to file, § 104.5

With appropriate federal office

—by House candidate committees, § 105.1

—by other committees, § 105.4

—by Presidential and Vice Presidential

candidate principal campaign

committees, § 105.3.

—by Senate candidate committees, § 105.2

With state officers, § 108.1

—by committees and persons other than

principal campaigning committees,

§ 108.4

—by Congressional candidate committees,

§ 108.3

—by Presidential and Vice Presidential

candidate principal campaign

committees, § 108.2

—duties of officers, § 108.6

—effect on state law, § 108.7

—exemption for District of Columbia,

§ 108.8

—time and manner of filing, § 108.5

See also: Forms; Reporting

Forms

Computer-produced schedules in lieu of,

§ 104.2(d)

Consolidated reports, § 104.3(f)

Donations toward political committee office

facilities, separate schedule for, § 104.3(g)

For Congressional candidate committees,

§ 104.2(e)(2)

For Presidential and Vice Presidential

candidate committees, § 104.2(e)(1)

For Presidential candidates and their

committees, reporting expenditures by

state, § 106.2(a)

For political committees other than

authorized committees, § 104.2(e)(3)

Independent expenditures, § 104.4(a);

§ 109.2(a)

Internal communications by membership

organization or labor organization,

§ 104.6(a)

Legal and accounting services, separate

schedule for, § 104.3(h)

Notice of Termination, § 102.3

Obtainable from the Commission, § 104.2(b)

Reproduction of, § 104.2(c)

Statement of Candidate, § 101.1

Statement of Organization, § 102.1; § 102.2

See also: Filing Reports, Designations and

Statements; Reporting

Honorarium

Definition, § 110.12(b)

Limitations on accepting, § 110.12(a)

Not a contribution, § 100.7{b)(19)

Independent Expenditures

Certification of, § 109.2(a)(1)

Definition, § 100.16; § 109.1(a)

For public communications, notice required,

§ 109.4; § 110.11

M ade on behalf o f m ore than one candidate

§ 106.1(a)

Reporting of, § 100.8(a)(3); 1 104.4; § 109.2

— by persons other than a political

com m ittee, § 109.2

— by political com m ittees other than

authorized com m ittees, § 104.3 (b)(1) (vii) 

§ 104.3 (b)(3) (vii)

— tw enty-four hour reports, § 104.4(b)

Labor Organization

See: Corporation/Labor Organization/

National Bank

Legal and Accounting Services

By corporations and labor organizations,

§ 114.1 (a)(2) (vi) and (vii)

N ot a contribution, § 100.7(b) (13) and (14)

Not an expenditure, § 100.8(b) (14) and (15)

Reporting of, § 104.3(h)

Loans

A s contribution, § 100.7(a)(1)

A s expenditure, § 100.8(a)(1)

Not a contribution, § 100.7(b) (11), (12) and

(20); § 102.4(c)(2)

N ot an expenditure, § 100.8(b) (12), (13) and

(20)

Reporting of

— by authorized com m ittees, § 104.3 (a)(3)

(vii); § 104.3 (a)(4) (iv); § 104.3 (b)(2) (in);

§ 104.3 (b)(4) (iii) and (iv); § 104.3(d)

— by political com m ittees other than

authorized com m ittees, § 104.3 (a)(2) (vi); 

§ 104.3 (a)(4) (iv); § 104.3 (b)(1) (iii) and

(vi); § 104.3 (b)(3) (iii) and (vi); § 104.3(d)

M embership Organizations

A s trade association, § 114.7(c)

Definition of “m em ber," § 114.1(e)

M utual life insurance com panies, § 114.70)

Professional organizations, state law

determ ines corporate/non corp orate status,

§ 114.7(d)

Reporting of com m unications, § 100.8(b)(4)

S ep arate segregated fund, established by,

§ 114.7(g)

Single contribution limitation, § 110.3(a)

Solicitations by, § 114.7 (a), (e), (f) and (j)

See also: C orporation/Lab or Organization/

N ational Bank; S ep arate Segregated Fund;

T rad e A ssociation

Multicandidate Committee

Definition, § 100.5(e)(3)

Contribution lim itations, § 110.2

National Banks

See: C orp oration /L ab or O rganization/

N ational Bank

National/State/Local Party Committees

A ffiliated com m ittees, § 100.5(c)(2); § 110.3(b)

A llocation of expenditures

— exceptions, § 106.6(c)

— federal/n on-fed eral adm inistrative,

§ 106.1(e)

— in general, § 106.1(a)

C om m ittees established and maintained by

national party com m ittees, § 110.1(b)(2);

§ 110.2(a)(2)(ii)

Contribution/expenditure exceptions

— ballot a c ce s s paym ents, § 100.7(b)(18);

§ 100.8(b)(19)

— cam paign m aterials for volunteer

activities, 1100.7(b )(15); § 100.8(b)(l6)
Federal Register / Vol. 45, Nb. 47 / Friday, March 7, 1980 / Rules and Regulations 15093

—food, beverages and invitations,

§ 100.7(b) (6) and (7); § 100.8(b) (7) and

(8)

—legal or accounting services, § 100.7(b)

(13) and (14); § 100.8(b) (14) and (15)

—nonpartisan activity, § 100.8(b)(3)

—office building fund, § 100.7(b)(12);

$ 100.8(b)(13)

—^recount of results of federal elections,

§ 100.7(b)(20)

—slate card costs, § 100.7(b)(9);

§ 100.8(b)(10)

—travel expenses, § 100.7(b)(8);

§ 100.8(b)(9)

—use of residential premises, church or

community room § 100.7(b) (4) and (5);

§ 100.8(b) (5) and (6)

—voter registration and get-out-the-vote

activities for Presidential and Vice

Presidential nominees, § 100.7(b)(17);

§ 100.8(b)(18)

Defined as a political committee, § 100.5(c)

Definitions

—national committee, § 100.13

—party committee, § 100.5(e)(4)

—political party, § 100.15

—state committee, § 100.14(a)

—subordinate committee of state

committee, § 100.14(b)

Expenditure limitations, § 110.7

Federal/non-federal election financing,

§ 102.5

Registration requirements, § 102.1

Separate contribution limits

—for national and state party committees,

§ 110.3(b)(1)

—for state party and independent

subordinate party committees,

§ 110.3(b)(3) (ii)

—for Senate candidates from national

party and Senate campaign committees,

§ 110.2(c)

Subordinate state committees

—presumed not independent of state

committee for contribution limit

purposes, § 110.3(b)(2)(ii)

—share state expenditure limit, § 110.7(c)

Transfers between committees of same

political party unlimited, § 102.6(a);

§ 110.3(c)

Office Accounts

Appropriated and personal funds not

included, § 113.1 (a) and (b)

Contribution and exemption limits may

apply. § 113.4

Definition, § 113.1(b)

Funds donated to

—definition, § 113.1(a)

-deposit of, § 113.3

—use of, § 113.1

Party Committee

See:National/State/Local Party Committees

Personal Funds

For living expenses of candidate,

§ 100.8(b)(22)

For travel expenses of candidate,

§ 106.3(b)(1)

For unlimited expenditures by candidate,

1 110.10

Segregated from political funds, § 102.15

Political Committee

Accounting for contributions and

expenditures, § 102.9

Authorized by candidate, § 102.13

Campaign depository

S ee: Campaign Depository

Comingled funds of, § 102.15

Definition, § 100.5

—affiliated committee, § 100.5(g)

—authorized committee, § 100.5(d);

§ 100.5(f)(1)

—multicandidate committee, § 100.5(e)(3)

—principal campaign committee, § 100.5(d)

and (e)(1)

—separate segregated fund, § 100.5(b)

—single candidate committee, § 100.5(e)(2)

—unauthorized committee, § 100.5(f)(2)

Delegate committee, restriction on name of,

§ 102.14(b)(1)

Designation of principal campaign committee,

§ 102.12

Draft committee, restriction on name of,

§ 102.14(b)(2)

Financing of, for federal/non-federal election,

§ 102.5

-Identification number, § 102.2(c)

Names of, f 102.14

Organization of, § 102.7

Party committee

See: National/State/Local Party Committees

Registration of, § 102.1

—authorized committees, S 102.1(b)

—other political committees, § 102.1(d)

—principal campaign committees,

§ 102.1(a)

—separate segregated funds, § 102.1(c)

Reporting

See: Reporting

Statement of Organization, § 102.1; § 102.2(a)

Termination of

—by political committee, § 102.3

—by the Commission, § 102.4

Transfers between § 102.6

See also: Separate Segregated Fund;

National/State/Local Party Committees

Principal Campaign Committee

Consolidated report filed by, § 104.3(f)

Definition, § 100.5(d); § 100.5(e)(1)

Designation of

—by candidate, § 101.1(a); J 102.12(a)

—restrictions on, § 102.12 (b) and (c)

Registration of, § 102.1(a)

Termination of, § 102.3(b)

Recordkeeping

Allocation of expenditures among

candidates, § 104.10; § 106.1

Best efforts, § 102.9(d); § 104.7

Disbursements

—account of, § 102.9(b)

—by check, § 102.10; § 103.3(a)*

—from petty cash fund, § 102.11; § 103.3(a)

Distinguishing between primary and general

election contributions, § 102.9(e)

Federal/non-federal election finance

activities, § 102.5; § 106.1(e)

Identifying contributor, § 104.7(b); § 104.8

Identifying recipient of expenditure, § 104.9

Illegal contributions, § 103.3(b)

In-kind contributions, § 104.13

Joint fundraising, § 102.6(b)

Receipt of contributions, § 102.8; § 102.9(a)

Records

—accuracy of, 5 104.14(d)

—maintenance of, § 102.9(d); § 104.14(b)(1)

—preservation of, § 102.9(c); § 104.14(b) (2)

and (3)

See also: Filing Reports, Designations and 

Statements; Reporting

Reporting

Allocation of expenditures among

candidates, § 104.10; § 106.1

Best efforts, § 104.7

Consolidated, for principal campaign

committees, § 104.3(f)

Cumulative, § 104.3(i)

Debts and obligations, § 104.3(d); § 104.11

Disbursements, § 104.3(b)

Donations toward political committee office 

facilities, § 100.7(b)(12); § 104.3(g)

Earmarked contributions, § 110.6 

Formal requirements, § 104.14

Identifying contributor, § 104.7(b); § 104.8

Identifying recipient of expenditure, § 104.9

Independent expenditures 

—by political committees, § 104.4

—by persons other than political 

committees, § 109.2

In-kind contributions, § 104.13; § 106.1(b)

§ 106.4(b)

Internal communications by membership 

organizations and corporations, § 104.6;

S 105.4

Legal and accounting services, § 104.3(h)

National nominating convention reports,

S 107.1; § 107.2

Presidential and Vice Presidential committee 

reports for elections prior to January 1. 

1980, § 104.12

Receipts, § 104.3(a); § 104.17

Summary of contributions and operating

expenditures, § 104.3(c) '

Use of pseudonyms, § 104.3(e)

Who reports, § 104.1

Separate Segregated Fund

Affiliated committee, § 100.5(g); § 110.3(a)

Coercion prohibited, § 114.5(a)

Communications to general public, § 114.5(i)

Contribution limits

—affiliated committees share one limit.

§ 110.3(a)(l)(i)

—application of, § 114.5(f)

Contributions to, § 114.5(a)

Control of funds by parent organization,

S 114.5(d)

Costs incurred for establishing, administering 

and soliciting contributions to fund 

—not contribution or expenditure,

§ 114.1(a)(2)(iii)

—treasury funds used for, § 114.5(b)

Establishment by

—federal contractors, § 115.3

—membership organization, § 114.7

—national banks, corporations, labor

unions, 1 114.1 (a)(2)(iii); § 114.5

—trade associations, § 114.8

Membership in, § 114.5(c)

Name must include name of connected

organization, § 102.14(c)

Payroll deduction

See: Corporation/Labor Organization/ 

National Bank 

Registration of, § 102.1(c)

State Officeholder

Definition, § 113.1(d)

Testing-the-Waters Activities

Exempted from contribution/expend 

§ 100.7(b)(1); § 100.8(b)(1)
15094 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

Trade Association

Affiliated committees of, § 110.3(a)(1)

Communications

—to executives, shareholders, § 114.3

—to members, § 114.3

—to non-executives, § 114.4

Definition, § 114.8(a)

Employees, § 114.8(i)

—communications to, § 114.3; § 114.4

—solicitations of, § 114.5; § 114.6

Federation of trade associations

— definition, § 114.8(g)(1)

—solicitations by, § 114.6(g)

Payroll deductions, § 114.5(k)(l); § 114.8(e)(3)

Solicitations by, § 114.7(c) and (j); § 114.8(c),

(d). (e) and (f)

Transfer o f Funds

As criteria for “affiliation” between

committees, § 100.5(g)(2)(ii)(E);

S 110.3(a)(l)(iii)(E)

From excess campaign funds and funds

donated, § 113.2(c)

Joint fundraising contributions, § 102.6(b)

Reporting

—by authorized committees,

§ 104.3(ap)(vi); § 104.3(a)(4)(iii)(A);

§ 104.3(b)(2)(h); § 104.3(b)(4)(h)

—by political committees other than

authorized committees, § 10^.3(a)(2)(v);

§ 104.3{a)(4)(ih)(B); § 104.3(b)(1)(h);

5104.3(b)(3)(h)

Unlimited transfers, 5 102.6(a); § 110.3(a)(2)

Unauthorized Committee

Definition, § 100.5(f)(2)

Contributions from, § 102.8(b)(1)

Volunteer Activities

Campaign materials

—used by candidate, § 100.7(b) (16);

§ 100.8{b)(17)

—used by party, 5 100.7(b)(15);

§ 100.8(b)(16)

Church or community room, § 100.7(b)(5);

1100.8(b)(6)

Invitations, food, beverages, § 100.7(b)(6);

5 100.8(b)(7)

Property, § 100.7(b)(4); 5 100.8(b)(5)

Services, § 100.7(b)(3)

Travel, § 100.7(b)(8); § 100.8(b)(9)

Vendor sale of food or beverage,

§ 100.7(b)(7); 5 100.8(b)(8)

Voter Drives

By corporations and labor organizations,

§ 100.8(b)(3); § 114.1(a)(2)(h); § 114.4(a)(2);

§ 114.4(c); § 114.4(d); § 114.3(c)(4)

By party committee, 110Q.7(b)(17);

§ 100.8(b}(18)

11 CFR is am ended as follows:

1. Parts 100 through 105 are revised to

read as follows.

PART 100—SCOPE AND DEFINITIONS

(2 U.S.C. 431)

Sec.

100.1 Scope.

100.2 Election (2 U.S.C. 431(1)). (

100.3 Candidate (2 U.S.C. 431(2)).

100.4 Federal office (2 U.S.C. 431(3)).

100.5 Political committee (2 U.S.C. 431 (4),

(5). (6)).

100.6 Connected organization (2 U.S.C.

431(7)).

100.7 Contribution (2 U.S.C. 431(8)).

100.8 Expenditure (2 U.S.C. 431(9)).

100.9 Commission (2 U.S.C.- 431(10}).

100.10 Person (2 U.5.C. 431(11)).

100.11 State (2 U.S.C. 431(12)).

100.12 Identification (2 U.S.C. 431(13)).

100.13 National committee (2 U.S.C.

431(14)).

100.14 State committee, subordinate

committee (2 U.S.C. 431(15)).

100.15 Political party (2 U.S.C. 431(16)).

100.16 Independent expenditure (2 U.S.C.

431(17)).

100.17 Clearly identified (2 U.S.C. 431(18)).

100.18 Act (2 U.S.C. 431(19)).

100.19 File, filed or filing.

100.20 Occupation (2 U.S.C. 431(13)).

100.21 Employer (2 U.S.C. 431(13)).

Authority: 2 U.S.C. 431, 438(a)(8).

§ 100.1 Scope.

This subchapter is issued by the 

Federal Election Commission to 

implement the Federal Election 

Campaign Act of 1971 (Public Law 92- 

225), as amended by Public Law 93-443, 

Public Law 94-283, Public Law 95-216, 

and Public Law 96-187.

§ 100.2 Election <2 U.S.C. 431(1)).

(a) “Election” means the process by 

which individuáis, whether opposed or 

unopposed, seek nomination for 

election, or election, to Federal office. . 

The specific types of elections, as set 

forth at 11 CFR 100.2 (b), (c), (d), (e) and

(f) are included in this definition.

(b) G eneral election. A general 

election is an election which meets 

either of the following conditions:

(1) An election held in even numbered 

years on the Tuesday following the first 

Monday in November is a general 

election.

(2) An election which is held to fill a 

vacancy in a Federal office (i.e., a 

special election) and which is intended 

to result in the final selection of a single 

individual to the office at stake is a 

general election, see 11 CFR 100.2(f).

(c) Primary election. A primary 

election is an election which meets one 

of the following conditions:

(1) An election which is held prior to a 

general election, as a direct result of 

which candidates are nominated, in 

accordance'with applicable State law, 

for election to Federal office in a 

subsequent election is a primary 

election.

(2) An election which is held for the 

expression of a preference for die 

nomination of persons for election to the 

office of President of die United States 

is a primary election.

(3) An election which is held to elect 

delegates to a national nominating 

convention is a primary election.

(4) With respect to individuals seeking 

federal office as independent 

candidates, or without nomination by a

major party (as defined in 26 U.S.C. 

9002(6)), the primary election is 

considered to occur on one of the 

following dates, at the choice of the 

candidate:

(i) The day prescribed by applicable 

State law as die last day to qualify for a 

position on the general election ballot 

may be designated as the primary 

election for such candidate.

(ii) The date of the last major party 

primary election, caucus, or convention 

in that State may be designated as the 

primary election for such candidate.

(iii) In the case of non-major parties, 

the date of the nomination by that party 

may be designated as the primary 

election for such candidate.

(5) With respect to any major party 

candidate (as defined at 26 U.S.C. 

9002(6)) who is unopposed for 

nomination within his or her own party, 

and who is certified to appear as that 

party’s nominee in the general election 

for the office sought, the primary 

election is considered to have occurred 

on the date on which the primary 

election was held by the candidate’s 

party in that State.

(d) Runoff election. “Runoff election" 

means the election which meets either 

of the following conditions:

(1) The election held after a primary 

election, and prescribed by applicable 

State law as the means for deciding 

which candidate(s) should be certified 

as a nominee for the Federal office 

sought, is a runoff election.

(2) The election held after a general 

election and prescribed by applicable 

State law as the means for deciding 

which candidate should be certified as 

an officeholder elect, is a runoff 

election.

(e) Caucus or Convention. A caucus or 

convention of a political party is an 

election if the caucus or convention has 

the authority to select a nominee for 

federal office on behalf of that party.

(f) S pecial election. “Special election’’ 

means an election which is held to fill a 

vacancy in a Federal office. A special 

election may be a primary, general, or 

runoff election, as defined at 11 CFR 

100.2 (b), (c) and (d).

§ 100.3 Candidate (2 U.S.C. 431(2)).

(a) Definition. “Candidate” means an 

individual who seeks nomination for 

election, or election, to federal office. An 

individual becomes a candidate for 

Federal office whenever any of the 

following events occur:

(1) The individual has received 

contributions aggregating in excess of 

$5,000 or made expenditures aggregating

in excess of $5,000.

(2) The individual has given his or her 

consent to another person to receive
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15095

contributions or make expenditures on 

behalf of that individual and such 

person has received contributions 

aggregating in excess of $5,000 or made 

expenditures aggregating in excess of 

$5,000.

(3) After written notification by the 

Commission that any other person has 

received contributions aggregating in 

excess of $5,000 or made expenditures 

aggregating in excess of $5,000 on the 

individual’s behalf, the individual fails 

to disavow such activity by letter to the 

Commission within 30 days of receipt of 

the notification.

(4) The aggregate of contributions 

received under 11 CFR 100.3(a) (1), (2), 

and (3), in any combination thereof, 

exceeds $5,000, or the aggregate of 

expenditures made under 11 CFR 

100.3(a) (1), (2), and (3), in any 

combination thereof, exceeds $5,000.

(b) Election cycle. For purposes of 

determining whether an individual is a 

candidate under this section, 

contributions or expenditures shall be 

aggregated on an election cycle basis.

An election cycle shall begin on the first 

day following the date of die previous 

general election for the office or seat 

which the candidate seeks, unless 

contributions or expenditures are 

designated for another election cycle.

For an individual who receives 

contributions or makes expenditures 

designated for another election cycle, 

the election cycle shall begin at the time 

such individual, or any other person 

acting on the individual’s behalf, first 

receives contributions or makes 

expenditures in connection with the 

designated election. The election cycle 

shall end on the date on which the 

general election for the office or seat 

that the individual seeks is held.

§ 100.4 Federal office (2 U.S.C. 431(3)).

"Federal office” means the office of 

President or Vice President of the 

United States, Senator or Representative 

in, or Delegate or Resident 

Commissioner to, the Congress of the 

United States.

§ 100.5 Political committee (2 U.S.C. 431

Mi (5), (6)).

"Political committee” means any 

group meeting one of the following 

conditions:

(a) Except as provided in 11 CFR 

100.5(b), (c) and (d), any committee,, 

club, association, or other group of 

persons which receives contributions 

a88regating in excess of $1,000 or which 

makes expenditures aggregating in 

excess of $1,000 during a calendar year 

is a political committee.

(b) Any separate segregated fund 

established under 2 USC 441b(b)(2)(C) is 

a political committee.

(c) Any local committee of a political 

party is a political committee if: it 

receives contributions aggregating in 

excess of $5,000 during a calendar year; 

it makes payments exempted from the 

definition of contribution, under 11 CFR 

100.7(b)(9), (15) and (17), and 

expenditure, under 11 CFR 100.8(b)(10), 

(16) and (18), which payments aggregate 

in excess of $5,000 during a calendar 

year; or it makes contributions 

aggregating in excess of $1,000 or makes 

expenditures aggregating in excess of 

$1,000 during a calendar year.

(d) An individual's principal campaign 

committee or authorized committee(s) 

becomes a political committee(s) when 

that individual becomes a candidate 

pursuant to 11 CFR 100.3.

(e) The following are examples of 

political committees:

(1) Principal campaign committee.

"Principal campaign committee” means 

a political committee designated and 

authorized by a candidate pursuant to 

11 CFR 101.1 and 102.1.

(2) Single candidate committee.

"Single candidate committee” means a 

political committee other than a 

principal campaign committee which 

makes or receives contributions or 

makes expenditures on behalf of only 

one candidate.

(3) M ulti-candidate committee.

“Multi-candidate committee” means a 

political committee which (i) has been 

registered with the Commission, Clerk of 

the House or Secretary of the Senate for 

at least 6 months; (ii) has received 

contributions for Federal elections from 

more than 50 persons; and (iii) (except 

for any State political party 

organization) has made contributions to 

5 or more Federal candidates.

(4) Party committee. “Party 

committee” means a political committee 

which represents a political party and is 

part of the official party structure at the 

national, State, or local level.

(f) A political committee is either an 

authorized committee or an 

unauthorized committee.

(1) Authorized comm ittee. An 

“authorized committee” means the 

principal campaign committee or any 

other political committee authorized by 

a candidate under 11 CFR 102.13 to 

receive contributions or make 

expenditures on behalf of such 

candidate, or which has not been 

disavowed pursuant to 11 CFR 

100.3(a)(3).

(2) Unauthorized com m ittee. An 

"unauthorized committee” is a political 

committee which has not been 

authorized in writing by a candidate to

solicit or receive contributions or make 

expenditures on behalf of such 

candidate, or which has been 

disavowed pursuant to 11 CFR 

100.3(a)(3).

(g) A ffiliated comm ittee. (1) All 

authorized committees of the same 

candidate are affiliated.

(2) All committees (including a 

separate segregated fùnd, see 11 CFR 

Part 114) established, financed, 

maintained, or controlled by the same 

corporation, labor organization, person, 

or group of persons including any 

parent, subsidiary, branch, division, 

department, or local unit thereof, are 

affiliated. ,

(i) Application of the rule of this 

paragraph means that:

(A) All political committees set up by 

a single corporation and/or its 

subsidiaries are affiliated;

(6) All political committees set up by 

a single national or international union 

and/or its local unions or other 

subordinate organizations of the 

national or international union are 

affiliated;

(C) All of the political committees set 

up by an organization of national or 

international unions and all of its State 

and/or local central bodies are 

affiliated;

(D) All political committees (other 

than party committees) established by a 

member organization, including a trade 

or professional association (see 11 CFR 

114.8(a)), and/or by related State and 

local entities are affiliated;

(E) All the political committees 

established by the same person or group 

of persons are affiliated.

(ii) For ogranizations not covered by 

paragraph (g)(2)(i) of this section, indicia 

of establishing, financing, maintaining, 

or controlling include:

(A) Ownership of a controlling 

interest in voting shares or securities;

(B) Provisions of bylaws, 

constitutions, or other documents by 

which one entity has the authority, 

power, or ability to direct another entity;

(C) The authority, power, or ability to 

hire, appoint, discipline, discharge, 

demote, or remove or otherwise 

influence the decision of the officers or 

members of an entity;

(D) Similar patterns of contributions;

(E) The transfer of funds between 

committees which represent a 

substantial portion of the funds of either 

the transferor or transferee committee, 

other than the transfer of funds between 

the committees which jointly raised the 

funds so transferred.
15096 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

§ 100.6 Connected organization (2 U.S.C.

431(7)).

(a) “Connected organization” means

any organization which is not a political

committee But which directly or

indirectly establishes, administers, or

financially supports a political

committee. A connected organization

may be a corporation (including a

corporation without capital stock), a

labor organization, a membership

organization, a cooperative or a trade

association.

(b) For purposes of 11 CFR 100.6, 

organizations which are members of the 

entity (such as corporate members of a 

trade association) which establishes, 

administers, or financially supports a 

political committee are not 

organizations which directly or 

indirectly establish, administer or 

financially support that political 

committee.

(c) For purposes of 11 CFR 100.6, the 

term “financially supports” does not 

include contributions to the political 

committee, but does include the 

payment of establishment, 

administration and solicitation costs of 

such committee.

§ 100.7 Contribution. (2 U.S.C. 431(8».

(a) The term “contribution” includes 

the following payments, services or 

other things of value:

(1) A gift, subscription, loan (except 

for a loan made in accordance with 11 

CFR 100.7(b)(ll)), advance, or deposit of 

money or anything of value made by 

any person for the purpose of 

influencing any election for Federal 

office is a contribution.

(i) For purposes of 11 CFR 100.7(a)(1), 

the term “loan” includes a guarantee, 

endorsement, and any other form of 

security.

(A) A loan which exceeds the 

contribution limitations of 2 USC 441a 

and 11 CFR Part 110 shall be unlawful 

whether or not it is repaid.

(B) A loan is a contribution at the time 

it is made and is a contribution to the 

extent that it remains unpaid. The 

aggregate amount loaned to a candidate 

or committee by an individual, when 

added to other contributions from that 

individual to that candidate or 

committee, shall not exceed the 

Contribution limitations set forth at 11 

CFR Part 110. A loan, to the extent it is 

repaid, is no longer a contribution.

(C) A loan is a contribution by each 

endorser or guarantor. Each endorser or 

guarantor shall be deemed to have 

contributed that portion of the total 

amount of the loan for which he or she 

agreed to be liable in a written 

agreement. Any reduction in the unpaid 

balance of the loan shall reduce

proportionately the amount endorsed or 

guaranteed by each endorser or 

guarantor in such written agreement. In 

the event that such agreement does not 

stipulate the portion of the loan for 

which each endorser or guarantor is 

liable, the loan shall be considered a 

loan by each endorser or guarantor in 

the same proportion to the unpaid 

balance that each endorser or guarantor 

bears to the total number of endorsers 

or guarantors.

(D) If a political committee makes a 

loan to any person, such loan shall be 

subject to the limitations of 11 CFR Part 

110. Repayment of the principal amount 

of such loan to such political committee 

shall not be a contribution by the debtor 

to the lender committee. Such 

repayment shall be made with funds 

which are subject to the prohibitions of 

11 CFR 110.4(a) and Part 114. The 

payment of interest to such committee 

by the debtor shall be a contribution 

only to the extent that the interest paid 

exceeds a commercially reasonable rate 

prevailing at the time the loan is made. 

All payments o f interest shall be made 

from funds subject to the prohibitions of 

11 CFR 110.4(a) and Part 114.

(ii) For purposes of 11 CFR 100.7(a)(1), 

the term "money” includes currency of 

the United States or of any foreign 

nation, checks, money orders, or any 

other negotiable instrument payable on 

demand.

(iii) (A) For purposes of 11 CFR 

100.7(a)(1), the term “anything of value” 

includes all in-kind contributions.

Unless specifically exempted under 11 

CFR 100.7(b), the provision of any goods 

or services without charge or at a charge 

which is less than the usual and normal ' 

charge for such goods or services is a 

contribution. Examples of such goods or 

services include, but are not limited to: 

securities, facilities, equipment, 

supplies, personnel, advertising services, 

membership lists, and mailing lists. If 

goods or services are provided at less

■ than the usual and normal charge, the 

amount of the in-kind contribution is the 

difference between the usual and 

normal charge for the goods or servies at 

the time of the contribution and the 

amount charged the political committee.

(B) For purposes of 11 CFR 

100.7(a)(l)(iii)(A), “usual and normal 

charge” for goods means the price of 

those goods in the market from which 

they ordinarily would have been 

purchased at the time of the 

contribution; and “usual and normal 

charge” for any services, other than 

those provided by an unpaid volunteer, 

means the hourly or piecework charge 

for the services at a commercially 

reasonable rate prevailing at the time 

the services were rendered.

(2) The entire anlount paid to attend a 

fundraiser or other political event and 

the entire amount paid as the purchase 

price for a fundraising item sold by a 

political committee is a contribution.

(3) The payment by any person of 

compensation for the personal services 

of another person if those services are 

rendered without charge to a political 

committee for any purpose, except for 

legal and accounting services provided 

under 11 CFR 100.7(b)(13) or (14), is a 

contribution. No compensation is 

considered paid to any employee under 

any of the following conditions:

(i) If an employee is paid on an hourly 

or salaried basis and is expected to 

work a particular number of hours per 

period, no contribution results if the 

employee engages in political activity 

during what would otherwise be a 

regular work period, provided that the 

taken or released time is made up or 

completed by the employee within a 

reasonable time.

(ii) No contribution results where an 

employee engages in political activity 

during what would otherwise be normal 

working hours if the employee is paid on 

a commission or piecework basis, or is 

paid only for work actually performed 

and the employee’s time is considered 

his or her own to use as he or she sees 

fit.

(iii) No contribution results where the

time used by the employee to engage in

political activity is bona fide, although

compensable, vacation time or other

earned leave time.

(4) The extensiop of credit by any 

person for a length of time beyond 

normal business or trade practice is a 

contribution, unless the creditor has 

made a commercially reasonable 

attempt to collect the debt. (See 11 CFR 

114.10). A debt owed by a political 

committee which is forgiven or settled 

for less than the amount owed is a 

contribution unless such debt is settled 

in accordance with the standards set 

forth at 11 CFR 114.10.

(b) The term “contribution’.’ does not

include the following payments, services

or other things of value:

(1) Funds received and payments 

made solely for the purpose of 

determining whether an individual 

should become a candidate are not 

contributions. Activities permissible 

under this exemption include, but are 

not limited to expenses incurred for: 

conducting a poll, telephone calls and 

travel, to determine whether an 

individual should become a candidate. 

The individual shall keep records of all 

such funds received and payments 

made. If the individual subsequently 

becomes a candidate, the funds received 

and payments made are contributions
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15097

and expenditures subject to the 

limitations, prohibitions and 

requirements of the Act. Such 

contributions and expenditures must be 

reported with the first report filed by the 

principal campiaign committee of the 

candidate, regardless of the date the 

funds were received or the payments - 

made. This exemption does not include 

funds received or payments made for 

general public political advertising; nor 

does this exemption include funds 

received or payments made for activities 

designed to amass campaign funds that 

would be spent after the individual 

becomes a candidate.

(2) Any cost incurred in covering or 

carrying a news story, commentary, or 

editorial by any broadcasting station, 

newspaper, magazine, or other 

periodical publication is not a 

contribution unless the facility is owned 

or controlled by any political party, 

political committee, or candidate, in 

which case the cost for a news story (i) 

which represents a bona fide news 

account communicated in a publication 

of general circulation or on a licensed 

broadcasting facility, and (ii) which is 

part of a general pattern of campaignrelated news accounts which give 

reasonably equal coverage to all 

opposing candidates in the circulation or 

listening area, is not a contribution.

(3) The value of services provided 

without compensation by any individual 

who volunteers on behalf of a candidate 

or political committee is not a 

contribution.

(4) No contribution results were an 

individual, in the course of volunteering 

personal services on his or her 

residential premises to any candidate or 

to any political committee of a political 

party, provides the use of his or her real 

or personal property to such candidate 

for candidate-related activity or to such 

political committee of a political party 

for party-related activity. For the 

purposes of 11 CFR 100.7(b)(4), and 

individual’s residential premises, shall 

include a recreation room in a 

residential complex where the 

individual volunteering services resides, 

provided that the room is available for 

use without regard to political 

affiliation. A nominal fee paid by such 

individual for the use of such room is 

not a contribution.

(5) No contribution results where an 

individual, in the course of volunteering 

personal services to any candidate or 

political committee of a political party, 

obtains the use of a church or 

community room and provides such 

room to any candidate for candidaterelated activity or to any political 

committee of a political party for partyrelated activity, provided that the room

is used on a regular basis by members of 

the community for noncommercial 

purposes and the room is available for 

use by members of the community 

without regard to political affiliation. A 

nominal fee paid by such individual for 

the use of such room is not a 

contribution.

(6) The cost of invitations, food and 

beverages is not a contribution where 

such items are voluntarily provided by 

an individual volunteering personal 

services on the individual’s residential 

premises or in a church or community 

room as specified at 11 CFR 100.7(b)(4) 

and (5) to a candidate for candidaterelated activity or to any political - 

committee of a political party for partyrelated activity, to the extent that: the 

aggregate value of such invitations, food 

and beverages provided by the 

individual on behalf of the candidate 

does not exceed $1,000 with respect to 

any single election; and on behalf of all 

political committees of each political 

party does not exceed $2,000 in any 

calendar year.

(7) The sale of any food or beverage 

by a vendor (whether incorporated or 

not) for use in a candidate’s campaign, 

or for use by a political committee of a 

political party, at a charge less than the 

normal or comparable commercial rate, 

is not a contribution, provided that the 

charge is at least equal to the cost of 

such food or beverage to the vendor, to 

the extent that: the aggregate value of 

such discount given by the vendor on 

behalf of any single candidate does not 

exceed $1,000 with respect to any single 

election; and on behalf of all political 

committees of each political party does 

not exceed $2,000 in a calendar year.

(8) Any unreimbursed payment for 

transportation expenses incurred by any 

individual on behalf of any candidate of 

any political committee of a political 

party is not a contribution to the extent 

that: the aggregate value of the 

payments made by such individual on 

behalf of a candidate does not exceed 

$1,000 with respect to a single election; 

and on behalf of all political committees 

of each political party does not exceed 

$2,000 in a calendar year. Additionally, 

any unreimbursed payment from a 

volunteer’s personal funds for usual and 

normal subsistence expenses incidental 

to volunteer activity is not a 

contribution.

(9) The payment by a State or local 

committee of a political party of the 

costs of preparation, display, or mailing 

or other distribution incurred by such 

committee with respect to a printed 

slate card, sample ballot, palm card, or 

other printed listing(s) of three or more 

candidates for any public office for 

which an election is held in the State in

which the committee is organized is not 

a, contribution. The payment of the 

portion of such costs allocable tu 

Federal candidates must be made from 

funds subject to the limitations and 

prohibitions of the A ct If made by a 

political committee, such payments shall 

be reported by that committee as 

disbursements, but need not be 

allocated in committee reports to 

specific candidates. This exemption 

shall not apply to costs incurred by such 

a committee with respect to the 

preparation and display of listings made 

on broadcasting stations, or in 

newspapers, magazines, and similar 

types of general public political 

advertising such as billboards.

(10) Any payment made or obligation 

incurred by a corporation or a labor 

organization is not a contribution if 

under the provisions of 11 CFR Part 114 

such payment or obligation would not 

constitute an expenditure by the 

corporation or labor organization.

(11) A loan of money by a State bank, 

a federally chartered depository 

institution (including a national bank) or 

a depository institution whose deposits 

and accounts are insured by the Federal 

Deposit Insurance Corporation, the 

Federal Savings and Loan Insurance 

Corporation, or the National Credit 

Union Administration is not a 

contribution by the lending institution if 

such loan is made in accordance with 

applicable banking laws and regulations 

and is made in the ordinary course of 

business. A loan will be deemed to be 

made in the ordinary course of business 

if it: bears the usual and customary 

interest rate of the lending institution for 

the category of loan involved; is made 

on a basis which assures repayment; is 

evidenced by a written instrument; and 

is subject to a due date or amortization 

schedule. Such loans shall be reported 

by the political committee in accordance 

with 11 CFR 104.3(a). Each endorser or 

guarantor shall be deemed to have 

contributed that portion of the total 

amount of the loan for which he or she 

agreed to be liable in a written 

agreement. Any reduction in the upaid 

balance of the loan shall reduce 

proportionately the amount endorsed or 

guaranteed by each endorser or 

guarantor in such written agreement. In 

the event that such agreement does not 

stipulate the portion of the loan for 

which each endorser or guarantor is 

liable, the loan shall be considered a 

contribution by each endorser or 

guarantor in the same proportion to the 

unpaid balance that each endorser or 

guarantor bears to the total number of 

endorsers or guarantors. For purposes of 

11 CFR 100.7(b)(ll), an overdraft made
15098 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

on a checking or savings account shall 

be considered a contribution by the 

bank or institution unless: the overdraft 

is made on an account which is subject 

to automatic overdraft protection; the 

overdraft is subject to a definite interest 

rate which is usual and customary; and 

there is a definite repayment schedule.

(12) A gift, subscription, loan, 

advance, or deposit of money or 

anything of value made to a national 

committee or a State committee of a 

political party is not a contribution if it 

is specifically designated to defray any 

cost incurred for construction or 

purchase of any office facility which is 

not acquired for the purpose of 

influencing the election of any candidate 

in any particular election for Federal 

office. If such gift, subscription, loan, 

advance, or deposit of money or 

anything of value is made to a 

committee which is not a political 

committee under 11 CFR 100.5, the 

amount need not be reported. However, 

if such gift, subscription, loan, advance, 

or deposit of money or anything of value 

is made to a political committee, it shall 

be reported in accordance with 11 CFR 

104.3(g).

(13) Legal or accounting services 

rendered to or on behalf of any political 

committee of a political party are not 

contributions if the person paying for 

such services is the regular employer of 

the individual rendering the services 

and such services are not attributable to 

activities which directly further the 

election of any designated candidate for 

Federal office. For purposes of 11 CFR 

100.7(b)(13), a partnership shall be 

deemed to be die regular employer of a 

partner. Amounts paid by the regular 

employer for such services shall be 

reported by the committee receiving 

such services in accordance with 11 CFR 

104.3(h).

(14) Legal or accounting services 

rendered to or on behalf of an 

authorized committee of a candidate or 

any other political committee are not 

contributions if the person paying for 

such services is the regular employer of 

the individual rendering the services 

and if such services are solely to ensure 

compliance with the Act or 26 USC 9001 

et seq. and 9031 et seq. For purposes of 

11 CFR 100.7(b)(14), a partnership shall 

be deemed to be the regular employer of 

a partner. Amounts paid by the regular 

employer for these services shall be 

reported by the committee receiving 

such services in accordance with 11 CFR 

104.3(h).

(15) The payment by a state or local 

committee of a political party of the 

costs of campaign materials (such as 

pins, bumper stickers, handbills, 

brochures, posters, party tabloids or

newletters, and yard signs) used by such 

committee in connection with volunteer 

activities on behalf of any nominee(s) of 

such party is not a contribution, 

provided that the following conditions 

are met:

(i) Such payment is not for cost 

incurred in connection with any 

broadcasting, newspaper, magazine, bill 

board, direct mail, or similar type of 

general public communication or 

political advertising. For purposes of 11 

CFR 100.7(b)(15)(i), the term “direct 

mail” means any mailing(s) by a 

commercial vendor or any mailing(s) 

made from commercial lists.

(ii) The portion of the cost of such

materials allocable to Federal

candidates is paid from contributions

subject to the limitations and

prohibitions of the Act.

(iii) Such payment is not made from 

contributions designated by the donor to 

be spent on behalf of a particular 

candidate or candidates for Federal 

office. For purposes of 11 CFR 

100.7(b)(15)(iii), a contribution shall not 

be considered a “designated 

contribution” if the party committee 

disbursing the funds makes the final 

decision regarding which candidate(s) 

shall receive the benefit of such 

disbursement.

(iv) Such materials are distributed by 

volunteers and not by commercial or 

for-profit operations. For the purposes of 

11 CFR 100.7(b)(15)(iv), payments by the 

party organization for travel and 

subsistence or customary token 

payments to volunteers do not remove 

such individuals from the volunteer 

category.

(v) If made by a political committee 

such payments shall be reported by the 

political committee as disbursements in 

accordance with 11 CFR 104.3 but need 

not be allocated to specific candidates 

in committee reports.

(vi) Payments by a State candidate or

his or her campaign committee to a

State or local political party committee

for the State candidate’s share of

expenses for such campaign materials

are not contributions, provided the

amount paid by the State candidate or

his or her committee does not exceed his

or her proportionate share of the

expenses.

(vii) Campaign materials purchased

by the national committee of a political

party and delivered to a State or local

party committee, or materials purchased

with funds donated by the national

committee to such State or local

committee for the purchase of such

materials, shall not qualify under this

exemption. Rather, the cost of such

materials shall be subject to the

limitations of 2 USC 441a(d) and 11 CFR

110.7.

(16) The payment by a candidate for 

any public office (including State or 

local office), or by such candidate’s 

authorized committee, of the costs of 

that candidate s campaign materials 

which include information on or any 

reference to a candidate for Federal 

office and which are used in connection 

with volunteer activities (such as pins, 

bumper stickers, handbills, brochures, 

posters, and yard signs) is not a 

contribution to such candidate for 

Federal office, provided that the 

payment is not for the use of 

broadcasting, newspapers, magazines, 

billboards, direct mail or similar types of 

general public communication or 

political advertising. The payment of the 

portion of the cost of such materials 

allocable to Federal candidates shall be 

made from contributions subject to the 

limitations and prohibitions of the Act. 

For purposes of 11 CFR 100.7(b)(16), the 

term “direct mail” means any mailing(s) 

by commercial vendors or mailing(s) 

made from lists which were not 

developed by the candidate.

(17) The payment by a State or local 

committee of a political party of the 

costs of voter registration and get-outthe-vote activities conducted by such 

committee on behalf of the Presidential 

and Vice Presidential nominee(s) of that 

party, is not a contribution to such 

candidate(s) provided that the following 

conditions are met:

(i) Such payment is not for the costs 

incurred in connection with any 

broadcasting, newspaper, magazine, 

billboard, direct mail, or similar type of 

general public communication or 

political advertising. For purposes of 11 

CFR 100.7(b)(17)(i), the term “direct 

mail” means(any mailing(s) by a 

commercial vendol or any mailing(s) 

made from commercial lists.

. (ii) The portion of the costs of such 

activities allocable to Federal 

candidates is paid from contributions 

subject to the limitations and 

prohibitions of the Act.

(iii) Such payment is not made from 

contributions designated to be spent on 

behalf of a particular candidate or 

candidates for Federal office. For 

purposes of 11 CFR 100.7(b)(17)(iii), a 

contribution shall not be considered a 

“designated contribution” if the party 

committee disbursing the funds makes 

the final decision regarding which 

candidate(s) shall receive the benefit of 

such disbursement.

(iv) For purposes of 11 CFR 

100.7(b)(17), if such activities include 

references to any candidate(s) for the 

House or Senate, the costs of such 

activities which are allocable to that
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15099

candidate(s) shall be a contribution to 

such'candidate(s) unless the mention of 

such candidate(s) is merely incidential 

to the overall activity.

(v) For purposes of 11 CFR 

100.7(b)(17), payment of the costs 

incurred in the use of phone banks in 

connection with voter registration and 

get-out-the-vote activities is not a 

contribution when such phone banks are 

operated by volunteer workers. The use 

of paid professionals to design die 

phone bank system, develop calling 

instructions and train supervisors is 

permissible. The payment of the costs of 

such professional services is not an 

expenditure but shall be reported as a 

disbursement in accordance with 11 

CFR 104.3 if made by a political 

committee.

(vi) If made by a political committee, 

such payments for voter registration and 

get-out-the-vote activities shall be 

reported by that committee as 

disbursements in accordance with 11 

CFR 104.3, but such payments need not 

be allocated to specific candidates in 

committee reports except as provided in 

11 CFR 100.7(b)(17)(iv).

(vii) Payments made from funds 

donated by a national committee of a 

political party to a State or local party 

committee for voter registration and getout-the-vote activities shall not qualify 

under this exemption. Rather, such 

funds shall be subject to the limitations 

of 2 USC 441a(d) and 11 CFR 110.7.

(18) Payments made to any party 

committee by a candidate or the 

authorized committee of a candidate as 

a condition of ballot access are not 

contributions.

(19) The payment of any honorarium 

and related expenses within the 

meaning of 11 CFR 110.12 is not a 

contribution.

(20) A gift, subscription, loan, 

advance, or deposit of money or 

anything of value made with respect to a 

recount of the results of a Federal 

election, or an election contest 

concerning a Federal election, is not a 

contribution except that the prohibitions 

of 11 CFR 110.4(a) and Part 114 apply.

(c) For purposes of 11 CFR 100.7 (a) 

and (b), any contributions or payments 

made by a married individual shall not 

be attributed to that individual’s spouse, 

unless otherwise specified by that 

individual or by the individual’s spouse.

§ 100.8 Expenditure (2 U.S.C. 431(9)).

(a) The term “expenditure” incudes 

the following payments, gifts or other 

things of value:

(1) A purchase, payment, distribution, 

loan (except for a loan made in 

accordance with 11 CFR 100.8(b)(12)), 

advance, deposit, or gift of money or

anything of value, made by any person 

for the purpose of influencing any 

election for Federal office is an 

expenditure.

(1) For purposes of 11 CFR 100.8(a)(1), 

the term “payment" includes payment of 

any interest on an obligation and any 

guarantee or endorsement of a loan by a 

candidate or a political committee.

(ii) For purposes of 11 CFR 100.8(a)(1), 

the term “payment” does not include the 

repayment by a political committee of 

the principal of an outstanding 

obligation which is owed by such 

committee, except that the repayment 

shall be reported as disbursements in 

accordance, with 11 CFR 104.3(b).

(iii) For purposes of 11 CFR 100.8(a)(1), 

the term “money" includes currency of 

the United States or of any foreign 

nation, checks, money orders, or any 

other negotiable instrument payable on 

demand.

(iv) (A) For purposes of 11 CFR 

100.8(a)(1), the term “anything of value” 

includes all in-kind contributions.

Unless specifically exempted under 11 

CFR 100.8(b), the provision of any goods 

or services without charge or at a charge 

which is less than the usual and normal 

charge for the goods or services is an 

expenditure. Examples of such goods or 

services include, but are not limited to: 

securities, facilities, equipment, 

supplies, personnel, advertising services, 

membership lists, and mailing lists. If 

goods or services are provided at less 

than the usual and normal charge, the 

amount of the expenditure is the 

difference between the usual and 

normal charge for the goods or services 

at the time of the expenditure and the 

amount charged the candidate or 

political committee.

(B) For the purposes of 11 CFR 

100.8(a)(l)(iv)(A), “usual and normal 

charge” for goods means the price of 

those goods in the market from which 

they ordinarily would have been 

purchased at the time of the 

expenditure: and “usual and normal 

charge” for services, other than those 

provided by an unpaid volunteer, means 

the hourly or piecework charge for the 

services at a commerically reasonable 

rate prevailing at the time the services 

were rendered,

(2) A written contract, including a 

media contract, promise, or agreement 

to make an expenditure is an 

expenditure as of the date such contract, 

promise or obligation is made.

(3) An independent expenditure which 

meets the requirements of 11 CFR 104.4 

or Part 109 is an expenditure, and such 

independent expenditure is to be 

reported by the person making the 

expenditure in accordance with 11 CFR 

104.4 and Part 109.

(b) The term “expenditure” does not 

include the following payments, gifts, or 

other things of value:

(1) Funds received and payments 

made solely for the purpose of 

determining whether an individual 

should become a candidate are not 

expenditures. Activities permissible 

under this exemption include, but are 

not limited to, expenses incurred for: 

conducting a poll, telephone calls and 

travel, to determine whether an 

individual should become a candidate. 

The individual shall keep records of all 

such funds received and payments 

made. If the individual subsequently 5 

becomes a candidate, the funds received 

and payments made are contributions 

and expenditures subject to the 

limitations, prohibitions and 

requirements of the Act. Such 

contributions and expenditures musbbe 

reported with the first report filed by the 

principal campaign committee of the 

candidate, regardless of the date the 

funds were received or the payments 

made. This exemption does not include 

funds received or payments made for 

general public political advertising; nor 

does this exemption include funds 

received or payments made for activities 

designed to amass campaign funds that 

would be spent after the individual 

becomes a candidate.

(2) Any cost incurred in covering or 

carrying a news story, commentary, or 

editorial by any broadcasting station, 

newspaper, magazine, or other 

periodical publication is not an 

expenditure, unless the facility is owned 

or controlled by any political party, 

political committee or candidate, in 

which case the cost for a news story (i) 

which represents a bona fide news 

account communicated in a publication 

of general circulation or on a licensed 

broadcasting facility, and (ii) which is 

part of a general pattern of campaignrelated news accounts which give 

reasonably equal coverage to all 

opposing candidates in the circulation or 

listening area, is not an expenditure.

(3) Any cost incurred for nonpartisan 

activity designed to encourage 

individuals to register to vote or to vote 

is not an expenditure, except that 

corporations and labor organizations 

shall engage in such activity in 

accordance with 11 CFR 114.4(c) and (d). 

For purposes of 11 CFR 100.8(b)(3), 

“nonpartisan activity” means that no 

effort is or has been made to determine 

the party or candidate preference of 

individuals before encouraging them to 

register to vote or to vote.

(4) Any cost incurred for any 

communication by a membership 

organization to its members, or by a 

corporation to its stockholders or
15100 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

executive or administrative personnel is 

not an expenditure, so long as the 

membership organization or corporation 

is not organized primarily for the 

purpose of influencing the nomination 

for election, or election, of any 

individual to Federal office, except that 

the costs incurred by a membership 

organization, including a labor 

organization, or by a corporation, 

directly attributable to a communication 

expressly advocating the election or 

defeat of a clearly identified candidate 

(other than a communication primarily 

devoted to subjects other than the 

express advocacy of the election or 

defeat of a clearly identified candidate) 

shall, if those costs exceed $2,000 per 

election, be reported to the Commission 

on FEC Form 7 in accordance with 11 

CFR 104.6

(i) For purposes of 11 CFR 100.8(b)(4), 

“labor organization" means an 

organization of any kind (any local, 

national, or international union, or any 

local or State central body of a 

federation of unions is each considered 

a separate labor organization for 

purposes of this section) or any agency 

or employee representative committee 

or plan, in which employees participate 

and which exists for the purpose, in 

whole or in part of dealing with 

employers concerning grievances, labor 

disputes, wages, rates of pay, hours of 

employment, or conditions of work.

(ii) For purposes of 11 CFR 100.8(b)(4), 

“stockholder” means a person who has 

a vested beneficial interest in stock, has 

the power to direct how that stock shall 

be voted, if it is voting stock, and has 

the right to receive dividends.

(iii) For purposes of 11 CFR 

100.8(b)(4), “executive or administrative 

personnel" means individuals employed 

by a corporation who are paid on a 

salary rather than hourly basis and who 

have policymaking, managerial, 

professional, or supervisory 

responsibilities.

(A) This definition includes------

(1) Individuals who run the 

corporation’s business, such as officers, 

other executives, and plant, division, 

and section managers; and

(2) Individuals following the 

recognized professions, such as lawyers 

and engineers.

(B) This definition does not

include------

(1) Professionals who are represented 

by a labor organization;

[2] Salaried foremen and other 

salaried lower level supervisors having 

direct supervision over hourly 

employees;

(5) Former or retired personnel who 

are not stockholders; or

(4) Individuals who may be paid by 

the corporation, such as consultants, but 

who are not employees, within the 

meaning of 26 CFR 31.3401(c)-(l), of the 

corporation for the purpose of the 

collection of, and liability for, employee 

tax under 26 CFR 31.3402(a)-(l).

(C) Individuals on commission may be 

considered executive or administrative 

personnel if they have policymaking, 

managerial, professional, or supervisory 

responsibility and if the individuals are 

employees, within the meaning of 26 

CFR 31.3401(c)-(l), of the corporation for 

the purpose of the collection of, and 

liability for, employee tax under 26 CFR 

31.3402(aHl).

(D) The Fair Labor Standards A ct 29 

USC § 201, et seq. and the regulations 

issued pursuant to such Act, 29 CFR 541, 

et seq., may serve as a guideline in 

determining whether individuals have 

policymaking, managerial, professional 

or supervisory responsibilities.

(iv) For purposes of 11 CFR 100.8(b)(4), 

“members" means all persons who are 

currently satisfying the requirements for 

membership in a membership 

organization, trade association, 

cooperative, or corporation without 

capital stock and in the case of a labor 

organization, persons who are currently 

satisfying the requirements for 

membership in a local, national, or 

international labor organization. 

Members of a local union are considered 

to be members of any national or 

international union of which the local 

union is a part and of any federation 

with which the local, national, or 

international union is affiliated. A 

person is not considered a member 

under this definition if the only 

requirement for membership is a 

contribution to a separate segregated 

fund.

(v) For purposes of 11 CFR 100.8(b)(4), 

“election" means two separate 

processes in a calendar year, to each of 

which the $2,000 threshold described 

above applies separately. The first 

process is comprised of all primary 

elections for Federal office, whenever 

and wherever held; the second process 

is comprised of all general elections for 

Federal office, whenever and wherever 

held. The ternr“election” shall also 

include each special election held to fill 

a vacancy in a Federal office (11 CFR 

100.2(f)) or each runoff election (11 CFR 

100.2(d)).

(vi) For purposes of 11 CFR 100.8(b)(4), 

“corporation" means any separately 

incorporated entity, whether or not 

affiliated.

(vii) When the aggregate costs under 

11 CFR 100.8(b)(4) exceed $2,000 per 

election, all costs of the 

communication(s) shall be reported on

the filing dates specified in 11 CFR 104.6, 

and shall include the total amount 

expended for each candidate supported.

(5) No expenditure results where an 

individual, in the course of volunteering 

personal services on his or her 

residential premises to any candidate or 

political committee of a political party, 

provides the use of his or her real or 

personal property to such candidate for 

candidate-related activity or to such 

political committee of a political party 

for party-related activity. For the 

purposes of 11 CFR 100.8(b)(5), an 

individual's residential premises shall 

include a recreation room in a 

residential complex where the 

individual volunteering services resides, 

provided that the room is available for 

use without regard to political 

affiliation. A nominal fee paid by such 

individual for the use of such room is 

not an expenditure.

(6) No expenditure results where an 

individual, in the course of volunteering 

personal services to any candidate or 

political committee of a political party, 

obtains the use of a church or 

community room and provides such 

room to any candidate for candidaterelated activity or to any political 

committee of a political party for partyrelated activity, provided that the room 

is used on a regular basis by members of 

the community for noncommercial 

purposes and the room is available for 

use by members of the community 

without regard to political affiliation. A 

nominal fee paid by such individual for 

the use of such room is not an 

expenditure.

(7) The cost of invitations, food, and 

beverages is not an expenditure where 

such items are voluntarily provided by 

an individual in rendering voluntary 

personal services on the individual’s 

residential premises or in a church or 

community room as specified at 11 CFR 

100.8(b)(5) and (6) to a candidate for 

candidate-related activity or to a 

political committee of a political party 

for partyrrelated activity, to the extent 

that: the aggregate value of such 

invitations, food and beverages 

provided by the individual on behalf of 

the candidate does not exceed $1,000 

with respect to any single election; and 

on behalf of all political committees of 

each political party does not exceed 

$2,000 in any calendar year.

(8) The sale of any food or beverage 

by a vendor (whether incorporated or 

not) for use in a candidate’s campaign, 

or for use by a political committee of a 

political party, at a charge less than the 

normal or comparable commercial 

charge, is not an expenditure, provided 

that the charge is at least equal to the 

cost of such food or beverage to the
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15101

vendor, to the extent that: the aggregate 

value of such discount given by the 

vendor on behalf of any single 

candidate does not exceed $1,000 with 

respect to any single election; and on 

behalf of all political committees of each 

political party does not exceed $2,000 in 

a calendar year.

(9) Any unreimbursed payment for 

transportation expenses incurred by any 

individual on behalf of any candidate or 

political committee of a political party is 

not an expenditure to the extent that: 

the aggregate value of the payments 

made by such individual on behalf of a 

candidate does not exceed $1,000 with 

respect to a single election; and on 

behalf of all political committees of each 

political party does not exceed $2,000 in 

a calendar year. Additionally, any 

unreimbursed payment from a 

volunteer’s personal funds for usual and 

normal subsistence expenses incident to 

volunteer activity is not an expenditure.

(10) The payment by a State or local 

committee of a political party of the 

costs of preparation, display, or mailing 

or other distribution incurred by such 

committee with respect to a printed 

slate card, sample ballot, palm card, or 

other printed listing(s) of three or more 

candidates for any public office for 

which an election is held in the State in 

which the committee is organized is not 

an expenditure, The payment of the 

portion of such costs allocable to 

Federal candidates must be made from 

funds subject to the limitations and 

prohibitions of the Act. If made by a 

political party committee, such 

payments shall be reported by that 

committee as disbursements, but need 

not be allocated in committee reports to 

specific candidates. This exemption 

shall not apply to costs incurred by such 

a committee with respect to the 

preparation and display of listings made 

on broadcasting stations, or in 

newspapers, magazines, and similar 

types of general public political 

advertising such as billboards.

(11) Any payment made or obligation 

incurred by a corporation or labor . 

organization is not an expenditure if 

under the provisions of 11 CFR Part 114 

such payment or obligation would not 

constitute an expenditure by the 

corporation or labor organization.

(12) A loan of money by a State bank,

a federally chartered depository

institution (including a national bank) or

a depository institution whose deposits

and accounts are insured by the Federal

Deposit Insurance Corporation, the

Federal Savings and Loan Insurance

Corporation, or the National Credit

Union Administration is not an

expenditure by the lending institution if

such loan is made in accordance with

applicable banking laws and regulations 

and is made in the ordinary course of 

business. A loan will be deemed to be 

made in the ordinary course of business 

if it: bears the usual and customary 

interest rate of the lending institution for 

the category of loan involved; is made 

on a basis which assures repayment; is 

evidenced by a written instrument; and 

is subject to a due date or amortization 

schedule. Such loans shall be reported 

by the political committee in accordance 

with 11 CFR 104.3(a). Each endorser or 

guarantor shall be deemed to have 

contributed that portion of the total 

amount of the loan for which he or she 

agreed to be liable in a written 

agreement. Any reduction in the unpaid 

balance of the loan shall reduce 

proportionately the amount endorsed or 

guaranteed by each endorser or 

guarantor in such written agreement. In 

the event that the loan agreement does 

not stipulate the portion of the loan for 

which each endorser or guarantor is 

liable, the loan shall be considered an 

expenditure by each endorser or 

guarantor in the same proportion to the 

unpaid balance that each endorser or 

guarantor bears to the total number of 

endorsers or guarantors. For the 

purposes of 11 C lR 100.8(b)(12), an 

overdraft made on a checking or savings 

account shall be considered an 

expenditure unless: the overdraft is 

made on an account which is subject to 

automatic overdraft protection; and the 

overdraft is subject to a definite interest 

rate and a definite repayment schedule.

(13) A purchase, payment, 

distribution, loan, advance, or deposit of 

money or anything of value made to a 

national committee or a state committee 

of a political party is not an expenditure 

if it is specifically designated to defray 

any cost incurred for construction or 

purchase of any office facility which is 

not acquired for the purpose of 

influencing the election of any candidate 

in any particular election for Federal 

office. If such purchase, payment, 

distribution, loan, advance, or deposit of 

money or anything of value is made to a 

committee which is not a political 

committee under 11 CFR 100.5, the 

amount need not be reported. However, 

if such purchase, payment, distribution, 

loan, advance, or deposit of money or 

anything of value is made to a political 

committee, it shall be reported in 

accordance with 11 CFR 104.3(g).

(14) Legal or accounting services 

rendered to or on behalf of any political 

committee of a political party are not 

expenditures if the person paying for 

such services is the regular employer of 

the individual rendering the services 

and such services are not attributable to

activities which directly further the 

election of any designated candidate for 

Federal office. For purposes of 11 CFR 

100.8(b)(14), a partnership shall be 

deemed to be the regular employer of a 

partner. Amounts paid by the regular 

employer for such services shall be 

reported by the committee receiving 

such services in accordance with 11 CFR 

104.3(h).

(15) Legal or accounting services 

rendered to or on behalf of an 

authorized committee of a candidate or 

any other political committee are not 

expenditures if the person paying for 

such services is the regular employer of 

the individual rendering such services 

and if the services are solely to ensure 

compliance with the Act or 26 USC 9001 

et seq. and 9032 et seq. For purposes of 

11 CFR 100.8(b)(15), a partnership shall 

be deemed to be the regular employer of 

a partner. Amounts paid by the regular 

employer for these services shall be 

reported by the committee receiving 

such services in accordance with 11 CFR

104.3(h). Expenditures for these services 

by a candidate certified to receive 

Primary Matching Funds under 11 CFR

Part 9034 or certified to receive 

payments from the Presidential Election 

Campaign Fund under 11 CFR Part 143 

do not count against such candidate’s 

expenditure limitations under 11 CFR

Part 9035 or 11 CFR 110.8.

(16) The payment by a state or local 

committee of a political party of the 

costs of campaign materials (such as 

pins. bumper stickers, handbills, 

brochures, posters, party tabloids or 

newsletters, and yard signs) used by 

such committee in connection with 

volunteer activities on behalf of any 

nominee(s) of such party is not an 

expenditure, provided that the following 

conditions are met.

(i) Such payment is not for costs 

incurred in connection with any 

broadcasting, newspaper, magazine, 

billboard, direct mail, or similar type of 

general public communication or 

political advertising. For the purposes of 

11 CFR 100.8(b)(16)(i), the term “direct 

mail” means any mailing(s) by a 

commercial vendor or any mailing(s) 

made from commercial lists.

(ii) The portion of the cost of such 

materials allocable to Federal 

candidates is paid from contributions 

subject to the limitations and 

prohibitions of the Act.

(iii) Such payment is not made from 

contributions designated by the donor to 

be spent on behalf of a particular 

candidate or candidates for Federal 

office. For purposes of 11 CFR 

100.8(b)(16)(iii), a contribution shall not 

be considered a “designated 

contribution” if the party committee
15102 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

disbursing the fluids makes the final 

decision regarding which candidate(s) 

shall receive the benefit of such 

disbursement

(iv) Such materials are distributed by 

volunteers and not by commercial or 

for-profit operations. For the purposes of 

11 CFR 100.8(b)(16)(iv), payments by the 

party organization for travel and 

subsistence or customary token 

payments to volunteers do not remove 

such individuals from the volunteer 

category.

(v) If made by a political party 

comhiittee, such payments shall be 

reported by that committee as 

disbursements, in accordance with 11 

CFR 104.3, but need not be allocated to 

specific candidates in committee 

reports.

(vi) Payments by a State candidate or 

his or her campaign committee to a 

State or local political party committee 

for the State candidate’s share of 

expenses for such campaign materials 

are not expenditures, provided the 

amount paid by the State candidate or 

his or her committee does not exceed his 

or her proportionate share of the 

expenses.

(vii) Campaign materials purchased 

by the national committee of a political 

party and delivered to a State or local 

party committee, or materials purchased 

with funds donated by the national 

committee to such State or local 

committee for the purchase of such 

matérials, shall not qualify under this 

exemption. Rather, the cost of such 

materials shall be subject to the 

limitations of 2 USC 441a(d) and 11 CFR

110.7.

(17) The payment by a candidate for 

any public office (including State or 

local office), or by such candidate’s 

authorized committee, of the costs of 

that candidate’s campaign materials 

which include information on or any 

reference to a candidate for Federal 

office and which are used in connection 

with volunteer activities (such as pins, 

bumper stickers, handbills, brochures, 

posters, and yard signs) is not an 

expenditure on behalf of such candidate 

for Federal office, provided that the 

payment is not for the use of 

broadcasting, newspapers, magazines, 

billboards, direct mail or similar types of 

general public communication or 

political advertising. The payment of the 

portion of the cost of such materials 

allocable to Federal candidates shall be 

made from contributions subject to the 

limitations and prohibitions of the Act. 

For purposes of 11 CFR 10Q.8(b)(17), the 

term “direct mail” means mailings by 

commercial vendors or mailings made 

from lists which were not developed by 

the candidate.

(18) The payment by a State or local 

committee of a political party of the 

costs of voter registration and get-outthe-vote activities conducted by such 

committee on behalf of the Presidential 

and Vice Presidential nominee(s) of that 

party is not an expenditure for the 

purpose of influencing the election of 

such candidates provided that the 

following conditions are met:

(i) Such payment is not for the costs 

incurred in connection with any 

broadcasting, newspaper, magazine, 

billboard, direct mail, or similar type of 

general public communication or 

political advertising. For purposes of 11 

CFR 100.8(b)(18)(i), the term “direct 

mail” means any mailing(s) by a 

commercial vendor or any mailing(s) 

made from commercial lists.

(ii) The portion of the costs of such 

activities allocable to Federal 

candidates is paid from contributions 

subject to the limitations and 

prohibitions of the Act.

(iii) Such payment is not made from 

contributions designated to be spent on 

behalf of a particular candidate or 

candidates for Federal office. For the 

purposes of 11 CFR 100.8(b)(18)(iii), a 

contribution shall not be considerd a 

“designated contribution” if the party 

committee disbursing the funds makes 

the final decision regarding which 

candidate(s) shall receive the benefit of 

such disbursement.

(iv) For purposes of 11 CFR 

100.8(b)(18), if such activities include 

references to any candidate(s) for the 

House or Senate, the costs of such 

activities which are allocable to that 

candidate(s) shall be an expenditure on 

behalf of such candidate(s) unless the 

mention of such candidate(s) is merely 

incidental to the overall activity.

(v) For purposes of 11 CFR 

100.8(b)(18), payment of the costs 

incurred in the use of phone banks in 

connection with voter registration and 

get-out-the-vote activities is not an 

expenditure when such phone banks are 

operated by volunteer workers. The use 

of paid professionals to design the 

phone bank system, develop calling 

instructions and train supervisors is 

permissible. The payment of the costs of 

such professional services is not an 

expenditure but shall be reported as a 

disbursement in accordance with 11 

CFR 104 .3 if made by a political 

committee.

(vi) If made by a political committee, 

such payments for voter registration and 

get-out-the-vqte activities shall be 

reported by that committee as 

disbursements, in accordance with 11 

CFR 104.3 but such payments need not 

be allocated to specific candidates in

committee reports except as provided in 

11 CFR 100.8(b)(18)(iv).

(vii) Payments made from funds 

donated by a national committee of a 

political party to a State or local party 

committee for voter registration and getout-the-vote activities shall not qualify 

under this exemption. Rather, such 

funds shall be subject to the limitations 

of 2 USC 441a(d) and 11 CFR 110.7.

(19) Amounts transferred by a party 

committee to another party committee 

or payments made to the appropriate 

State official of fees collected from 

candidates or their authorized 

committees as a condition of ballot 

access are not expenditures.

(20) A purchase, payment, 

distribution, loan, advance, or deposit of 

money or anything of value made with 

respect to a recount of the results of a 

Federal election, or an election contest 

concerning a Federal election, is not an 

expenditure except that the prohibitions 

of 11 CFR 110.4(a) and Part 114 apply.

(21) (i) Any costs incurred by a 

candidate or his or her authorized 

committees in connection with the 

solicitation of contributions by a 

candidate who has been certified to 

receive Presidential Primary Matching 

Fund Payments (or a minor or new party 

candidate receiving general election 

public financing under 26 USC 9004), the 

aggregate of which do not exceed 20 

percent of the expenditure limitation 

applicable to that candidate, are not 

expenditures, but these costs shall be 

reported as disbursements under 11 CFR 

Part 104.

(ii) For purposes of 11 CFR 

100.8(b)(21), “in connection with the 

solicitation of contributions” means any 

cost reasonably related to fundraising 

activity, including the costs of printing 

and postage, the production of and 

space or air time for, advertisements 

used for fundraising, and the costs of 

meals, beverages, and other costs 

associated with a fundraising reception 

or dinner.

(iii) The fundraising expenditures 

need pot be allocated on a State by 

State basis, except where the 

fundraising activity is aimed at a 

particular State and takes place within 

28 days prior to a primary election, 

convention, or caucus. See 11 CFR 

110.8(c).

(22) Payments by a candidate from his 

or her personal funds, as defined at 11 

CFR 110.10(b), for the candidate’s 

routine living expenses which would 

have been incurred without candidacy, 

including the costs of food and 

residence, are not expenditures.

(c) For purposes of 11 CFR 100.8 (a) 

and (b), any payments made by a 

married individual shall not be *
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15103

attributed to that individual’s spouse,

unless otherwise specificed by that

individual or by the individuals’ spouse.

§ 100.9 Commission (2 U.S.C. 431(10».

“Commission” means the Federal 

Election Commission, 1325 K Street,

N.W., Washington, D.C. 20463.

§ 100.10 Person (2 U.S.C. 431(11».

"Person” means an individual,

partnership, committee, association,

corporation, labor organization, and any

other organization, or group of persons,

but does not include the Federal

government or any authority of the

Federal government.

§100.11 State (2 U.S.C. 431(12».

“State” means each State of the

United States, the District of Columbia,

the Commonwealth of Puerto Rico, and

any territory or possession of the United

States.

§ 100.12 Identification (2 U.S.C. 431(13».

“Identification” means, in the case of 

an individual, his or her hill name, 

including: first name, middle name or 

initial, if available, and last name; 

mailing address; occupation; and the 

name of his or her employer, and, in the 

case of any other person, the person’s 

full name and address.

§ 100.13 National committee (2 U.S.C.

431(14».

• “National committee” means the

organization which, by virtue of the

bylaws of a political party, is

responsible for the day-to-day operation

of the political party at the national

level, as determined by the Commission.

§ 100.14 State committee, Subordinate

committee (2 U.S.C. 431(15)).

(a) “State committee” means the

organization which by virtue of the

bylaws of a political'party, is

responsible for the day-to-day operation

of the political party at the State level,

as determined by the Commission.

(b) “Subordinate committee of a State

committee” means any organization

which is responsible for the day-to-day

operation of the political party at the

level of city, county, neighborhood,

ward, district, precinct, or any other

subdivision of a State or any

organization under the control or

direction of the State committee.

§ 100.15 Political party (2 U.S.C. 431(16».

“Political party” means an

association, committee, or organization

which nominates or selects a candidate

for election to any Federal office, whose

name appears on an election ballot as

the candidate of the association,

committee, or organization.

§ 100.16 Independent expenditure (2

U.S.C. 431(17».

The term “independent expenditure” 

means an expenditure for a 

communication by a person expressly 

advocating the election or defeat of a 

clearly identified candidate which is 

made without cooperation or 

consultation with any candidate, or any 

authorized committee or agent of such 

candidate, and which is not made in 

concert with, or at the request or 

suggestion of, any candidate, or any 

authorized committee or agent of such 

candidate.

§ 100.17 Clearly identified (2 U.S.C.

431(18».

The term "clearly identified” means 

that the name of the candidate involved 

appears; a photograph or drawing of the 

candidate appears; or the identity of the 

candidate is apparent by unambiguous 

reference. •

§ 100.18 Act (2 U.S.C. 431(19)).

“Act” means the Federal Election

Campaign Act of 1971 (Public Law 92- 

225), as amended in 1974 (Public Law

93-443), 1976 (Public Law 94-283), 1977 

(Public Law 95-216) and 1980 (Public

Law 96-187).

§ 100.19 File, filed or filing (2 U.S.C.

434(a)).

With respect to reports, statements, 

notices, and designations required to be 

filed under 11 CFR Parts 101,102,104, 

105,107,108 and 109, and any 

modifications or amendments thereto, 

the terms “file”, “filed” and “filing” 

mean either of the following actions:

(a) A document is timely filed upon 

delivery to the Federal Election 

Commission, 1325 K Street NW., 

Washington, D.C. 20463; the Secretary of 

the United States Senate, Office of 

Public Records, 119 D Street NE., 

Washington, D.C. 20510; or die Clerk of 

the United States House of 

Representatives, House Records and 

Registration, 1036 Longworth House 

Office Building, Washington, D.C. 20515 

as required by 11 CFR Part 105, by the 

close of the prescribed filing date.

(b) A document is timely filed upon 

deposit as registered or certified mail in 

an established U.S. Post Office and 

postmarked no later than midnight of 

the day of the filing date, except that 

pre-election reports so mailed must be 

postmarked no later than midnight of 

the fifteenth day before the date of the 

election. Reports and statements sent by 

first class mail must be received by the 

close of business of the prescribed filing 

date to be timely filed.

§ 100.20 Occupation (2 U.S.C. 431(13».

“Occupation” means the principal job 

title or position of an individual and 

whether or not self-employed.

§ 100.21 Employer (2 U.S.C. 431(13».

“Employer” means the organization or 

person by whom an individual is 

employed, and not the name of his or 

her supervisor.

PART 101—CANDIDATE STATUS AND

DESIGNATIONS (2 U.S.C. 432(e))

Sec.

101.1 Candidate designations (2 U.S.C. *

432(e)(1)).

101.2 Candidate as agent of authorized

committee (2 U.S.C. 432(e)(2)).

101.3 Funds received or expended prior to

becoming a candidate (2 U.S.C. 432(e)(2)).

Authority: 2 U.S.C. 432(e), 438(a) (f).

§ 101.1 Candidate designations (2 U.S.C.

432(e)(1)).

(a) Principal Campaign Committee.

Within 15 days after becoming a 

candidate under 11 CFR 100.3, each 

candidate, other than a nominee for the 

office of Vice President, shall designate 

in writing a principal campaign 

committee in accordance with 11 CFR 

102.12. A candidate shall designate his 

or her principal campaign committee by 

filing a Statement of Candidacy on FEC

Form------, or by filing a letter

containing the same information (that is, 

the individual’s name and address, party 

affiliation and office sought, the District 

and State in which Federal office is 

sought, and the name and address of his 

or her principal campaign committee) at 

the place of filing specified at 11 CFR 

Part 105. Each principal campaign 

committee shall register, designate a 

depository and report in accordance 

with 11 CFR Parts 102,103 and 104.

(b) Authorized Committees. A 

candidate may designate additional 

political committees in accordance with 

11 CFR 102.13 to serve as committees 

which will be authorized to accept 

contributions or make expenditures on 

behalf of the candidate. For each such 

authorized committee, other than a 

principal campaign committee, the 

candidate shall file a written 

designation with his or her principal 

campaign committee. The principal 

campaign committee shall file such 

designations at the place of filing 

specified at 11 CFR Part 105.

§ 101.2 Candidate as agent of authorized

committee (2 U.S.C. 432(e)(2)).

(a) Any candidate who receives a 

contribution as defined at 11 CFR 100.7, 

obtains any loan, or makes any 

disbursement, in connection with his or 

her campaign shall be considered as
15104 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

having received such contribution, 

obtained such loan or made such 

disbursement as an agent of his or her 

authorized committee(s).

(b) When an individual becomes a 

candidate, any funds received, loans 

obtained, or disbursements made prior 

to becoming a candidate in connection 

with his or her campaign shall be 

deemed to have been received, obtained 

or made as an agent of his or her 

authorized committee(s).

§ 101.3 Funds received or expended prior

to becoming a candidate (2 U.S.C.

432(e)(2)).

When an individual becomes a 

candidate, all funds received or 

payments made in connection with his 

or her campaign prior to becoming a 

candidate shall be considered 

contributions or expenditures under the 

Act and shall be reported in accordance 

with 11 CFR 104.3 in the first report filed 

by such candidate’s principal campaign 

committee. The individual shall keep 

records of the name of each contributor, 

the date of receipt and amount of all 

contributions received (see 11 CFR 

102.9(a)) and all expenditures made (see 

11 CFR 102.9(b)) in connection with die 

individual’s campaign prior to becoming 

a candidate. Contributions received by 

an individual prior to becoming a 

candidate, which contributions are not 

in compliance with the Act, shall be 

returned to the contributor within ten

(10) days after the individual becomes a 

candidate. The individual shall keep 

records of all refunds made.

PART 102—REGISTRATION,

ORGANIZATION, AND

RECORDKEEPING BY POLITICAL

COMMITTEES (2 U.S.C. 433)

Sec.

102.1 Registration of political committees (2

U.S.C. 433(a)).

102.2 Statement of organization: Forms and

committee identification number (2

U.S.C. 433(b), (c)).

102.3 Termination of registration (2 U.S.C.

433(d)(1))..

102.4 Administrative termination (2 U.S.C.

433(d)(2)).

102.5 Organizations financing political

activity in connection with Federal and

non-Federal elections, other than through

transfers and joint fundraisers.

102.8 Transfers and joint fundraisers.

102.7 Organization of political committees

(2 U.S.C. 433(a)).

102.8 Receipt of contributions (2 U.S.C.

432(b)).

102.9 Accounting for contributions and

expenditures (2 U.S.C. 432(c)).

102.10 Disbursement by check (2 U.S.C.

432(h)(1)).

102.11 Petty cash fund (2 U.S.C. 432(h)(2)).

102.12 Designation of principal campaign

committee (2 U.S.C. 432(e) (1) and (3)).

102.13 Authorization of political committees

(2 U.S.C. 432(e) (1) and (3)).

102.14 Names of political committees (2

U.S.C. 432(e) (4) and (5)).

102.15 Commingled funds (2 U.S.C.

432(a)(3)).

102.16 Notice: Solicitation of contributions

(2 U.S.C. 441d).

Authority: 2 U.S.C. 432, 433, 438(a)(8), 44ld.

§ 102.1 Registration of Political

Committees (2 U.S.C. 433(a)).

(a) Principal Campaign Committees.

Each principal campaign committee

shall file a Statement of Organization in 

accordance with 11 CFR 102.2 no later 

than 10 days after designation pursuant 

to 11 CFR 101.1. In addition, each 

principal campaign committee shall file 

all designations, statements and reports 

which are filed with such committee at 

the place of filing specified at 11 CFR 

Part 105.

(b) Authorized Committees.

Each authorized committee(s) shall 

file only one Statement of Organization 

in accordance with 11 CFR 102.2 no later 

than 10 days after designation pursuant 

to 11 CFR 101.1. Such Statement(s) shall 

be filed with the principal campaign 

committee of the authorizing candidate.

(c) Separate Segregated Funds.

Each separate segregated fund

established under 2 USC 441b(b)(2)(C) 

shall file a Statement of Organization 

with the Federal Election Commission 

no later than 10 days after 

establishment. This requirement shall 

not apply to a fund established solely 

for the purpose of financing political 

activity in connection with State or local 

elections. Examples of establishment 

events after which a fund would be 

required to register include, but are not 

limited to: a vote by the board of 

directors or comparable governing body 

of an organization to create a separate 

segregated fund to be used wholly or in 

part for federal elections; selection of 

initial officers to administer such a fund; 

or payment of the initial operating 

expenses of such a fund.

(d) Other Political Committees.

All other committees shall file a

Statement of Organization no later than 

10 days after becoming a political 

committee within the meaning of 11 CFR 

100.5. Such statement(s) shall be filed at 

the place of filing specified at 11 CFR 

Part 105.

§ 102.2 Statement of Organization: Forms

and Committee Identification Number (2

U.S.C. 433(b), (c)).

(a) Forms.

(1) The Statement of Organization 

shall be filed in accordance with 11 CFR 

Part 105 on Federal Election 

Commission Form 1, which may be 

obtained from the Federal Election

Commission, 1325 K Street, N.W., 

Washington, D.C. 20463. The Statement 

shall be signed by the treasurer and 

shall include the following information:

(1) The name, address, and type of 

committee;

(ii) The name, address, relationship, 

and type of any connected organization 

or affiliated committee in accordance 

with 11 CFR 102.2(b);

(iii) The name, address, and 

committee position of the custodian of 

books and accounts of the committee;

(iv) The name and address of the 

treasurer of the committee;

(v) If the committee is authorized by a 

candidate, the name, office sought 

(including State and Congressional 

district, when applicable) and party 

affiliation of the candidate; and the 

address to which communications 

should be sent;

(vi) A listing of all banks, safe deposit 

boxes, or other depositories used by the 

committee.

(2) Any change or correction in the 

information previously filed in the 

Statement of Organization shall be 

reported no later than 10 days following 

the date of the change or correction by 

filing an amended Statement of 

Organization or by filing a letter noting 

the change(s). The amendment need list 

only the name of such committee and 

the change or correction.

(b) For purposes of 11 CFR 

102.2(a)(l)(ii), political committees shall 

disclose the names of any connected 

organization(s) or affiliated 

committee(s) in accordance with 11 CFR 

102.2(b) (1) and (2). .

(1) “Affiliated committee” includes 

any committee defined in 11 CFR 

100.5(g).

(i) A principal campaign committee is 

required to disclose the names and 

addresses of all other authorized 

committees which have been authorized 

by its candidate. Authorized committees 

need only disclose the name of their 

principal campaign committee.

(ii) (A) Political committees 

established by a single parent 

corporation, a single national or 

international union, a single 

organization or federation of national or 

international unions, a single national 

membership organization or trade 

association, or any other similar group 

of persons (other than political party 

organizations) are required to disclose 

the names and addresses of all political 

committees established by any 

subsidiary, or by any State, local, or 

other subordinate unit of a national or 

international union or federation 

thereof, or by any subordinate units of a 

national membership organization, trade 

association, or other group of persons
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15105

(other than political party 

organizations).

(B) Political committees established 

by subsidiaries, or by State, local, or 

other subordinate units are only 

required to disclose the name and 

address of each political committee 

established by their parent or superior 

body, e.g., parent corporation, national 

or international union or organization or 

federation of such unions, or national 

organization or trade association.

(2) “Connected organization” includes 

any organization defined at 11 CFR 

100.6.

(c) Committee identification number.

Upon receipt of a Statement of 

Organization under 11 CFR Part 102 by 

the Commission, an identification 

number shall be assigned to the 

committee, receipt shall be 

acknowledged, and the political 

committee shall be notified of the 

number assigned. This identification 

number shall be entered by the political 

committee on all subsequent reports or 

statements filed under the Act, as well 

as on all communications concerning 

reports and statements.

§ 102.3 Termination of registration (2

U.S.C. 433(d)(1)).

(a) A political committee (other,than a 

principal campaign committee) may 

terminate only upon filing a termination 

report on FEC Form or upon filing a 

written statement containing the same 

information at the place of filing 

specified at 11 CFR Part 105. Except as 

provided in 11 CFR 102.4(c), only a 

committee which will no longer receive 

any contributions or make any 

disbursements that would otherwise 

qualify it as a political committee may 

terminate, provided that such committee 

has no outstanding debts and 

obligations. In addition to the Notice, 

the committee shall also provide a final 

report of receipts and disbursements, 

which report shall include a statement 

as to the purpose for which such 

residual funds will be used, including a 

statement as to whether such residual 

funds will be used to defray expenses 

incurred in connection with an 

individual’s duties as a holder of federal 

office.

(b) Except as provided at 11 CFR 

102.4, a principal campaign committee 

may not terminate until it has met the 

requirements of 11 CFR 102.3(a) and 

until all debts of any other authorized 

committee(s) of the candidate have been 

extinguished.

§ 102.4 Administrative termination (2

U.S.C. 443(d)(2)).

(a) The Commission, on its own 

initiative or upon the request of the

political committee itself, may 

administratively terminate a political 

committee’s reporting obligation on the 

basis of the following factors:

(1) The committee’s aggregate 

reported financial activity in one year is 

less than $5000;

(2) The committee’s reports disclose 

no receipt of contributions for the 

previous year;

(3) The committee’s last report 

disclosed minimal expenditures;

(4jThe committee’s primary purpose 

for filing its reports has been to disclose 

outstanding debts and obligations;

(5) The committee has failed to file 

reports for the previous year;

(6) The committee’s last report 

disclosed that the committee’s 

outstanding debts and obligations do 

not appear to present a possible 

violation of the prohibitions and 

limitations of 11 CFR Parts 110 and 114;

(7) The committee’s last report 

disclosed that the Committee does not 

have substantial outstanding accounts 

receivable;

(8) The committee’s outstanding debts 

and obligations exceed the total of the 

committee’s reported cash on hand 

balance.

(b) The Commission shall send a 

notification to the committee treasurer 

of its intent to administratively 

terminate that committee and may 

request the treasurer to submit 

information with regard to the factors 

set forth at 11 CFR 102.4(a). The 

treasurer shall respond, in writing, 

within 30 days of receipt of the 

Commission’s notice or request and if 

the committee objects to such 

termination, the committee’s response 

shall so state.

(c) The Commission shall 

administratively terminate a committee 

if such committee fails to object to the 

Commission’s action under 11 CFR 

102.4(b) and the Commission determines 

that either:

(1) The committee has complied with 

the debt settlement procedures set forth 

at 11 CFR 114.10;

(2) The Commission has approved the 

forgiveness of any loan(s) owed the 

committee which would have otherwise 

been considered a contribution under 

the Act in violation of 11 CFR Part 110;

(3) It does not appear from evidence 

available that a contribution in violation 

of 11 CFR Parts 110 and 114 will result.

§ 102.5 Organizations financing political

activity in connection with federal and nonfederal elections, other than through

transfers and joint fundraisers.

(a) Organizations that are political 

committees under the Act

(1) Each organization, including a 

party committee, which finances 

political activity in connection with both 

federal and non-federal elections and 

which qualifies as a political committee 

under 11 CFR 100.5 shall either:

(1) Establish a separate federal 

account in a depository in accordance 

with 11 CFR Part 103. Such account shall 

be treated as a separate federal political 

committee which shall comply with the 

requirements of the Act including the 

registration and reporting requirements 

of 11 CFR Parts 102 and 104. Only funds 

subject to the prohibitions and 

limitations of the Act shall be deposited 

in such separate federal account. All 

disbursements, contributions, 

expenditures and transfers by the 

committee in connection with any 

federal election shall be made from its 

federal account. No transfers may be 

made to such federal account from any 

other account(s) maintained by such 

organization for the purpose of financing 

activity in connection with non-federal 

elections. Administrative expenses shall 

be allocated pursuant to 11 CFR Part 106 

between such federal account and any 

other account maintained by such 

committee for the purpose of financing 

activity in connection with non-federal 

elections; or

(ii) Establish a political committee

which shall receive only contributions

subject to the prohibitions and

limitations of the Act, regardless of

whether such contributions are for use

in connection with federal or nonfederal elections. Such organization

shall register as a political committee

and comply with the requirements of the

Act.

(2) Only contributions meeting the

conditions set forth at subsections (i),

(ii), and (iii) of this section may be 

deposited in a federal account 

established under 11 CFR 102.5(a)(1) or 

may be received by a political 

committee established under 11 CFR 

102.5(a)(2).

(i) Contributions designated for the

federal account;

(ii) Contributions that result from a

solicitation which expressly states that

the contribution will be used in

connection with a federal election; and

(iii) Contributions from contributors

who are informed that all contributions

are subject to the prohibitions and

limitations of the Act.

(b) Organizations that are not political

committees under the Act

(1) Any organization that makes 

contributions dr expenditures but does 

üot qualify as a political committee 

under 11 CFR 100.5 and any State or 

local party organization that makes 

contributions, expenditures and
15106 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

exempted payments under 11 CFR 

100.7(b)(9), (15) and (17) and 100.8(b)(10), 

(16) and (18) shall either:

(i) Establish a separate account to

which only funds subject to the

prohibitions and limitations of the Act

shall be deposited and from which

contributions, expenditures and

exempted payments shall be made. Such

organization shall keep records of

deposits to and disbursements from

such account and, upon request, shall

make such records available for

examination by the Commission.

(ii) Demonstrate through a reasonable

accounting method that whenever such

organization makes a contribution,

expenditure or exempted payment, that

organization has received sufficient

funds subject to the limitations and

prohibitions of the Act to make such

contribution, expenditure or payment.

Such organization shall keep records of

amounts received or expended under

this subsection and, upon request, shall

make such records available for

examination by the Commission.

§ 102.6 Transfers and joint fundraisers.

(a) Transfers of funds may be made 

without limit between affiliated 

committees, whether or not they are 

political committees under 11 CFR 100.5; 

and between or among a national party 

committee, any State party committee 

and/or any subordinate party committee 

whether or not they are political 

committees under 11 CFR 100.5 and 

whether or not such committees are 

affiliated. Transfers will apply toward 

the thresholds for determining whether a 

committee is a political committee as 

defined at 11 CFR 100.5.

(b) For a committee or organization

engaging in a joint fundraising with, or

acting as a fundraising agent for, any

political committee, said committee or

organization shall comply with the

provisions of 11 CFR 102.8 and in

transferring such contributions shall

either:

(1) Establish a transmittal account to 

be used solely for the deposit of funds 

from a joint fundraiser or collected as a 

fundraising agent and for forwarding 

funds to its affiliate. Only funds subject 

to the prohibitions and limitations of the 

Act shall be deposited into such 

account. If any disbursement is made 

from the account, other than a transfer 

of funds to an affiliated committee, the 

account shall be considered a 

depository of the recipient affiliated 

political committee and all activity of 

that account shall be reported; or

(2) Transmit contributions which it 

has collected as a fundraising agent or 

in joint fundraising either by money 

order, cashier’s check or similar

instrument without depositing such 

contributions in any account prior to the 

transfers; or

(3) Deposit contributions which it has 

collected in joint fundraising or through 

a check-off plan in an account 

established solely for State or local 

election activity. The committee shall 

forward such contributions to its 

affiliate in accordance with 11 CFR

102.8. The committee shall make 

separate deposits of funds received 

through joint fundraising activity or 

through a check-off plan, where any 

portion of such funds represents 

contributions to the affiliated political 

committee. Such record shall include 

those records required to the kept under 

11 CFR 102.8. If contributions of $50 or 

less are received at a mass collection, a

record shall be kept of the date, the total 

amount collected, and the name of the 

function at which the collection was 

made. For each contribution of $50 or 

less which was not received at a mass 

collection, a record shall be kept of the 

date and amount of the contribution. 

Upon request, the organization shall 

make all records kept under this section 

available for examination by the 

Commission.

§ 102.7 Organization of political

committees. (2 U.S.C. 432(a)).

(a) Every political committee shall

have a treasurer and may designate, on

the committee’s Statement of

Organization, an assistant treasurer who

shall assume the duties and

responsibilities of the treasurer in the

event of a temporary or permanent

vacancy in the office or in the event the

treasurer is unavailable.

(b) Except as provided in subsection 

(a), no contribution or expenditure shall 

be accepted, or made by or on behalf of 

a political committee at a time when 

there is a vacancy in the office of the 

treasurer.

(c) No expenditure shall be made for

or on behalf of a political committee

without the authorization of its treasurer

or of an agent authorized orally or in

writing by the treasurer.

(d) Any candidate who receives a 

contribution, as defined at 11 CFR 100.7, 

obtains any loan or makes any 

disbursement in connection with his or 

her campaign, shall be considered as 

having received the contribution, 

obtained the loan or made the 

disbursement as an agent of such 

authorized committee(s).

§ 102.8 Receipt of contributions. (2 U.S.C.

432(b)).

(a) Every person who receives a 

contribution for an authorized political 

committee shall, no later than 10 days

after receipt, forward such contribution 

to the treasurer If the amount of the 

contribution is in excess of $50, such 

person shall also forward to the 

treasurer the name and address of the 

contributor and the date of receipt of the 

contribution. If the amount of the 

contribution is in excess of $200, such 

person shall forward the contribution, 

the identification of the contributor in 

accordance with 11 CFR 100.12, and the 

date of receipt of the contribution. Date 

of receipt shall be the date such person 

obtains possession of the contribution.

(b) (1) Every person who receives a 

contribution of $50 or less for a political 

committee which is not an authorized 

committee shall forward such 

contribution to the treasurer of the 

political committee no later than 30 days 

after receipt.

(2) Every person who receives a 

contribution in excess of $50 for a 

political committee which is not an 

authorized committee shall, no later 

than 10 days after receipt of the 

contribution, forward to the treasurer of 

the political committee: the contribution; 

the name and address of the contributor; 

and the date of receipt of the 

contribution. If the amount of the 

contribution is in excess of $200, such 

person shall forward the contribution, 

the identification of the contributor in 

accordance with 11 CFR 100.12, and the 

date of receipt of the contribution. Date 

of receipt shall be the date such person 

obtains possession of the contribution.

(c) The provisions of 11 CFR 102.8

concerning receipt of contributions for 

political committees shall also apply to

earmarked contributions transmitted by 

an intermediary or conduit.

§ 102.9 Accounting for contributions and

expenditures. (2 U.S.C. 432(c)).

The treasurer of a political committee 

or an agent authorized by the treasurer 

to receive contributions and make 

expenditures shall fulfill all 

recordkeeping duties as set forth at 11 

CFR 102.9(a) through (e):

(a) An account shall be kept by any

reasonable accounting procedure of all

contributions received by or on behalf of 

the political committee.

(1) For contributions in excess of $50, 

such account shall include the name and 

address of the contributor and the date 

of receipt and amount of such 

contribution.

(2) For contributions from any person

whose contributions aggregate more

than $200 during a calendar year, such

account shall include the identification

of the person, and the date of receipt

and amount of such contribution.

(3) For contributions from a political 

committee, such account shall include
Federal Register / Vol, 45, No. 47 / Friday, March 7, 1980 J Rules and Regulations 15107

the identification of the political 

committee and the date of receipt and 

amount of such contribution.

(b) (1) An account shall be kept of all 

disbursements made by or on behalf of 

the political committee. Such account 

shall consist of a record of:

(1) the name and address of every 

person to whom any disbursement is 

made;

(ii) the date, amount, and purpose of 

the disbursement; and

(iii) if the disbursement is made for a 

candidate, the name and office 

(including State and congressional 

district, if any) sought by that candidate.

(iv) For purposes of 11 CFR 102i9(b)(l), 

"purpose” has the same meaning given 

the term at 11 CFR 10>.3(b)(3)(i)(A).

(2) In addition to the account to be 

kept under 11 CFR 102.9(b)(1), a receipt 

or invoice from the payee or a cancelled 

check to the payee shall be obtained 

and kept for each disbursement in 

excess of $200 by or on behalf of, the 

committee, except that credit card 

transactions, shall be documented in 

accordance with 11 CFR 102.9(b)(2)(ii) 

and disbursements by share draft or 

check drawn on a credit union account 

shall be documented in accordance with 

11 CFR 102.9(b)(2)(iii).

(i) (A) For purposes of 11 CFR 

102.9(b)(2), “payee” means the person 

who provides the goods or services to 

the committee or agent thereof in return 

for payment, except for an advance of 

$500 or less for travel and subsistence to 

an individual who will be the recipient 

of the goods or services.

(B) For any advance of $500 or less to 

an individual for travel and subsistence, 

the expense voucher or other expense 

account documentation and a cancelled 

check to the recipient of the advance 

shall be obtained and kept.

(ii) For any credit card transaction, 

documentation shall include a monthly 

billing statement or customer receipt for 

each transaction and the cancelled 

check used to pay the credit card 

account.

(iii) For purposes of 11 CFR 

102.9(b)(2), a carbon copy of a share 

draft or check drawn on a credit union 

account may be used as a duplicate 

record of such draft or check provided 

that the monthly account statement 

showing that the share draft or check 

was paid by the credit union is also 

retained.

(c) The treasurer shall preserve all 

records and accounts required to be 

kept under 11 CFR 102.9 for 3 years after 

the report to which such records and 

accounts relate is filed.

(d) In performing recordkeeping 

duties, the treasurer or his or her 

authorized agent shall use his or her

best efforts to obtain, maintain and 

submit the required information and 

shall keep a complete record of such 

efforts. If there is a showing that best 

efforts have been made, any records of a 

committee shall be deemed to be in 

compliance with this Act. With regard to 

the requirements of 11 CFR 102.9(b)(2) 

concerning receipts, invoices and 

cancelled checks, the treasurer will not 

be deemed to have exercised best 

efforts to obtain, maintain and submit 

the records unless he or she has made at 

least one written effort per transaction 

to obtain a duplicate copy of the invoice, 

receipt, or cancelled check.

(e) If the candidate, or his or her 

authorized committee(s), receives 

contributions prior to the date of the 

primary election, which contributions 

are designated by the candidate or his 

or her authorized committee(s) for use in 

connection with the general election, 

such candidate or such committees shall 

use an acceptable accounting method to 

distinguish between contributions 

received for the primary election and 

contributions received for the general 

election. Acceptable methods include, 

but are not limited to: (1) the designation 

of separate accounts for each election, 

caucus, or convention and (2) the 

establishment of separate books and 

records for each election.

§ 102.10 Disbursement by check (2 U.S.C.

432(h)(1)).

All disbursements by a political 

committee, except for disbursements 

from the petty cash fund under 11 CFR 

102.11, shall be made by check or similar 

draft drawn on account(s) established at 

the committee’s campaign depository or 

depositories under 11 CFR Part 103.

§ 102.11 Petty cash fund (2 U.S.C.

432(h)(2)).

A political committee may maintain a 

petty cash fund out of which it may 

make expenditures not in excess of $100 

to any person per purchase or 

transaction. If a petty cash fund is 

maintained, it shall be the duty of the 

treasurer of the political committee to 

keep and maintain a written journal of 

all disbursements, This written journal 

shall include the name and address of 

every person to whom any disbursement 

is made, as well as the date, amount, 

and purpose of such disbursement. In 

addition, if any disbursement is made 

for a candidate, the journal shall include 

the name of that candidate and the 

office (including State and 

Congressional district) sought by such 

candidate. *

§ 102.12 Designation of principal

campaign committee (2 U.S.C. 432(e)(1) and

(3)).

(a) Each candidate for Federal office 

(other than a nominee of a political 

party to the Office of Vice President) 

shall designate in writing a political 

committee to serve as his or her 

principal campaign committee in 

accordance with 11 CFR 101.1(a) no later 

than 15 days after becoming a 

candidate. Each principal campaign 

committee shall vregister, designate a 

depository-and report in accordance 

with 11 CFR Parts 102,103 and 104.

(b) No political committee may be

designated as the principal campaign

committee of more that one candidate.

(c) (1) No political committee which

supports or has supported more thail

one candidate may be designated as a

principal campaign committee, except

that, after nomiifktion, a candidate for

the office of President of the United

States nominated by a political party

may designate the national committee of

such political party as his or her

principal campaign committee. A

national committee which is so

designated shall maintain separate

books of account with respect to its

function as a principal campaign

committee.

(2) For purposes of 11 CFR 102.12(c), 

the term “support” does not include 

contributions by an authorized 

committee in amounts aggregating $1,000 

or less per election to an authorized 

committee of any other candidate, 

except that the national committee of a 

political party which has been 

designated as the principal campaign 

committee of that party’s Presidential 

candidate may contribute to another 

candidate in accordance with 11 CFR 

Part 110.

§102.13 Authorization of political

committees (2 U.S.C. 432(e)(1) and (3)).

(a) (1) Any political committee

authorized by a candidate to receive

contributions or make expenditures

shall be authorized in writing by the

candidate. Such authorization must be

filed with the principal campaign

committee in accordance with 11 CFR

102.1(b).

(2) If an individual fails to disavow 

activity pursuant to 11 CFR 100.3(a)(3) 

and is therefore a candidate upon notice 

by the Commission, he or she shall 

authorize the committee in writing.

(b) A candidate is not required to

authorize a national, State or

subordinate State party committee

which solicits funds to be expended on

the candidate’s behalf pursuant to 11

CFR 110.7.
15108 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

(c)(1) No political committee which 

supports or has supported more than 

one candidate may be designated as an 

authorized committee, except that two 

or more candidates may designate a 

political committee established solely 

for the purpose of joint fundraising by 

such candidates as an authorized 

committee.

(2) For purposes of 11 CFR 102.13(c), 

the term '‘support” does not include 

contributions by an authorized 

committee in amounts aggregating $1,000 

or less per election to an authorized 

committee of any other candidate, 

except that the national committee of a 

political party which has been 

designated as the principal campaign 

committee of that party’s Presidential 

candidate may contribute to another 

candidate in accordance with 11 CFR 

Part 110.

§ 102.14 Names of political committees (2

U.S.C. 432(e)*(4) and (5)).

(a) The name of each authorized 

committee shall include the name of the 

candidate who authorized such 

committee. Except as provided in 

subsection (b) of this section, any 

political committee which is not an 

authorized committee shall not include 

the name of any candidate in its name.

(b) (1) A delegate committee, as 

defined at 11 CFR 100.5(a)(5), shall 

include the word “delegate(s)” in its 

name and may also include in its name 

the name of the presidential candidate 

which the delegate committee supports.

(2) A political committee established 

solely to draft an individual or to 

encourage him or her to become a 

candidate may include the name of such 

individual in the name of the committee 

provided the committee’s name clearly 

indicates that it is a draft committee.

(c) The name of a separate segregated 

fund established pursuant to 11 CFR 

102.1(c) shall include the full name of its 

connected organization. Such fund may 

also use a clearly recognized 

abbreviation or acronym by which the 

connected organization is commonly 

known. Both the full name and such 

abbreviation or acronym shall be 

included on the fund’s Statement of 

Organization, on all reports filed by the 

fund, and in all notices required by 11 

CFR 109.4 and 110.11. The fund may 

make contributions using its acronym or 

abbreviated name. A fund established 

by a corporation which has a number of 

subsidiaries need not include the name 

of each subsidiary in its name. Similarly, 

a separate segregated fund established 

by a subsidiary need not include in its 

name the name of its parent or another 

subsidiary of its parent.

§ 102.15 Commingled funds (2 U.S.C.

432(a)(3)).

All funds of a political committee 

shall be segregated from, and may not 

be commingled with, any personal funds 

of officers, members or associates of 

that committee, or with the personal 

funds of any other individual. See also 

11 CFR 103.3 and Part 114 and 2 USC 

441b.

§ 102.16 Notice: Solicitation of

contributions (2 U.S.C. 44 Id).

Each political committee shall comply 

with the notice requirements for 

solicitation of contributions set forth at 

11 CFR 110.11.

PART 103—CAMPAIGN

DEPOSITORIES (2 U.S.C. 432(h))

Sec.

103.1 Notification of the commission.

103.2 Depositories (2 ÜSC 432(h)(1)).

103.3 Deposit of receipts and disbursements

(2 USC 432(h)(1)).

103.4 Vice Presidential candidate campaign

depositories.

Authority: 2 USC 432(h), 438(a)(8).

§ 103.1 Notification of the commission.

Each committee shall notify the 

Commission of the campaign 

depository(ies) it has designated, 

pursuant to 11 CFR 101.1 and 103.2.

§ 103.2 Depositories (2 U.S.C. 432(h)(1)).

Each political committee shall 

designate one or more State banks, 

federally chartered depository 

institutions (including a national bank), 

or depository institutions the depositor 

accounts of which are insured by the 

Federal Deposit Insurance Corporation, 

Federal Savings and Loan Insurance 

Corporation, or the National Credit 

Union Administration, as its campaign 

depository or depositories. One or more 

depositories may be established in one 

or more States. Each political committee 

shall maintain at least one checking 

account or transaction account at one of 

its depositories. Additional accounts 

may be established at each depository.

§ 103.3 Deposit of receipts and

disbursements (2 U.S.C. 432(h)(1)).

(a) All receipts by a political 

committee shall be deposited in 

account(s) established pursuant to 11 

CFR 103.2. The treasurer of the 

committee shall be responsible for 

making such deposits. All deposits shall 

be made within 10 days of the 

treasurer’s receipt. A committee shall 

make all disbursements by check or 

similar drafts drawn on an account at its 

designated campaign depository, except 

for expenditures of $100 or less made 

from a pretty cash fund maintained

pursuant to 11 CFR 102.11. Funds may be

transferred from the depository for

investment purposes, but shall be

returned to the depository before such

funds are used to make expenditures.

(b)(1) Contributions which appear to 

be illegal shall be, within 10 days, either 

returned to the contributor or deposited 

into the campaign depository, and

reported. If deposited, the treasurer shall 

make and retain a written record noting 

the basis for the appearance of illegality. 

A statement noting that the legality of 

the contribution is in question should be 

included in the report. The treasurer

shall make his or her best efforts to

determine the legality of the

contribution.

(2) When a contribution cannot be 

determined to be legal, refunds shall be 

made within a, reasonable time, and the 

treasurer shall note the refund by

amending the current report or noting

the change on the committee’s next

required report.

§ 103.4 Vice Presidential candidate

campaign depositories.

Any campaign depository designated

by the principal campaign committee of

a political party’s candidate for

President shall be the campaign

depository for that political party’s

candidate for thé office of Vice

President.

PART 104—REPORTS BY POLITICAL

COMMITTEES (2 U.S.C. 434)

Sec.

104.1 Scope (2 USC 434(a))

104.2 Forms

104.3 Contents of Reports (2 USC 434(b))

104.4 Independent Expenditures by Political

Committees (2 USC 434(c))

104.5 Filing Dates (2 USC 434(a)(2))

104.6 Form and Content of Internal

Communications Reports (2 USC

431(9)(B)(iii))

104.7 Best Efforts (2 USC 432(i))

104.8 Uniform Reporting of Contributions

104.9 Uniform Reporting of Expenditures

104.10 Allocation of Expenditures Among

Candidates

104.11 Continuous Reporting of Debts and

Obligations

104.12 Beginning Cash on Hand for Political

Committees

104.13 Disclosure of Receipt and

Consumption of In-Kind Contributions

104.14 Formal Requirements Regarding

Reports and Statements

104.15 Sale or Use Restriction (2 USC

438(a)(4))

104.16 Audits (2 USC 438(b))

104.17 Content of Reports; Presidential and

VicerPresidential Committees (2 USC 431

note)

Authority: 2 USC 431 note, 431(9)(B)(iii),

432(i), 434, 438(a)(4)(8), 438(b).
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15109

§ 104.1 Scope (2 U.S.C. 434(a)).

(a) Who must report. Each treasurer of 

a political committee required to register 

under 11 CFR Part 102 shall report in 

accordance with 11 CFR Part 104.

(b) Who m ay report. An individual 

seeking federal office who has not 

attained candidate status under 11 CFR

100.3, the committee of such an 

individual or any other committee may 

voluntarily register and report in 

accordance with 11 CFR Parts 102 and 

104. An individual shall not become a 

candidate solely by voluntarily filing a 

report, nor shall such individual the 

individual’s committee nor any other 

committee be required to file all reports 

under 11 CFR 104.5, unless the 

individual becomes a candidate under 

11 CFR 100.3 or unless the committee 

becomes a political committee under 11 

CFR 100.5.

§ 104.2 Forms.

(a) Each report filed by a political 

committee under 11 CFR Part 104 shall 

be filed on the appropriate FEC form as 

set forth below at 11 CFR 104.2(e).

(b) Forms may be obtained from the 

Federal Election Commission, 1325 K 

Street, NW., Washington, D.C. 20463.

(c) A committee may reproduce FEC 

forms for its own use provided they are 

not reduced in size.

(d) With prior approval of the 

Commission a committee may use, for 

reporting purposes, computer produced 

schedules of itemized receipts and 

disbursements provided they are 

reduced to the size of FEC forms. The 

committee shall submit a sample of the 

proposed format with its request for 

approval.

(e) The following forms shall be used 

by the indicated type of reporting 

committee:

(1) Presidential committees. The 

authorized committees of a candidate 

for President or Vice President shall file 

on FEC Form 3-P.

(2) Congressional candidate

committees. The authorized committees 

of a candidate for the Senate or the 

House of Representatives shall file on 

FEC Form 3.

(3) Political Committees Other than

Authorized Committees. Political 

committees other than authorized 

committees shall file reports on FEC 

Form 3-------- .

§ 104.3 Contents of reports (2 U.S.C.

434(b)).

(a) Reporting of Receipts. Except for 

reports filed in accordance with 11 CFR 

104.17, each report filed under 11 CFR 

104.1 shall disclose the total amount of 

receipt^ for the reporting period and for 

the calendar year and shall disclose the

information set forth at 11 CFR 104.3(a)

(1) through (4). The first report filed by a 

committee shall also include all amounts 

received prior to becoming a political 

committee under 11 CFR 100.5, even if 

such amounts were not received during 

the current reporting period.

(1) Cash on hand. The amount of cash 

on hand at the beginning of the reporting 

period, including: currency; balance on 

deposit in banks, savings and loan 

institutions, and other depository 

institutions; traveler’s checks owned by 

the committee; certificates of deposit, 

treasury bills and any other committee 

investments valued at cost.

(2) Categories o f receipts fo r all

p olitical com m ittees other than

authorized com m ittees. All committees 

other than authorized committees shall 

report the total amount of receipts 

received during the reporting period 

and, except for itemized and unitemized 

breakdowns, during the calendar year 

for each of the following categories:

(i) Contributions from persons other 

than any committees;

(A) itemized contributions from 

persons, other than any committees, 

including contributions from individuals;

(B) unitemized contributions from 

persons, other than any committees, 

including contributions from individuals;

(C) total contributions from persons 

other than any committees, including 

contributions from individuals;

(ii) contributions from political party 

committees, including contributions 

from party committees which are not 

political committees under the Act;

(iii) contributions from political 

committees, including contributions 

from committees which are not political 

committees under the Act but excluding 

contributions from any party 

committees;

(iv) total contributions;

(v) transfers from affiliated 

committees or organizations and, where 

the reporting committee is a political 

party committee, transfers from other 

party committees of the same party, 

regardless of whether such committees 

are affiliated;

(vi) all loans;

(vii) offsets to operating expenditures;

(A) itemized offsets to operating 

expenditures (such as rebates and 

refunds); ■

(B) unitemized offsets to operating 

expenditures (such as rebates and 

refunds);

(C) total offsets to operating 

expenditures;

(viii) other receipts:

(A) itemized other receipts (such as 

dividends and interest);

(B) unitemized other receipts (such as 

dividends and interest);

(C) the total sum of all other receipts.

(ix) the total sum of all receipts.

(3) C ategories o f receipts fo r

authorized com m ittees. An authorized 

committee of a candidate for Federal 

office shall report the total amount of 

receipts received during the reporting 

period and, except for itemized and 

unitemized breakdowns, during the 

calendar year in each of the following 

categories:

(i) contributions from persons other 

than any committees;

(A) itemized contributions from 

persons, other than any committees, 

including contributions from individuals, 

but excluding contributions from a 

candidate to his or her authorized 

committees;

(B) unitemized contributions from 

persons, other than any committees, 

including contributions from individuals, 

but excluding contributions from a 

candidate to his or her authorized 

committees;

(C) total contributions from persons 

other than any committees, including 

contributions from individuals, but 

excluding contributions from a 

candidate to his or her authorized 

committees;

(ii) contributions from the candidate, 

excluding loans which are reported 

under 11 CFR 104.3(a)(3)(vii));

(iii) contributions from political party 

committees, including party committees 

which are not political committees 

under the Act, except that expenditures 

made under 11 CFR 110.7 (2 U.S.C. 

441a(d)), by a party committee shall not 

be reported as contributions by the 

authorized committee on whose behalf 

they are made;

(iv) contributions from committees, 

including contributions from committees 

which are not political committees 

under the Act, but excluding 

contributions from any party 

committees;

(v) total contributions;

(vi) transfers from other authorized 

committee(s) of the same candidate, 

regardless of amount;

(vii) loans;

(A) all loans to the committee, except 

loans made, guaranteed, or endorsed by 

a candidate to his or her authorized 

committee;

(B) loans made, guaranteed, or 

endorsed by a candidate to his or her 

authorized committee;

(C) total loans;

(viii) for authorized committee(s) of 

Presidential candidates, federal funds 

received under Chapters 95 and 96 of the 

Internal Revenue Code of 1954 (Title 26, 

United States Code);

(ix) offsets to operating expenditures;
15110 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

(A) itemized offsets to operating 

expenditures (such as refunds and 

rebates);

(B) unitemized offsets to operating 

expenditures (such as refunds and 

rebates);

(C) total offsets to operating 

expenditures;

(x) other receipts;

(A) itemized other receipts (such as 

dividends and interest);

(B) unitemized other receipts (such as 

dividends and interest);

(C) total other receipts;

(xi) total receipts.

(4) Item ization o f receipts fo r a ll

com m ittees including authorized and

unauthorized com m ittees. The 

identification (as defined at 11 CFR 

100.12) of each contributor and the 

aggregate year-to-date total for such 

contributor in each of the following 

categories shall be reported.

(i) Each person, other than any 

committee, who makes a contribution to 

the reporting committee during the 

reporting period, whose contribution or 

contributions aggregate in excess of $200 

per calendar year, together with the date 

of receipt and amount of any such 

contributions, except that the reporting 

committee may elect to report such 

information for contributors of lesser 

amount(s) on a separate schedule;

(ii) All committees (including political 

committees and committees which do 

not qualify as political committees under 

the Act) which make contributions to 

the reporting committee during the 

reporting period, together with the date 

of receipt and amount of any such 

contribution;

(iii) Transfers;

(A) For authorized committees of a 

candidate for Federal office, each 

authorized committee which makes a 

transfer to the reporting committee, 

together with the date and amount of 

such transfer;

(B) For committees which are not 

authorized by a candidate for Federal 

office, each affiliated committee or 

organization which makes a transfer to 

the reporting committee during the 

reporting period and, where the 

reporting committee is a political party 

committee, each transfer of funds to the 

reporting committee from another party 

committee regardless of whether such 

committees are affiliated, together with 

the date and amount of such transfer;

(iv) Each person who makes a loan to 

the reporting committee or to the 

candidate acting as an agent of the 

committee, during the reporting period, 

together with the identification of any 

endorser or guarantor of such loan, the 

date such loan was made and the, 

amount or value of such loan;

(v) Each person who provides a 

rebate, refund or other offset to 

operating expenditures to the reporting 

committee in an aggregate amount or 

value in excess of $200 within the 

calendar year, together with the date 

and amount of any such receipt; and

(vi) Each person who provides any 

dividend, interest, or other receipt to the 

reporting committee in an aggregate 

value or amount in excess of $200 within 

the calendar year, together with the date 

and amount of any such receipt

(b) Reporting o f Disbursements.

Except for reports filed in accordance 

with 11 CFR 104.17, each report filed 

under 11 CFR J04.1 shall disclose the 

total amount of all disbursements for the 

reporting period and for the calendar 

year and shall disclose the information 

set forth at 11 CFR 104.3(b) (1) through

(4). The first report filed by a committee 

shall also include all amounts disbursed 

prior to becoming a political committee 

under 11 CFR 100.5, even if such 

amounts were not disbursed during the 

current reporting period.

(1) Categories o f disbursem ents fo r

p olitical com m ittees other than

authorized com m ittees. All political 

committees other than authorized 

committees shall report the total amount 

of disbursements made during the 

reporting period and, except for itemized 

and unitemized breakdowns, during the 

calendar year in each of the following 

categories:

(i) Operating expenditures;

(A) itemized operating expenditures;

(B) unitemized operating 

expenditures;

(C) total operating expenditures;

(ii) transfers to affiliated committees 

or organizations and, where the 

reporting committee is a political party 

committee, transfers to other political 

party committees regardless of whether 

they are affiliated;

(iii) repayment of all loans;

(iv) offsets;

(A) itemized offsets to contributions 

(including contribution refunds);

(B) unitemized offsets to contributions 

(including contribution refunds);

(C) total offsets to contributions;

(v) contributions made to other 

political committees;

(vi) loans made by the reporting 

committee;

(vii) independent expenditures made 

by the reporting committee;

(viii) expenditures made under 11 CFR

110.7 (2 U.S.C. 441a(d)), See 11 CFR

104.3(a)(3)(iii);

(ix) other disbursements;

(A) itemized other disbursements;

(B) unitemized other disbursements;

(C) total other disbursements;

(x) total disbursements.

(2) Categories of disbursements for

authorized committees. An authorized 

committee of a candidate for Federal 

office shall report the total amount of 

disbursements made during the 

reporting period and, except for itemized 

and unitemized breakdowns, dining the 

calendar year in each of the following 

categories:

(i) operating expenditures;

(A) itemized operating expenditures;

(B) unitemized operating 

expenditures;

(C) total operating expenditures;

(ii) transfers to other committees 

authorized by the same candidate;

(iii) repayment of loans;

(A) repayment of loans made by or 

guaranteed by the candidate;

(B) repayment of all other loans;

(C) total loan repayments;

(iv) for an authorized committee of a 

candidate for the office of President, 

disbursements not subject to the 

limitations of 11 CFR 110.8 (2 U.S.C. 

441a(b));

(v) offsets;

(A) itemized offsets to contributions 

(including contribution refunds);

(B) unitemized offsets to contributions 

(including contribution refunds);

(C) total offsets to contributions;

(vi) other disbursements;

(A) itemized other disbursements;

(B) unitemized other disbursements;

(C) total other disbursements;

(vii) total disbursements.

(3) Itemization of disbursements by

political committees other than

authorized committees. Each political 

committee, other than an authorized 

committee, shall report the full name 

and address of each person in each of 

the following categories, as well as the 

information required by each category;

(i) Each person to whom an 

expenditure in an aggregate amount or 

value in excess of $200 within the 

calendar year is made by the reporting 

committee to meet the committee’s 

operating expenses, together with the 

date, amount, and purpose of such 

operating expenditure;

(A) As used in 11 CFR 104.3(b)(3), 

“purpose” means a brief statement or 

decription of why the disbursement was 

made.

(B) Examples of statements or 

descriptions which meet the 

requirements of 11 CFR 104.3(b)(3) 

include the following: dinner expenses, 

media, salary, polling, travel, party fees, 

phone banks, travel expenses, travel 

expense reimbursement, and catering 

costs. However, statements or 

descriptions such as “advance”, 

“election day expenses” “other 

expenses”, "expenses”, “expense 

reimbursement", “miscellaneous”,
Federal Register / VoL. 45, No. 47. / Friday,. March 7, 1980 / Rples^and Regulations 15111

“outside services”, “get-out-the-vote” 

and “voter registration” would not meet 

the requirements of 11 CFR 104.3(b)(3) 

for reporting the purpose of an 

expenditure.

(ii) Each affiliated committee to which

a transfer is made by the reporting

committee during the reporting period

and, where the reporting committee is a

political party committee, each transfer

of funds by the reporting committee to

another political party committee,

regardless of whether such committees

are affiliated, together with the date and

amount of such transfer;

(iii) Each person who receives a loan

repayment from the reporting committee

during the reporting period, together

with the date and amount of such loan

repayment;

(iv) Each person who receives a 

contribution refund or other offset to 

contributions from the reporting 

committee where such contribution 

refund was reported under 11 CFR

104.3(b)(l)(iv), together with the date 

and amount of such refund or offset;

(v) Each political committee which

has received a contribution from the

reporting committee during the reporting

period, together with the date and

amount of any such contribution, and, in

the case of a contribution to an

authorized committee, the candidate’s

name and office sought (including State

and Congressional district, if

applicable);

(vi) Each person who has received a

loan from the reporting committee

during the reporting period, together

with the date and amount or value of

such loan;

(vii) (A) Each person who receives

any disbursement during the reporting

period in an aggregate amount or value

in excess of $200 within the calendar

year in connection with an independent

expenditure by the reporting committee,

together with the date, amount, and

purpose of any such independent

expenditure(s);

(B) For each independent expenditure

reported, the committee must also

provide a statement which indicates

whether such independent expenditure

is in support of, or in opposition to a

particular candidate, as well as the

name of the candidate and office sought

by such candidate (including State and

Congressional district, when

applicable), and a certification, under

penalty of perjury, as to whether such

independent expenditure is made in

cooperation, consultation or concert

with, or at the request or suggestion of,

any candidate or any authorized

committee or agent of such committee;

(C) The information required by 11

CFR 104.3(b)(3)(vii)(A) and (B) shall be

reported mi,Schedule E as part of a

report covering the reporting period in

which the aggregate disbursements for

any independent expenditure to any

person exceed $200 per calendar year.

Schedule E shall also include the total of

all such expenditures of $200 or less

made during the reporting period.

(viii) Each person who receives any 

expenditure from the reporting 

committee during the reporting period in 

connection with an expenditure under 

11 CFR 110.7 (2 USC 441a(d)), together 

with the date, amount, and purpose of 

any such expenditure as well as the 

name of, and office sought by (including 

State and Congressional district, when 

applicable), the candidate on whose 

behalf the expenditure is made; and

(ix) Each person who has received 

any disbursement within the reporting 

period not otherwise disclosed in 

accordance with 11 CFR 104.3(b)(3) to 

whom the aggregate amount or value of 

disbursements made by the reporting 

committee exceeds $200 within the 

calendar year, together with the date, 

amount and purpose of any such 

disbursement.

(4) Itemization of disbursements by

authorized committees. Each authorized

committee shall report the full name and

address of each person in each of the

following categories, as well as the

information required by each category.

(i) Each person to whom an

expenditure in an aggregate amount or

value in excess of $200 within the

calendar year is made by the reporting

committee to meet the committee’s

operating expenses, together with the

date, amount and purpose of each

expenditure.

i (A) As used in 11 CFR 104.3(b)(4), 

“purpose” means a brief statement or 

description of why the disbursement 

was made. Examples of statements or 

descriptions which meet the 

requirements of 11 CFR 104.3(b)(4) 

include the following: dinner expenses, 

media, salary, polling, travel, party fees, 

phone banks, travel expenses, travel 

expense reimbursement, and catering 

costs. However, statements or 

descriptions such as “advance”,

“election day expenses”, "other 

expenses”, “expenses”, “expense 

reimbursement”, “miscellaneous”, 

“outside services” "get-out-the-vote” 

and “voter registration” would not meet 

the requirements of 11 CFR 104.3(b)(4) 

for reporting the purpose of an 

expenditure.

(ii) Each authorized committee of the 

same candidate to which a transfer is 

made by the reporting committee during 

the reporting period, together with the 

date and amount of such transfer;

(iii) Each person who receives a loan 

repayment from the reporting committee 

during the reporting period, together 

with the date and amount of such loan 

repayment;

(iv) Each person who receives a loan 

repayment from the candidate, if the 

proceeds of such loan were used in 

connection with the candidate’s 

campaign;

(v) Each person who receives a 

contribution refund or other offset to 

contributions from the reporting 

committee where such contribution 

refund was reported under 11 CFR 

104.3(b)(2)(v), together with the date and 

amount of such refund or offset.

(vi) Each person who has received 

any disbursement(s) not otherwise 

disclosed under 11 CFR 104.3(b)(4) to 

whom the aggregate amount or value of 

such disbursements exceeds $200 within 

the calendar year, together with the 

date, amount, and purpose of any such 

disbursement.

(c) Summary of contributions and

operating expenditures. Each report 

filed pursuant to 11 CFR 104.1 shall 

disclose for both the reporting period 

and the calendar year:

(1) (i) the total contributions to the 

reporting committee;

(ii) the total offsets to contributions;

(iii) the net contributions (subtract 

total offsets from total contributions);

(2) (i) the reporting committee’s total 

operating expenditures;

(ii) the total offsets to operating 

expenditures;

(iii) the net operating expenditures 

(subtract total offsets from total 

operating expenditures).

(d) Reporting debts and obligations.

Each report filed under 11 CFR 104.1 

shall, on Schedule—, disclose the 

amount and nature of outstanding debts 

and obligations owed by or to the 

reporting committee. Loans obtained by 

an individual prior to becoming a 

candidate for use in connection with 

that individual’s campaign shall be 

reported as an outstanding loan owed to 

the lender by the candidate’s principal 

campaign committee, if such loans are 

outstanding at the time the individual 

becomes a candidate. Where such debts 

and obligations are settled for less than 

their reported amount or value, each 

report filed under 11 CFR 104.1 shall 

contain a statement as to the 

circumstances and conditions under 

which such debts or obligations were 

extinguished and the amount paid. See 

11 CFR 114.10.

(e) Use of Pseudonyms. (1) To 

determine whether the names and 

addresses of its contributors are being 

used in violation of 11 CFR 104.15 to 

solicit contributions or for commercial
15112 Federal Register / Vol. 45, No; 47 / Friday, March 7, 1980 / Rules and Regulations

purposes, a political committee may

submit up to ten (10) pseudonyms on

each report filed.

(2) For purposes of this section, a

pseudonym is a wholly fictitious name

which does not represent the name of an

actual contributor to a committee.

(3) If a committee uses pseudonyms it 

shall subtract the total dollar amount of 

the fictitious .contributions from the total 

amount listed on line— of the Detailed 

Summary page, “Unitemized 

contributions from individual persons 

other than political committees.” Thus, 

the committee will, for this purpose 

only, be overstating the amount of 

itemized contributions received and 

understating the amount of unitemized 

contributions received.

(4) No authorized committee of a

candidate shall attribute more than

$1,000 in contributions to the same

pseudonym for each election and no

other political committee shall attribute

more than $5,000 in contributions to the

same pseudonym in any calendar year.

(5) A committee using pseudonyms 

shall send a list of such pseudonyms 

under separate cover directly to the 

Reports Analysis Division, Federal 

Election Commission, 1325 K Street

N.W., Washington, D.C. 20463, on or 

before the date on which any report 

containing such pseudonyms is filed 

with the Clerk of the House of 

Representatives, the Secretary of the 

Senate, or the Commission. The 

Commission shall maintain the list, but 

shall exclude it from the public record.

A committee shall not send any list of

pseudonyms to the Clerk of the House of

Representatives, the Secretary of the

Senate, or to any Secretary of State or

equivalent state officer.

(6) A political committee shall not use

pseudonyms for the purpose of

circumventing the reporting

requirements or the limitations and

prohibitions of the Act.

(f) Consolidated Reports. Each

principal campaign committee shall

consolidate in each report those reports

required to be filed with it. Such

consolidated reports shall include: (1)

reports submitted to it by any

authorized committees and (2) the

principal campaign committee’s own

report. Such consolidation shall be made

on FEC Form— and shall be submitted

with the reports of the principal

campaign committee and with the

reports, or applicable portions thereof,

of the committees shown on the

consolidation.

(g) Building Funds. Gifts,

subscriptions, loans, advances, deposits

of money or anything of value made to

defray costs of construction or purchase

of office facilities received by a political

committee in accordance with 11 CFR 

100.7(b)(12) shall be reported on 

Schedule —.

(h) Legal and Accounting Services. A

committee which receives legal or

accounting services pursuant to 11 CFR

100.7(b) (13) and (14) shall report, on

Schedule—, the amounts paid for these

services by the regular employer of the

person(s) providing such services; the

date(s) such services were performed;

and the name of each person performing

such services.

(i) Cumulative Reports. The reports

required to be filed under 11 CFR 104.5 

shall be cumulative for the calendar

year to which they relate, but if there

has been no change in a category

reported in a previous report during that

year, only the amount thereof need be

carried forward.

§ 104.4 Independent expenditures by

political committees (2 U.S.C. 434(c)).

(a) Every political committee which 

makes independent expenditures shall 

report all such expenditures on Schedule 

E in accordance with 11 CFR 

104.3(b)(3)(vii). Every person (other than 

a political committee) shall report 

independent expenditures in accordance 

with 11 CFR Part 109.

(b) 24 Hour Reports. Any independent 

expenditures aggregating $1,000 or more 

made after the 20th day, but more than 

24 hours, before 12:01 A.M. of the day of

the election, shall be reported within 24 

hours after such independent 

expenditure is made. Such report shall 

be filed with the appropriate officers 

listed in 11 CFR 104.4(c) and shall 

contain the information required by 11 

CFR 104.3(b)(3)(vii) indicating whether 

the independent expenditure is made in 

support of, or in opposition to, the 

candidate involved.

(c) W here to File. Reports of 

independent expenditures under 11 CFR 

104.4 and Part 109 shall be filed as set 

forth at 11 CFR 104.4(c)(1) through (3).

(1) For independent expenditures in

support of or in opposition to, a

candidate for President or VicePresident: with the Commission and the

Secretary of State for the State in which

the expenditure is made.

(2) For independent expenditures in

support of, or in opposition to, a

candidate for the Senate: with the

Secretary of the Senate and the

Secretary of State for the State in which

the candidate is seeking election.

(3) For independent expenditures in 

support of, or in opposition to, a 

candidate for the House of 

Representatives: with the Cleric of the 

House and the Secretary of State for the 

State in which the candidate is seeking 

election.

§ 104.5 Filing dates (2 U.S.C. 434(a)(2)).

(a) Principal Campaign Committee of

House or Senate Candidate. Each 

treasurer of a principal campaign 

committee supporting a candidate for 

the House of Representatives or to the 

Senate shall file reports on the dates 

specified at 11 CFR 104.5(a)(1) and (2).

(1) Election Year Reports, (i) PreElection Reports. (A) Pre-election 

reports for the primary and general 

election shall be filed no later than 12 

days before any primary or general 

election in which the candidate seeks 

election. If sent by registered or certified 

mail, the report shall be mailed no later 

than the 15th day before any election.

(B) The report shall disclose all 

receipts and disbursements as of the 

20th day before a primary or general 

election.

(ii) Post-General Election Report. (A) 

The post-general election report shall be 

filed no later than 30 days after any 

general election in which the candidate 

seeks election.

(B) The report shall be complete as of 

the 20th day after the general election.

(iii) Quarterly Reports. (A) Quarterly 

reports shall be filed no later than the 

15th day following the close of the 

immediately preceding calendar quarter 

(on April 15, July 15, and October 15), 

except that the report for the final 

calendar quarter of the year shall be 

filed on January 31 of the following 

calendar year.

(B) The report shall be complete as of 

the last day of each calendar quarter.

(C) The requirement for a quarterly 

report shall be waived if, under 11 CFR 

104.5(a)(l)(i), a pre-election report is 

required to be filed during the period 

beginning on the fifth day after the close 

of the calendar quarter and ending on 

the fifteenth day after the close of the 

calendar quarter.

(2) Non-Election Year Reports, (i) 

Semi-annual reports. (A) The first report 

shall cover January 1 through June 30, 

and shall be filed no later than July 31.

(B) The second report shall cover July 

1 through December 31, and shall be 

filed no later than January 31 of the 

following year.

(b) Principal Campaign Committee of

Presidential Candidate. Each treasurer 

of a principal campaign committee of a 

candidate for President shall file reports 

on the dates specified at 11 CFR 

104.5(b)(1) and (2).

(1) Election Year Reports, (i) If on 

January 1 of the election year, the 

committee has received or anticipates 

receiving contributions aggregating 

$100,000 or more, or has made or 

anticipates making expenditures 

aggregating $100,000 or more, it shall file 

monthly reports.
Federal Register / Vol. 45, Np. 47 / Friday, March 7, 1980 / Rules and Regulations 15113

(A) Each report shall be filed no later 

than the 20th day after the last day of 

each month.

(B) Thé report shall be complete as of 

the last day of each month.

(C) In lieu of the monthly reports due 

in November and December, a preelection report shall be filed as 

prescribed at 11 CFR 104.5(a)(l)(i), a 

post-general election report shall be 

filed as prescribed at 11 CFR 

104.5(a)(l)(ii), and a year-end report 

shall be filed no later than January 31 of 

the following calendar year.

(ii) If on January 1 of the election year, 

the committee does not anticipate 

receiving or has not received 

contributions aggregating $100,000 or 

does not anticipate making or has not 

made expenditures aggregating $100,000, 

the committee shall file a preelection 

report or reports, a post general election 

report and, quarterly reports, as 

prescribed in 11 CFR 104.5(a)(1).

(iii) If during the election year, a 

committee filing under 11 CFR 

104.5(b)(l)(ii) receives contributions 

aggregating $100,000 or makes 

expenditures aggregating $100,000, the 

treasurer shall begin filing monthly 

reports at the next reporting period.

(2) Non-Election Year Reports. During 

a non-election year, the treasurer shall 

file either (i) monthly reports as 

prescribed at 11 CFR 104.5(b)(l)(i); or (ii) 

quarterly reports as prescribed at 11 

CFR 104.5(a)(1).

(c) Committees Other Than

Authorized Committees of Candidates.

Each political committee which is not 

the authorized committee of a candidate 

shall file either: election year and nonelection year reports as prescribed at 11 

CFR 104.5(c)(1) and (2); or monthly 

reports as prescribed at 11 CFR 

104.5(c)(3). A political committee 

reporting under 11 CFR 104.5(c) may 

elect to change the frequency of its 

reporting from monthly to quarterly and 

semi-annually or vice versa. A 

committee may change its filing 

frequency only after notifying the 

Commission in writing of its intention at 

the time it files a required report under 

its current filing frequency. Such 

committee will then be required to file 

the next required report under its new 

filing frequency. A committee may 

change its filing frequency no more than 

once per calendar year.

(1) Election Year Reports, (i) Quarterly 

reports. (A) Quarterly reports shall be 

filed no later than the 15th day following 

the close of the immediately preceding 

calendar quarter, (on April 15, July 15, 

and October 15), except that the report 

for the final calendar quarter of the year 

shall be filed on January 31 of the 

following calendar year.

(B) The reports shall be complete as of 

the last day of the calendar quarter for 

which the report is filed.

(C) The requirement for a quarterly 

report shall be waived if under 11 CFR 

104.5(e)(l)(ii) a pre-election report is 

required to be filed during the period 

beginning on the fifth day after the close 

of the calendar quarter and ending on 

the fifteenth day after the close of the 

calendar quarter.

(ii) Pre-Election Reports

(A) Pre-election reports for the 

primary and general election shall be 

filed by a political committee which 

makes contributions or expenditures in 

connection with any such election if 

such disbursements have not been 

previously disclosed. Pre-election 

reports shall be filed no later than 12 

days before any primary or general 

election. If sent by registered or certified 

mail, the report shall be mailed no later 

than the 15th day before any election.

(B) The report shall disclose all 

receipts and disbursements as of the 

20th day before a primary or general 

election.

(iii) Post-General Election Reports

(A) A post-general election report 

shall be filed no later than 30 days after 

any general election.

(B) The report shall be complete as of 

the 20th day after the general election.

(2) Non-Election year

(i) Semi-annual reports

(A) The first report shall cover 

January 1 through June 30, and shall be 

filed no later than July 31.

(B) The second report shall cover July 

1 through December 31, and shall be 

filed no later than January 31 of the 

following year.

(3) Monthly Reports

(i) Except as provided at 11 CFR 

104.5(c)(3)(B), monthly reports shall be 

filed no later than 20 days after the last 

day of the month.

(ii) In lieu of the monthly reports due 

in November and December, in any year 

in which a regularly scheduled general 

election is held, a pre-election report 

shall be filed as prescribed at 11 CFR 

104.5(a)(l)(i), a post general election 

report shall be filed as prescribed at 11 

CFR 104.5(a)(l)(ii), and a year-end report 

shall be filed no later than January 31 of 

the following calendar year.

(d) Committees supporting Vice

Presidential Candidates:

The treasurer of a committee 

supporting a candidate for the office of 

Vice President (other than a nominee of 

a political party) shall file reports on the 

same basis that the principal campaign 

committee of a Presidential candidate 

must file reports under 11 CFR 104.5(b).

(e) U.S. Post Mark:

A designation, report or statement 

sent by registered or certified mail shall 

be considered filed on the date of the 

U.S. post mark except that a twelve day 

pre-election report sent by certified or 

registered mail shall be mailed no later 

than the 15th day before any election. 

Designations, reports or statements sent 

by first class mail must be received by 

the close of business of the prescribed 

filing date to be timely filed.

(f) 48 Hour Notification of 

Contributions

If any contribution of $1,000 or more is 

received by any authorized committee of 

a candidate after the 20th day, but more 

than 48 hours, before 12:01 A.M. of the 

day of the election, the principal 

campaign committee of that candidate 

shall notify the Commission, the Clerk of 

the House, the Secretary of the Senate 

and the Secretary of State, as 

appropriate, within 48 hours of receipt of 

the contribution. The notification shall 

be in writing and shall include the name 

of the candidate and office sought by the 

candidate, the identification of the 

contributor, and the date of receipt and 

amount of the contribution. The 

notification shall be in addition to the 

reporting of these contributions on the 

post-election report.

(g) 24 hour Report of Independent 

Expenditures:

Any independent expenditures 

aggregating $1,000 or more made after 

the 20th day, but more than 24 hours, 

before 12:01 A.M. of the day of the 

election, shall be reported within 24 

hours after such independent 

expenditure is made. Such report shall 

be filed with the appropriate officers 

listed in 11 CFR 104.4(c) and shall 

contain the information required by 11 

CFR 104.3(b)(3)(vii) indicating whether 

the independent expenditure is made in 

support of, or in opposition to, the 

candidate involved.

(h) Special Election Reports:

(1) Within 5 days of the setting of a 

special election, the Commission shall 

set filing dates for reports to be filed by 

principal campaign committees of 

candidates seeking election, or 

nomination for election, in special 

elections and for political committees, 

other than authorized committees, which 

make contributions to or expenditures 

on behalf of a candidate or candidates 

in special elections. The Commission 

shall publish such reporting dates in the 

Federal Register and shall notify the 

principal campaign committees of all 

candidates in such election of the 

reporting dates. The Commission shall 

not require such committees to file more 

than one pre-election report for each 

election and one post-election report for 

the election which fills the vacancy.
15114 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

(2) Reports required to be filed under 

11 CFR 104.5(a) or (c) may be waived by 

the Commission for committees filing 

special election reports if a report under 

11 CFR 104.5(a) or (c) is due within 10 

days of the date a special election report 

is due. The Commission shall notify all 

appropriate committees of reports so 

waived. »

§ 104.6 Form and content of internal

communications reports. (2 U.S.C.

431(a)(B)(iii)).

(a) Form. Every membership 

organization or corporation which 

makes disbursements for 

communications pursuant to 11 CFR 

100.8(b)(4) and 114.3 shall report to the 

Commission on FEC Form 7 such costs 

which are directly attributable to any 

communication expressly advocating 

the election or defeat of a clearly 

identified candidate (other than a 

communication primarily devoted to 

subjects other than the election or 

defeat of a clearly identified candidate), 

if such costs exceed $2,000 for any 

election.

(1) For the purposes of 11 CFR 

104.6(a), “election” means two separate 

processes in a calendar year, to each of 

which the $2,000 threshold described 

above applies separately. The first . 

process is comprised of all primary 

elections for federal office, wherever 

and whenever held; the second process 

is comprised of all general elections for ' 

federal office, wherever and whenever 

held.

(2) The term election shall also 

include each special election held to fill 

a vacancy in a Federal office (11 CFR 

100.2(f)) or each runoff election (11 CFR 

100.2(d)).

(b) Filing Dates. Organizations 

required to report under 11 CFR 104.6(a) 

shall file such reports during a calendar 

year in which a regularly scheduled 

general election is held. Such reports 

shall be filed quarterly in accordance 

with 11 CFR 104.5(a)(l)(iii) and, with 

respect to any general election, in 

accordance with 11 CFR 104.5(a)(l)(i). 

The organization shall be required to file 

reports beginning with the first reporting 

period during which the aggregate cost 

for such communications exceeds $2,000 

per election as defined in 11 CFR 

104.6(a)(1), and for each quarter 

thereafter in which the organization 

makes additional disbursements in 

connection with the same election.

(c) Each report filed under 11 CFR 

104.6 shall include, for each 

communication:

(1) The type of communication (such 

as direct mail, telephone or telegram);

(2) The date(s) of the communication;

(3) The name of the candidate, the 

office sought (and the district and state 

of the office, if applicable), and whether 

the communication was for the primary 

or general election;

(4) Whether the communication was 

in support of or in opposition to, a 

particular candidate; and

(5) The cost of the communication.

104.7 Best efforts. (2 U.S.C. 432(1)).

(a) When the treasurer of a political 

committee shows that best efforts have 

been used to obtain, maintain and 

submit the information required by the 

Act for the political committee, any 

report of such committee shall be 

considered in compliance with the Act.

(b) With regard to reporting the 

identification as defined at 11 CFR 

100.12 of each person whose 

contribution(s) to the committee and its 

affiliated committees aggregate in 

excess of $200 in a calendar year 

(pursuant to 11 CFR 104.3(a)(4)), the 

treasurer will not be deemed to have 

exercised best efforts to obtain the 

required information unless he or she 

has made atdeast one effort per 

solicitation either by a written request 

or by an oral request documented in 

writing to obtain such information from 

the contributor. For purposes of 11 CFR

^104.7^), such effort shall consist of a 

clear request for the information (i.e., 

name, mailing address, occupation, and 

name of employer) which request 

informs the contributor that the 

reporting of such information is required 

by law

§ 104.8 Uniform reporting of

contributions.

(a) A reporting committee shall 

disclose the identification of each 

individual who contributes an amount in 

excess of $200. This identification shall 

include the individual’s name, mailing 

address, occupation, the name of his or 

her employer, if any, and the date of 

receipt and amount of any such 

contribution. If an individual 

contributor’s name is known to have 

changed since an earlier contribution 

reported during the calendar year, the 

exact name or address previously used 

shall be noted with the first reported 

contribution from that contributor 

subsequent to the name qhange.

(b) In each case where a contribution 

received from an individual in a 

reporting period is added to previously 

unitemized contributions from the same 

individual and the aggregate exceeds 

$200 in a calendar year the reporting 

committee shall disclose the 

identification of such individual along 

with the date of receipt and amount of 

any such contribution. Except for

contributions by payroll deduction, each 

additional contribution from the 

individual shall be separately itemized. 

In the case of a political committee other 

than an authorized committee which 

receives contributions through a payroll 

deduction plan, such committee is not 

required to separately itemize each 

additional contribution received from 

the contributor during the reporting 

period. In lieu of separate itemization, 

such committee may report: the 

aggregate amount of contributions 

received from the contributor through 

the payroll deduction plan during the 

reporting period; the identification of the 

individual; and a statement of the 

amount deducted per pay period.

(c) Absent evidence to the contrary, 

any contribution made by check, money 

order, or other written instrument shall 

be reported as a contribution by the last 

person signing the instrument prior to 

delivery to the candidate or committee.

(d) A contribution which represents 

contributions by more than one person 

shall indicate on the written instrument, 

or on an accompanying written 

statement signed by all contributors, the 

amount to be attributed to each 

contributor.

§ 104.9 Uniform reporting of

expenditures.

(a) The authorized committees of a 

candidate shall report the full name and 

mailing address of each person to whom 

an expenditure in an aggregate amount 

or value in excess of $200 within the 

calendar year is made by the reporting 

committee to meet the committee’s 

operating expenses together with the 

date, amount and purpose of such 

expenditure. As used in 11 CFR 104.9, 

“purpose” means a brief statement or 

description as to the reasons for the 

disbursement. See 11 CFR 104.3

(b)(3)(i)(A).

(b) In each case when an expenditure 

made to a recipient in a reporting period 

is added to previously unitemized 

expenditures to the same recipient and 

the total exceeds $200 for the calendar 

year, the reporting committee shall 

disclose the recipient’s full name and 

mailing address on the prescribed 

reporting forms, together with the date, 

amount and purpose of such 

expenditure. As used in 11 CFR 104.9, 

“purpose means a brief statement or 

description as to the reason for the 

disbursement as defined at 11 CFR 

104.3(b)(3)(i)(A).

§104.10 Allocation of expenditures

among candidates.

A political committee making an 

expenditure on behalf of more than one 

candidate for Federal office or on behalf
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15115

of candidates for both Federal and nonFederal office shall allocate the 

expenditure(s) among the candidates on 

a reasonable basis pursuant to 11 CFR 

Part 106, and report the allocation for 

each Federal candidate. The treasurer 

shall retain all documents supporting the 

allocation in accordance with 11 CFR 

104.14.

§ 104.11 Continuous reporting of debts

and obligations.

(a) Debts and obligations owed by or 

to a political committee which remain 

outstanding shall be continuously 

reported until extinguished. See 11 CFR 

104.3(d). These debts and obligations 

shall be reported on separate schedules 

together with a statement explaining the 

circumstances and conditions under 

which each debt and obligation was 

incurred or extinguished. Where such 

debts and obligations are settled for less 

than their reported amount or value, the 

reporting committee shall include a 

statement as to the circumstances and 

conditions under which the debt or 

obligation was extinguished and the 

amount paid.

(b) A debt, obligation, or other 

promise to make an expenditure, the 

amount of which is $500 or less, shall be 

reported as of the time payment is made 

or no later than 60 days after such 

obligation is incurred, whichever comes 

first. Any loan, debt or obligation, the 

amount of which is over $500 shall be 

reported as of the time of the 

transaction.

§ 104.12 Beginning cash on hand for

political committees.

Political committees which have cash 

on hand at the time of registration shall 

disclose on their first report the 

source(s) of such funds, including the 

information required by 11 CFR 

104.3(a)(1). The cash on hand balance is 

assumed to be composed of those 

contributions most recently received by 

the committee. The committee shall 

exclude from funds to be used for . 

Federal elections any contributions not 

permissible under the Act. See 11 CFR 

Parts 110,114, and 115.

§ 104.13 Disclosure of receipt and

consumption of in-kind contributions.

(a) (1) The amount of an in-kind 

contribution shall be equal to the usual 

and normal value on the date received. 

Each in-kind contribution shall be 

reported as a contribution in accordance 

with 11 CFR 104.3(a).

(2) Except for items noted in 11 CFR 

104.13(b), each in-kind contribution shall 

also be reported as an expenditure at 

the same usual and normal value and 

reported on the appropriate expenditure

schedule, in accordance with 11 CFR 

104.3(b).

(b) Contributions of stocks, bonds, art 

objects, and other similar items to be 

liquidated shall be reported as follows:

(1) If the item has not been liquidated 

at the close of a reporting period, the 

committee shall record as a memo entry 

(not as cash) the item’s fair market value 

oirthe date received, including the name 

and mailing address (and, where in 

excess of $200, the occupation and name 

of employer) of the contributor.

(2) When the item is sold, the 

committee shall record the proceeds. It 

shall also report the (i) name and 

mailing address (and, where in excess of 

$200, the occupation and name of 

employer) of the purchaser, if purchased 

directly from the candidate or 

committee (as the purchaser shall be 

considered to have made a contribution 

to the committee), and (ii) the 

identification of the original contributor.

§104.14 Formal requirements regarding

reports and statements.

(a) Each individual having the 

responsibility to file a designation, 

report or statement required under this 

subchapter shall sign the original 

designation, report or statement.

(b) Each political committee or other 

person required to file any report or 

statement under this subchapter shall 

maintain all records relevant to such 

reports or statements as follows:

(1) Maintain records, including bank 

records, with respect to the matters 

required to be reported, including 

vouchers, worksheets, receipts, bills and 

accounts, which shall provide in 

sufficient detail the necessary 

information and data from which the 

filed reports and statements may be 

verified, explained, clarified, and 

checked for accuracy and completeness;

(2) Preserve a copy of each report or 

statement required to be filed under 11 

CFR Parts 102 and 104;

(3) Keep all reports required to be 

preserved under 11 CFR 104.14 available 

for audit, inspection, or examination by 

the Commission or its authorized 

representative(s) for a period of not less 

than 3 years after the report or 

statement is filed. (See 11 CFR 102.9(c) 

for requirements relating to preservation 

of records and accounts.)

(c) Acknowledgements by the 

Commission, the Clerk of the House, or 

the Secretary of the Senate, of the 

receipt of Statements of Organization, 

reports or other statements filed under 

11 CFR Parts 101,102 and 104 are 

intended solely to inform the person 

filing the report of its receipt and neither 

the acknowledgement nor the 

acceptance of a report or statement

shall constitute express or implied 

approval, or in any manner indicate that 

the contents of any report or statement 

fulfill the filing or other requirements of 

the Act or of these regulations.

(d) Each treasurer of a political 

committee, and any other person 

required to file any report or statement 

under these regulations and under the 

Act, shall be personally responsible for 

the timely and complete filing of the 

report or statement and for the accuracy 

of any information or statement 

contained in it.

§ 104.15 Sale or use restriction (2 U.S.C.

438(a)(4)).

(a) Any information copied, or 

otherwise obtained, from any report or 

statement, or any copy, reproduction, or 

publication thereof, filed with the 

Commission Clerk of the House, 

Secretary of the Senate, or any 

Secretary of State or other equivalent 

State officer, shall not be sold or used 

by any person for the purpose of 

soliciting contributions or for any 

commercial purpose, except that the 

name and address of any political 

committee may be used to solicit 

contributions from such committee.

(b) For purposes of 11 CFR 104.15, 

“soliciting contributions” includes 

soliciting any type of contribution or 

donation, such as political or charitable 

contributions.

(c) The use of information, which is 

copied or otherwise obtained from 

reports filed under 11 CFR Part 104, in 

newspapers, magazines, books or other 

similar communications is permissible 

as long as the principal purpose of such 

communications is not to communicate 

any contributor information listed on 

such reports for the purpose of soliciting 

contributions or for other commercial 

purposes.

§ 104.16 Audits (2 U.S.C. 438(b)).

(a) The Commission may conduct 

audits of any political committee 

required to register under 11 CFR Part 

102 and to report under 11 CFR Part 104. 

Prior to conducting any such audit or 

investigation, the Commission shall 

conduct an internal review of reports 

filed by selected committees to 

determine whether reports filed by a 

particular committee meet thresholds 

established by the Commission for 

substantial compliance with the Act. 

Such thresholds may vary according to 

the type of political committee being 

reviewed.

(b) The Commission may, upon 

affirmative vote of four members, 

conduct an audit and field investigation 

of any committee which meets the 

thresholds established pursuant to 11
15116 Federal Register / VoL 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

CFR 104.16(a). All such audits and 

investigations shall commence within 30 

days of such vote except that any audit 

or investigation of an authorized 

committee of a candidate shall be 

commenced within 6 months of the 

election for which such committee was 

authorized.

(c) The Commission may, upon

affirmative vote of four members,

conduct an audit and field investigation

of any committee pursuant to 11 CFR

111.10.

(d) All audits and field investigations 

concerning the verification for and the 

receipt and use of payments under 

Chapters 95 and 96 of Title 26 shall be 

given priority over any audit or 

investigation of committees not 

receiving such payments.

§ 104.17 C ontent o f reports; Presidential

and Vice Presidential C om m ittees (2 U.S.C.

431 note).

(a) For all elections occurring prior to 

January 1,1961, authorized committees 

of candidates for President and Vice 

President may comply with the 

requirements of 11 CFR 104.17 in lieu of 

11 CFR 104.3 (a) and (b).

(b) Each report filed under 11 CFR 

104.17 shall include all receipts and 

disbursements from the close of the last 

period reported to the close of the 

current reporting period, and shall 

disclose—

(1) The amount of cash on hand at the

beginning of the calendar year and at

the beginning of the reporting period,

including currency, balance on deposit

in banks and savings and loan

institutions, checks, negotiable money

orders, and other paper commonly

accepted by a bank in a deposit;

(2) The identification, occupation, and

principal place of business, if any, of

each person who has made a

contribution to or for the committee or

candidate during the reporting period in

an amount or value in excess of $100, or

in an amount of less than $100 if the

person's contributions within a calendar

year total more than $100, together with

the amount and date of such

contributions;

(3) {i) The total of contributions made

to or for a committee or candidate

during the reporting period and not

reported under (b)(2) above;

(ii) Candidates and committees,

which, in addition to the required totals,

choose to itemize contributions not in

excess of $100, shall itemize these by

attaching a separate schedule.

Contributions of $100 or less shall not be

reported on the same schedule with the

required itemized contributions in

excess of $100;

(4) The identification of each political 

committee or other political organization 

from which the reporting committee or 

the candidate received, or to which the 

reporting committee or the candidate 

made, any transfer of funds in any 

amount during the reporting period, 

together with the amounts and dates of 

all transfers, including aggregate year to 

date transfers, received from nonaffiliated committees, and complete 

disclosure, pursuant to 11 CFR 110.6 of 

each transaction involving earmarked 

funds;

(5) Each loan—

(i)(A) To or from any political 

committee; or

(B) To a candidate or his or her 

authorized committees which is—

(iij(A) Over $100 in value and made 

during the reporting period; or

(B) Less than $100 in value and the 

total of the loans from one person is 

over $100 shall be reported together with 

the identification, occupation, and 

principal place of business, if any, of 

each lender, endorser, or guarantor, as 

the case may be. The report shall 

include the date and amount of the loan;

(6) The total amount of proceeds 

from—

(i) The sale of tickets of each dinner, 

luncheon, rally, and other fundraising 

event;

(ii) Mass collections made at these 

events; and

(iii) Sales of items such as political 

campaign pins, buttons, badges, flags, 

emblems, hats, banners, literature, 

jewelry, and similar materials, as long 

as the items are sold by the candidate or 

an authorized committee;

(7) Each receipt in excess of $100 

received during the reporting period, not 

otherwise listed under (b) (2) through (6) 

above, together with the identification, 

date and amount received, occupation, 

and principal place of business of each 

such person from whom such receipts 

have been received during the reporting 

period; including—

(i) The interest or other proceeds from 

the investment, in an interest-bearing 

account, note, bill, stock, bond, or other 

similar device, of funds transferred out 

of a checking account in a campaign 

depository; and

(ii) Rebates and refunds received by 

the candidate or committee;

(8) (i) The total of all receipts by or for 

the committee or candidate during the 

reporting period and the calendar year; 

and

(ii) Total receipts less transfers 

between affiliated political committees 

(as defined in 11 CFR 100.5(g));

(9) The identification of each person 

to whom expenditures have been made 

by or on behalf of the committee or

Candidate within the reporting period

which total more than $100, or in an

amount less than $100 if the total

exceeds $100 within a calendar year,

together with the amount, date and

particulars of each such expenditure and

the name, address of, and office sought

by, each candidate on w hose behalf

such expenditures w ere made;

(10) The total of expenditures made

by or on behalf of the comm ittee or

candidate during the reporting period

and the calendar year together with

total expenditures less transfers

betw een affiliated political committees

(as defined in 11 CFR 100.5) of the

candidate;

(11) The amount and nature of

outstanding debts and obligations owed

by or to the comm ittee including any

written contracts, agreements, or

promises to make expenditures, see 11

CFR 104.9;

(12) Independent expenditures; see 11 

CFR Part 104.4.

PART 105—DOCUMENT FIUNG (2

U.S.C. 432(g))

105.1 Place of filing; House candidates, their 

principal campaign committees, and

committees supporting only House

candidates (2 U.S.C. 432(g)(1)).

105.2 Place of filing; Senate candidates,

their principal campaign committees, and

committees supporting only Senate

candidates (2 U.S.C. 432(g)(2)).

105.3 Place of filing; Presidential candidates

and their principal campaign committees«

(2 U.S.C. 432(g)(4)).

105.4 Place of filing; political committees

and other persons (2 U.S.C. 432(g)(4)).

105.5 Transmittal of microfilm copies and

photocopies of original reports filed with

the Clerk of the House and the Secretary

of the Senate to the Commission (2 U.S.C.

432(g)(3)).

Authority: 2 U.S.C. 432(g), 438(a)(8).

§ 105.1 Place of filing; House candidates,

their principal campaign committees, and

committees supporting only House

candidates (2 U.S.C. 432(g)(1)).

All designations, statem ents, reports,

and notices, as well as any

modification(s) or amendment(s)

thereto, required to be filed under 11

CFR Parts 101,102, and 104 by a

candidate for nomination or election to

the office of Representative in, or

Delegate or Resident Commissioner to,

the Congress, by his or her principal

campaign comm ittee or by any other

political com m ittee(s) which supports

only candidates for nomination for

election or election to the House of

R epresentatives, shall be filed in

original form with, and received by, the

Clerk of the House of Representatives as

custodian for the Federal Election

Commission.
Federal Register / Vol. 45, No. 47 / Friday, M arch 7, 1980 / Rules and Regulations 15117

§ 105.2 Place of filing; Senate candidates,

their principal campaign committees, and

committees supporting only Senate

candidates (2 U.S.C. 432(g)(2)).

All designations, statements, reports, 

and notices as well as any 

modification(s) or amendment(s) 

thereto, required to be filed under 11 

CFR Parts 101,102, and 104 by a 

candidate for nomination or election to 

the office of United States Senator, by 

his or her principal campaign committee 

or by any other political committee(s) 

which supports only candidates for 

nomination for election or election to the 

Senate of the United States shall be filed 

in original form with, and received by, 

the Secretary of the Senate, as custodian 

for the Federal Election Commission.

§ 105.3 Place of filing; Presidential

candidates and their principal campaign

committees (2 U.S.C. 432(g)(4)).

All designations, statements, reports, 

and notices, as well as any 

modification(s) or amendment(s) 

thereto, required to be filed under 11 

CFR Parts 101,102 and 104 by a 

candidate for nomination for election or 

election to the office of President or Vice 

President of the United States or by his 

or her principal campaign committee 

shall be filed in original form with the 

Federal Election Commission.

§ 105.4 Place of filing; political

committees and other persons (2 U.S.C.

432(g)(4));

All designations, statements, reports, 

and notices, as well as any 

modifications or amendments thereto, 

required to be filed under 11 CFR Parts 

101,102, and 104 by a political 

committee other, than any principal 

campaign committee or any committee 

referred to in 11 CFR 105.1,105.2, or

105.3, by persons other than political 

committees making independent 

expenditures under 11 CFR Part 109, and 

by persons required to report the cost of 

communications under 11 CFR 104.6, 

shall be filed in original form with the 

Federal Election Commission.

§ 105.5 Transmittal of microfilm copies

and photocopies of original reports filed

with the Clerk of the House and the

Secretary of the Senate to the Commission

(2 U.S.C. 432(g)(3)).

(a) Either a microfilmed copy or 

photocopy of all original designations, 

statements, reports, modifications or 

amendments required to be filed 

pursuant to 11 CFR 105.1 and 105.2 shall 

be transmitted by the Clerk of the House 

or the Secretary of the Senate to the 

Commission as soon as possible, but in 

any case no later than two (2) working 

days after receiving such designations,

statements, reports, modifications, or 

amendments.

(b) The Clerk of the House and the 

Secretary of the Senate shall then 

forward to the Commission a microfilm 

copy and a photocopy of each 

designation, statement, and report, or 

any modification or amendment thereto, 

filed with them pursuant to 11 CFR 105.1 

and 105.2.

(c) The Clerk of the House and the 

Secretary of the Senate shall place a 

time and date stamp on eaclr original 

designation, statement, report, 

modification or amendment received.

PART 106—ALLOCATION OF 

CANDIDATE AND COMMITTEE 

ACTIVITIES

2. In Part 106, § 106.1(c)(3) is added;

§ § 106.2(a), and 106.3(d) are revised to 

read as follows:

§106.1 Allocation of expenditures among

(or between) candidates and activities.

*****

(c) * * *

(3) Payments made for the cost of 

certain voter registration arid get-outthe-vote activities conducted by State or 

local party organizations on behalf of 

any Presidential or Vice-Presidential 

candidate(s) are exempt from the 

definition of a contribution or an 

expenditure under 11 CFR 100.7(b)(17) 

and 100.8(b)(18). If the State or local 

party organization includes references 

to any candidate(s) seeking nomination 

or election to the House of 

Representatives or Senate of the United 

States the portion of the cost of such 

activities allocable to such candidate(s) 

shall be considered a contribution to or 

an expenditure on behalf of such 

candidate(s), unless such reference is 

incidental to the overall activity. If such 

reference is incidental to the overall 

activity, such costs shall not be 

considered a contribution to or 

expenditure on behalf of any 

candidate(s).

*****

§ 106.2 Allocation of expenditures among

States by candidates for Presidential

nomination.

(a) Expenditures made by a 

candidate’s authorized committee(s) 

which seek to influence the nomination 

of that candidate for the office of 

President of the United States with 

respect to a particular State shall be 

allocated to that State. This allocation of 

expenditures shall be reported on FEC 

Form 3c.

*****

§ 106.3 Allocation of expenses between

campaign and non-campaign related travel.

*****

(d) Costs incurred by a candidate for 

the United States Senate or House of 

Representatives for travel between 

Washington, D.C. and the State or 

district in which he or she is a candidate 

need not be reported herein unless the 

costs are paid by the candidate’s 

authorized committee(s), or by any other 

political committee(s).

* * * * *

(2 U.S.C. 438(a)(8))

3. Parts 108 and 109 are revised to 

read as follows:

PART 108—FILING COPIES OF 

REPORTS AND STATEMENTS WITH 

STATE OFFICERS (2 USC 439)

Sec.

108.1 Filing requirements (2 U.S.C.

439(a)(1)).

§ 108.2 Filing copies of reports and

statements in connection with the

campaign of any candidate seeking

nomination for election to the Office of

President or Vice-President (2 U.S.C.

439(a)(2)).

§ 108.3 Filing copies of reports and

statements in connection with the

campaign of any Congressional

Candidate (2 U.S.C. 439(a)(2)).

108.4 Filing copies of reports by committees

other than principal campaign

committees (2 U.S.C. 439(a)(2)).

108.5 Time and Manner of filing copies (2

U.S.C. 434(a)(2)).

108.6 Duties of State officers (2 U.S.C.

439(b)).

108.7 Effect on State law (2 U.S.C. 453).

108.8 Exemption for the District of

Columbia.

Authority: 2 U.S.C. 434(a)(2) 438(a)(8), 439,

453.

§ 108.1 Filing requirements (2 U.S.C.

439(a)(1)).

A copy of each report and statement 

required to be filed by any person under 

the Act shall be filed either with the 

Secretary of State of the appropriate 

State or with the State officer who is 

charge by State law with maintaining 

state election campaign reports. In 

States where reports are to be filed with 

a designated officer other than the 

Secretary of State, the chief executive 

officer of that State shall notify the 

Commission of such designation.

§ 108.2 Filing copies of reports and

statements in connection with the

campaign of any candidate seeking

nomination for election to the Office of

President or Vice-President (2 U.S.C.

439(a)(2)).

A copy of each report and statement 

required to be filed by a Presidential or 

Vice Presidential candidate’s principal 

campaign committee under the Act,
15118 Federal Register / Voi. 45, Np. 47 / Friday, March 7, 1980 / Rules and Regulations

including 11 CFR Part 104. or by any 

other person making independent 

expenditures in connection with a 

candidate seeking nomination for 

election to the office of President or 

Vice-President under 11 CFR 104.4 or 

Part 109, shall be filed with the State 

officer of each State in which an 

expenditure is made in connection with 

the campaign of a candidate seeking 

nomination for election to the office of 

President or Vice-President. The report 

and statement shall contain all 

transactions pertaining to that State 

during the reporting period. Any 

committee, other than a Presidential or 

Vice Presidential candidate’s principal 

campaign committee and the 

candidate’s authorized committee(s) 

shall also file a copy of each report and 

statement with the appropriate State 

officer of the State in which such 

committee has its headquarters pursuant 

to 11 CFR 108.4.

§ 108.3 Filing copies of reports and

statements in connection with the

campaign of any congressional candidate

(2 U.S.C. 439(a)(2)).

A copy of each report and statement 

required to be filed by a committee 

under 11 CFR Part 104, or by any other 

person under 11 CFR Part 109 shall be 

filed with the appropriate State officer 

of thatrState in which an expenditure is 

made in connection with the campaign 

of a candidate for nomination for 

election or election, to the office of 

Senator, Representative in, Delegate or 

Resident Commissioner to the Congress 

except that political committees other 

than authorized committees are required 

to file, and the Secretary of State is 

required to retain only that portion of 

the. report applicable to candidates 

seeking election in that State.

§ 108.4 Filing copies of reports by

committees other than printipal campaign

committees (2 U.S.C. 439(a)(2)).

Any authorized committee, which 

makes contributions in connection with 

a Presidential election and which is 

required to file a report(s) and 

statement(s) under the Act shall file a 

copy of such report(s) and statement(s) 

with the State officer of the State in 

which both the recipient and 

contributing committees have their 

headquarters.

§ 108.5 Time and manner of filing copies

(2 U.S.C. 434(a)(2)).

A copy of any, report or statement 

required to be filed with a State officer 

under 11 CFR Part 108 shall be filed at 

the same time as the original report is 

filed. Each copy of such report or 

statement shall be a complete, true, and

legible copy of the original report or 

statement filed.

§ 108.6 Duties of State officers (2 U.S.C.

439(b)).

The Secretary of State, or the 

equivalent State officer shall carry out 

the duties set forth in 11 CFR 108.5(a) 

through (d):

(a) Receive and maintain in an orderly 

manner all reports and statements 

required to be filed;

(b) Preserve such reports and 

statements (either in original form or in 

facsimile copy by microfilm or 

otherwise) filed under the Act for a 

period of 2 years from the date of 

receipt;

(c) Make the reports and statements 

filed available as soon as practicable 

(but within 48 hours of receipt) for 

public inspection and copying during 

office hours and permit copying of any 

such reports or statements by hand or 

by duplicating machine, at the request of 

any person except that such copying 

shall be at the expense of the person 

making the request and at a reasonable 

fee;

(d) Compile and maintain a current 

list of all reports and statements or parts 

of such reports and statements 

pertaining to each candidate.

§ 108.7 Effect on State law (2 U.S.C. 453).

(a) The provisions of the Federal 

Election Campaign Act of 1971, as 

amended, and rules and regulations 

issued thereunder, supersede and 

preempt any provision of State law with 

respect to election to Federal office.

(b) Federal law supersedes State law 

concerning the—

(1) Organization andregistration of 

political committees supporting Federal 

candidates;

(2) Disclosure of receipts and 

expenditures by Federal candidates and 

political committees; and

(3) Limitation on contributions and 

expenditures regarding Federal 

candidates and political committees.

(c) The Act does not supersede State 

laws which provide for the—

(1) Manner of qualifying as a 

candidate or political party 

organization;

(2) Dates and places of elections;

(3) Voter registration;

(4) Prohibition of false registration, 

voting fraud, theft of ballots, and similar 

offenses; or

(5) Candidate’s personal financial 

disclosure.

§ 108.8 Exemption for the District of

Columbia

Any copy of a report required to be 

filed with the equivalent officer in the

District of Columbia shall be deemed tó 

be filed if the original has been filed 

with the Clerk, Secretary, or the 

Commission, as appropriate.

PART 109— INDEPENDENT 

EXPENDITURES (2 U.S.C. 431(17), 

434(c))

Sec.

109.1 Definitions (2 U.S.C. 431(17)).

109.2 Reporting of independent

expenditures by persons other than a

political committee (2 U.S.C. 434(c)). *

109.3 Non-authorization notice (2 U.S.C.

441 d).

Authority: 2 U.S.C. 431(17), 434(c), 438(a)(8),

44ld.

§ 109.1 Definitions (2 U.S.C. 431(17)).

(a) “Independent expenditure” means 

an expenditure by a person for a 

communication expressly advocating 

thè election or defeat of a clearly 

identified candidate which is not made 

with the cooperation or with the prior 

consent of, or in consultation with, or at 

the request or suggestion of, a candidate 

or any agent or authorized committee of 

such candidate.

(b) For purposes of this definition—

(1) “Person” means an individual, 

partnership, committee, association, or 

any organization or group of persons, 

including a separate segregated fund 

established by a labor organization, 

corporation, or national bank (see Part 

114) but does not mean a labor 

organization, corporation, or national 

bank.

(2) “Expressly advocating" means any 

communication containing a message 

advocating election or defeat, including 

but not limited to the name of the 

candidate, or expressions such as “vote 

for,” “elect,” “support," “cast your ballot 

for,” and “Smith for Congress,” or “vote 

against,” "defeat,” or “reject.”

(3) “Clearly identified candidate" 

means that the name of the candidate 

appears, a photograph or drawing of the 

candidate appears, or the identity of the 

candidate is otherwise apparent by 

unambiguous reference.

(4) “Made with the cooperation or 

with the prior consent of, or in 

consultation with, or at the request or 

suggestion of, a candidate or any agent 

or authorized committee of the 

candidate” means—

(i) Any arrangement, coordination, or 

direction by the candidate or his or her 

agent prior to the publication, 

distribution, display, or broadcast of the 

communication. An expenditure will be 

presumed to be so made when it is—

(A) Based on information about the 

candidate’s plans, projects, or needs 

provided to the expending person by the 

candidate, or by the candidate’s agents,
Federal Register / Vol. 45, No, 47 / Friday, March 7, 1980 / Rules and Regulations 15119

with a view toward having an 

expenditure made;

(B) Made by or through any person 

who is, or has been, authorized to raise 

or expend funds, who is, or has been, an 

officer of an authorized committee, or 

who is, or has been, receiving any form 

of compensation or reimbursement from 

the candidate, the candidate’s 

committee or agent;

(ii) But does not include providing to 

the expending person upon request 

Commission guidelines on independent 

expenditures.

(5) “Agent” means any person who 

has actual oral or written authority, 

either express or implied, to make or to 

authorize the making of expenditures on 

behalf of a candidate, or means any 

person who has been placed in a 

position within the campaign 

organization where it would reasonably 

appear that in the ordinary course of 

campaign-related activities he or she 

may authorize expenditures.

(c) An expenditure not qualifying 

under this section as an independent 

expenditure shall be a contribution inkind to the candidate and an 

expenditure by the candidate, unless 

otherwise exempted.

(d) (1) The financing of the 

dissemination, distribution, or 

republication, in whole or in part, of any 

broadcast or any written, graphic, or 

other form of campaign materials 

prepared by the candidate, his campaign 

committees, or their authorized agents 

shall be considered a contribution for 

the purpose of contribution limitations 

and reporting responsibilities by the 

person making the expenditure but shall 

not be considered an expenditure by the 

candidate or his authorized committees 

unless made with the cooperation or 

with the prior consent of, or in 

consultation with, or at the request or 

suggestion of, a candidate or any 

authorized agent or committee thereof.

(2) This paragraph does not affect the 

right of a State or subordinate party 

committee to engage in such 

dissemination, distribution, or 

republication as agents designated by 

the national committee pursuant to 

§ 110.7(a)(4).

(e) No expenditure by an authorized 

committee of a candidate on behalf of 

that candidate shall qualify as an 

independent expenditure.

§ 109.2 Reporting o f independent 

expenditures by p erso n s oth er than a 

political com m ittee. (2 U .S.C . 434(c)).

(a) Every person other than a political 

committee, who makes independent 

expenditures aggregating in excess of 

$250 during a calendar year shall file a 

8igned statement or report on FEC Form

with the Commission, the Clerk of the 

House or Secretary of the Senate in 

accordance with 11 CFR 104.4(c).

(1) If a signed statement is submitted, 

the statement shall include; (i) the 

reporting person’s name mailing 

address, occupation and the name of his 

or her employer, if any; (ii) the 

identification (name and mailing 

address) of the person to whom the 

expenditure was made; (iii) the amount, 

date and purpose of each expenditure;

(iv) a statement which indicates whether 

such expenditure was in support of, or 

in opposition to a candidate, together 

with the candidate’s name and office 

sought; (v) a notarized certification 

under penalty of perjury as to whether 

such expenditure was made in 

cooperation, consultation or concert 

with, or at the request or suggestion of 

any candidate or any authorized 

committee or agent ¿hereof; and (vi) the 

identification of each person who made 

a contribution in excess of $200 to the 

person filing such report, which 

contribution was made for the purpose 

of furthering the reported independent 

expenditure.

(2) Reports or statements filed under 

this section shall be filed at the end of 

the reporting period (quarterly preelection post-election semi-annual 

annual) (See 11 CFR 104.5)) during 

which any independent expenditure 

which aggregrates in excess of $250 is 

made and in any reporting period 

thereafter in which additional 

independent expenditures are made.

(b) Independent expenditures 

aggregating $1,000 or more made by any 

person after the twentieth day, but more 

than 24 hours before 12:01 A.M of the 

day of an election shall be reported 

within 24 hours after such independent 

expenditure is made. Such report or 

statement shall contain the information 

required by 11 CFR 109.2(a) indicating 

whether the independent expenditure is 

made in support of, or in opposition to, a 

particular candidate and shall be filed 

with the appropriate officers in 

accordance with 11 CFR 104.4(c).

§ 109.3 Non-authorization notice. (2 U .S.C.

4 4 1d).

Whenever any person makes an 

independent expenditure for the purpose 

of financing communications expressly 

advocating the election or defeat of a 

clearly identified candidate, such person 

shall comply with the requirements of 11 

CFR 110.11.

PART 110—CONTRIBUTION AND

EXPENDITURE LIMITATIONS AND

PROHIBITIONS (2 U.S.C. 441a)

4. In Part 110, § 110.2(b), 110.6(c)(4),

(c)(4)(i), and 110.7(c)(2) are revised; 

110.7(c)(3) is deleted; 110.11(a)(1) and (2) 

are revised and 110.11(c) is deleted; 

110.12(a) and 110.12(b)(5) are revised, 

110.12(b)(6) is added. The amended 

provisions read as follows:

§ 110.2 Contributions by multi-candidate

committees. (2 U.S.C. 441a(a)(2)).

* * * * *

(b) “Multi-candidate political 

committee” means a committee as 

defined in 11 CFR 100.5(e)(3). 

*****

§ 110.6 Earmarked contributions. (2 U.S.C.

441a(aX7XA)).

* * * * *

(c) * * *

(4) The reports in (1) and (2) above 

shall contain the information required in 

11 CFR 110.6(c)(4) (i) through (iii).

(1) The name and mailing address of 

the contributor and if the contribution 

exceeds $200, the contributor’s 

occupation and the name of his or her 

employer.

* * * * / *

§ 110.7 Party committee expenditure

limitations. (2 U.S.C. 441a(d)).

* * * * *

(c) * * *

(2) Any other method, submitted in 

advance and approved by the 

Commission which permits control over 

expenditures.

§ 110.11 Communications; advertising. (2

U.S.C. 441d).

(a)(1) Except as provide^ at 11 CFR 

110.11(a)(2) whenever any person makes 

an expenditure for the purpose of 

financing communications expressly 

advocating the election or defeat of a 

clearly identified candidate or solicits 

any contribution through any 

broadcasting station, newspaper, 

magazine, outdoor advertising facility, 

direct mailing or any other type of 

general public political advertising, a 

disclaimer meeting the requirements of 

11 CFR 110.11(a)(1) (i), (ii), (iii), or (iv) 

shall appear or be presented in a clear 

and conspicuous manner to give the 

reader, observer or listener adequate 

notice of the identity of persons who 

paid for or who authorized the 

communication; but such person is not 

required to place a disclaimer on the 

front face or page of any such material:

(i) Such communication is paid for 

and authorized by a candidate, an 

authorized committee of a candidate, or 

its agent(s), shall clearly state that the
15120 Federal Register / Vol.

communication has been paid for by 

such authorized political committee; or

(ii) Such communication, if authorized 

by a candidate, an authorized committee 

of a candidate or an agent thereof, but is 

paid for by any other person(s), shall 

clearly state that the communication is 

authorized by such candidate, 

authorized committee or agent and is 

paid for by such other persons; or

(iii) For solicitations on behalf of a 

candidate, such communication if not 

authorized by a candidate, an 

authorized political committee of a 

candidate, or its agents shall clearly 

state the full name of the person who 

paid for the communication and state 

that the communication is not 

authorized by any candidate or 

candidate’s committee.

(iv) Such communication, if paid for 

and authorized by a political committee, 

other than an authorized committee of a 

candidate(s) shall clearly state that the 

communication has been paid for by 

such political committee.

(2) The requirements of 11 CFR 

110.11(a)(1) do not apply to bumper 

stickers, pins, buttons, pens and similar 

small items upon which the disclaimer 

cannot be conveniently printed. 

*****

§ 110.12 Honoraria. (2 U.S.C. 4411).

(a) No individual while an elected or 

appointed officer or employee of any 

branch of the federal government shall 

accept any honorarium which exceeds 

the limitations of 11 CFR 110.12(a) (1) 

and (2).

(1) Any honoraria which exceeds 

$2,000 shall not be accepted.

(2) The aggregate amount of all 

honorarium accepted by any individual 

in any calendar year, which honoraria 

are not otherwise prohibited by 11 CFR 

110.12(a)(1), shall not exceed $25,000.

(3) For purposes of 11 CFR 110.12(a), 

amounts which are returned to the 

person who paid for the honorarium 

before the end of the calendar year in 

which it was received shall not be 

added to the aggregate amount of 

honoraria received by an individual 

during any calendar year.

(4) For purposes of 11 CFR 110.12(a), 

an honorarium shall be treated as 

accepted only in the year in which that 

honorarium is received.

(b) * * *

(5) Accepted. “Accepted” means that 

there has been actual or constructive 

receipt of the honorarium and that the 

federal officeholder or employee 

exercises dominion or control over it 

and determines its subsequent use. 

However, an honorarium is not accepted 

if the federal officeholder or employee 

makes a suggestion that the honorarium

d

45, No. 47 / Friday, March 7, 1980

be given instead to a charitable 

organization which is selected by the 

person paying the honorarium from a list 

of 5 or more charitable organizations 

provided by the officeholder or 

employee. Nothing in this paragraph 

shall be construed as an interpretation 

of relevant provisions of the Internal 

Revenue Service Code (Title 26, United 

State Code).

(6) C haritable Organization.

“Charitable organization” means any

organization described in 26 U.S.C.

§ 170(c).

*****

(2 U.S.C. 438(a)(8), 441a, 44ld, 441e, 44lf,

441g, 441h, 441i).

5. Parts 111, 112, and 113 are revised 

to read as follows:

PART 111—COMPLIANCE

PROCEDURE (2 U.S.C. 437g, 2 U.S.C.

437d(a))

Sec.

111.1 Scope

111.2 Computation of Time

111.3 Initiation of Compliance Matters (2

U.S.C. 437g(a)(l), (2))

111.4 Complaints (2 U.S.C. 437g(a)(l))

111.5 Initial Complaint Processing;

Notification (2 U.S.C. 437g(a)(l))

111.6 Opportunity to Demonstrate That No

Action Should Be Taken on ComplaintGenerated Matters (2 U.S.C. 437g(a)(l))

111.7 General Counsel's Recommendation

on Complaint-Generated Matters (2

U.S.C. 437g(a)(l))

111.8 Internally Generated Matters;

Referrals (2 U.S.C. 437g(a)(2))

111.9 The Reason to Believe Finding;

Notification (2 U.S.C. 437g(a)(2))

111.10 Investigation (2 U.S.C. 437g(a)(2))

111.11 Written Questions Under Order (2

U.S.C. 437d(a)(l))

111.12 Subpoenas and Subpoenas Duces

Tecum; Depositions (2 U.S.C. 437d(a)(3),

(4))

111.13 Service of Subpoenas, Orders and

Notifications (2 U.S.C. 437d(a)(3), (4))

111.14 Witness Fees and Mileage (2 U.S.C.

437d(a)(5))

111.15 Motions to Quash or Modify a

Subpoena (2 U.S.C. 437d(a)(3), (4))

111.16 The Probable Cause to Believe

Recommendation; Briefing Procedures (2

U.S.C. 437d(a)(3)}

111.17 The Probable Cause to Believe

Finding; Notification (2 U.S.C. 437d(a)(4))

111.18 Conciliation (2 U.S.C. 437g(a)(4))

111.19 Civil Proceedings (2 U.S.C. 437g(a)(6))

111.20 Public Disclosure of Commission

Action (2 U.S.C. 437g(a)(4))

111.21 Confidentiality (2 U.S.C. 437g(a)(12))

111.22 Ex parte Communications

111.23 Representation by Counsel;

Notification

Authority: 2 U.S.C. 437g, 437d(a), 438(a)(8).

§ 111.1 Scope. (2 U.S.C. 437g).

These regulations provide procedures

for processing possible violations of the

Federal Election Campaign Act of 1971, 

as amended (2 U.S.C. 431, et seq.) and

/ Rules and Regulations

chapters 95 and 96 of the Internal 

Revenue Code of 1954 (26 U.S.C. 9001, et

seq. and 9031 et seq.).

§ 111.2 Computation of time.

(a) General rule: In computing any 

period of time prescribed or allowed by 

this part, the day of the act, event, or 

default from which the designated 

period of time begins to run shall not be 

included. The last day of the period so 

computed shall be included, unless it is 

a Saturday, a Sunday, or a legal holiday. 

As used in this section, the term “legal 

holiday” includes New Year’s Day, 

President’s Day, Memorial Day, 

Independence Day, Labor Day, 

Columbus Day, Veterans Day, 

Thanksgiving Day, Christmas Day, and 

any other day appointed as a holiday for 

employees of the United States by the 

President or the Congress of the United 

States.

(b) Special Rule for Periods Less Than

Seven Days: When the period of time 

prescribed or allowed is less than seven

(7) days, intermediate Saturdays, 

Sundays, and legal holidays shall be 

excluded in the computation.

(c) Special Rufe for Service By Mail:

Whenever the Commission of any 

person has the right or is required to do 

some act within a prescribed period 

after the service of any paper by or upon 

the Commission or such person and the 

paper is served by or upon the 

Commission or such person by mail, 

three (3) days shall be added to the 

prescribed period.

§ 111.3 Initiation of compliance matters. (2 

U.S.C. 437g(a)(1), (2)).

(a) Compliance matters may be 

initiated by a complaint or on the basis 

of information ascertained by the 

Commission in the normal course of 

carrying out its supervisory 

responsibilities.

(b) Matters initiated by complaint are 

subject to the provisions of 11 CFR 111.4 

through 111.7. Matters initiated on the 

basis of information ascertained by the 

Commission in the normal course of 

carrying out its supervisory 

responsibilities are subject to the 

provisions of 11 CFR 111.8. All 

compliance matters are subject to the 

provisions of 11 CFR 111.2 and 111.9 

through 111.23.

§ 111.4 Complaints. (2 U.S.C. 437g(a)(1)).

(a) Any person who believes that a 

violation of any statute or regulation 

over which the Commission has 

jurisdiction has occurred or is about to 

occur may file a complaint in writing to 

the General Counsel, Federal Election 

Commission, 1325 K Street, N.W.,
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15121

Washington, D.C. 20463. If possible, 

three (3) copies should be submitted.

(b) A complaint shall comply with the 

following:

(1) It shall provide the full name and 

address of the complainant; and

(2) The contents of the complaint shall 

be sworn to and signed in the presence 

of a notary public and shall be 

notarized.

(c) All statements made in a 

complaint are subject to the statutes 

governing perjury and to 18 U.S.C. 1001. 

The complaint should differentiate 

between statements based upon 

personal knowledge and statements 

based upon information and belief.

(d) The complaint should conform to 

the following provisions:

(1) It should clearly identify as a 

respondent each person or entity who is 

alleged to have committed a violation;

(2) Statements which are not based 

upon personal knowledge should be 

accompanied by an identification of the 

source of information which gives rise to 

the complainants belief in the truth of 

such statements;

(3) It should contain a clear and 

concise recitation of the facts which 

describe a violation of a statute or 

regulation over which the Commission 

has jurisdiction; and

(4) It should be accompanied by any 

documentation supporting the facts 

alleged if such documentation is known 

of, or available to, the complainant.

§111.5 Initial complaint processing;

Notification. (2 U.S.C. 437g(a)(1)).

(a) Upon receipt of a complaint, the 

General Counsel shall review the 

complaint for substantial compliance 

with the technical requirements of 11 

CFR 111.4, and, if it complies with those 

requirements shall within five (5) days 

after receipt notify each respondent that 

the complaint has been filed, advise 

them of Commission compliance 

procedures, and enclose a copy of the 

complaint.

(b) If a complaint does not comply 

with the requirements of 11 CFR 111.4, 

the General Counsel shall so notify the 

complainant and any person(s) or 

entity(ies) identified therein as 

respondent(s), within the five (5) day 

period specified in 11 CFR 111.5(a), that 

no action shall be taken on the basis of 

that complaint. A copy of the complaint 

shall be enclosed with the notification to 

each respondent.

§ 111.6 Opportunity tp demonstrate that

no action should be taken on complaintgenerated matters. (2 U.S.C. 437g(a)(1)).

(a) A respondent shall be afforded an 

opportunity to demonstrate that no 

action should be taken on the basis of a

complaint by submitting, within fifteen 

(15) days from receipt of a copy of the 

complaint, a letter or memorandum 

setting forth reasons why the 

Commission should take no action.

(b) The Commission shall not take any 

action, or make any finding, against a 

respondent other than action dismissing 

the complaint, unless it has considered 

such response or unless no such 

response has been served upon the 

Commission within the fifteen (15) day 

period specified in 11 CFR 111.6(a).

§ 111.7 General Counsel’s

recommendation on complaint-generated

matters. (2 U.S.C. 437g(a)(1)).

(a) Following either the expiration of 

the fifteen (15) day period specified by 

11 CFR 111.6(a) or the receipt of a 

response as specified by 11 CFR

111.6(a), whichever occurs first, the 

General Counsel may recommend to the 

Commission whether or not it should 

find reason to believe that a respondent 

has committed or is about to commit a 

violation of statutes or regulations over 

which the Commission has jurisdiction.

(b) The General Counsel may 

recommend that the Commission find 

that there is no reason to believe that a 

violation has been committed or is 

about to be committed, or that the 

Commission otherwise dismiss a 

complaint without regard to the 

provisions of 11 CFR 111.6(a).

§ 111.8 Internally generated matters;

Referrals. (2 U.S.C. 437g(a)(2)).

(a) On the basis of information 

ascertained by the Commission in the 

normal course of carrying out its 

supervisory responsibilities, or on the 

basis of a referral from an agency of the 

United States or of any state, the 

General Counsel may recommend in 

writing that the Commission find reason 

to believe that a person or entity has 

committed or is about to commit a 

violation of statutes or regulations over 

which the Commission has jurisdiction.

(b) If the Commission finds reason to 

believe that a violation has occurred or 

is about to occur the notification to 

respondent required by 11 CFR 111.9(a) 

shall include a copy of a staff report 

setting forth the legal basis and the 

alleged facts which support the 

Commission’s action.

(c) Prior to taking any action pursuant 

to this section against any person who 

has failed to file a disclosure report 

required by 11 CFR 104.5(a)(l)(i) for the 

calendar quarter immediately 

proceeding the election involved or 

104.5(a)(l)(iii), the Commission shall 

notify such person of failure to file the 

required reports. If a satisfactory 

response is not received within four (4)

business days, the Commission shall

publish before the election the name of

the person and the report or reports such

person has failed to file.

§ 111.9 The reason to believe finding;

Notification. (2 U.S.C. 437g(a)(2)).

(a) If the Commission, either after 

reviewing a complaint-generated 

recommendation as described in 11 CFR

111.7 and any response of a respondent 

submitted pursuant to 11 CFR 111.6, or 

after reviewing an internally-generated 

recommendation as described in 11 CFR

111.8, determines by an affirmative vote 

of four (4) of its members that it has 

reason to believe that a respondent has 

violated a statute or regulation over 

which the Commission has jurisdiction, 

its Chairman or Vice Chairman shall 

notify such respondent of the 

Commission’s finding by letter, setting 

forth the sections of the statute or 

regulations alleged to have been 

violated and the alleged factual basis 

supporting the finding.

(b) If the Commission finds no reason 

to believe, or otherwise terminates its 

proceedings, the General Counsel shall 

so advise both complainant and 

respondent by letter.

§ 111.10 Investigation. (2 U.S.C.

437g(a)(2)).

(a) An investigation shall be 

conducted in any case in which the 

Commission finds reason to believe that 

a violation of a statute or regulation 

over which the Commission has 

jurisdiction has occurred or is about to 

occur.

(b) In its investigation, the 

Commission may utilize the provisions 

of 11 CFR 111.11 through 111.15. The 

investigation may include, but is not' 

limited to, field investigations, audits, 

and other methods of informationgathering.

§ 111.11 Written questions under order. (2

U.S.C. 437d(a)(1)).

The Commission may authorize its

Chairman or Vice Chairman to issue an

order requiring any person to submit

sworn written answers to written

questions and may specify a date by

which such answers must be submitted.

$ 111.12 Subpoenas and subpoenas

duces tecum; Depositions. (2 U.S.C. 437d(a)

(3), (4)).

(a) The Commission may authorize its

Chairman or Vice Chairman to issue

subpoenas requiring the attendance and

testimony of any person by deposition

and to issue subpoenas duces tecum for

the production of documentary or other

tangible evidence in connection with a

deposition or otherwise.
15122 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

(b) If oral testimony is ordered to be 

taken by deposition or documents are 

ordered to be produced, the subpoena 

shall so state and shall advise the 

deponent or person subpoenaed that all 

testimony will be under oath. A 

deposition may be taken before any ^ 

person having the power to administer 

oaths.

(c) The Federal Rules of Civil 

Procedure, Rule 30(e), shall govern the 

opportunity to review and sign 

depositions taken pursuant to this 

section.

§ 111.13 Service of subpoenas, orders

and notifications. (2 U.S.C. 437d(a) (3), (4)).

(a) Service of a subpoena, order or 

notification upon a person named 

therein shall be made by delivering a 

copy to that person in the manner 

described by 11 CFR 111.13 (b), (c), and

(d). In the case of subpoenas, fees for 

one day’s attendance and mileage shall 

be tendered as specified in 11 CFR 

111.14.

(b) Whenever service is to be made 

upon a person who has advised the 

Commission of representation by an 

attorney pursuant to 11 CFR 111.23, the 

service shall be made upon the attorney 

by any of the methods specified in 11 

CFR 111.13(c).

(c) Delivery of subpoenas, orders and 

notifications to a natural person may be 

made by handing a copy to the person, 

or leaving a copy at his or her office 

with the person in charge thereof, by 

leaving a copy at his or her dwelling 

place or usual place of abode with some 

person of suitable age and discretion 

residing therein, or by mailing a copy by 

registered or certified mail to his or her 

last known address, or by any other 

method whereby actual notice is given.

(d) When the person to be served is 

not a natural person delivery of 

subpoenas, orders and notifications may 

be made by mailing a copy by registered 

or certified mail to the person at its 

place of business or by handing a copy 

to a registered agent for service, or to 

any officer, director, or agent in charge 

of any office of such person, or by 

mailing a copy by registered or certified 

mail to such representative at his or her 

last known address, or by any other 

method whereby actual notice is given.

§ 111.14 Witness fees and mileage (2

U.S.C. 437d(a)(5)).

Witnesses subpoenaed to appear for

depositions shall be paid the same fees

, and mileage as witnesses in the courts

of the United States. Such fees may be

tendered at the time the witness appears

for such deposition, or Within a

reasonable time thereafter.

§ 111.15 Motions to quash or modify a

subpoena (2 U.S.C. 437d(a) (3), (4)).

(a) Any person to whom a subpoena is 

directed may, prior to the time specified 

therein for compliance, but in no event 

more than 5 days after the date of 

receipt of such subpoena, apply to the 

Commission to quash or modify such 

subpoena, accompanying such 

application with a brief statement of the 

reasons therefor. Motions to quash shall 

be filed with the General Counsel, 

Federal Election Commission, 1325 K 

Street, N.W., Washington, D.C. 20463. If 

possible, three (3) copies should be 

submitted.

(b) The Commission may deny the

application or quash the subpoena or

modify the subpoena.

(c) The person subpoenaed and the

General Counsel may agree to change

the date, time, or place of a deposition

or for the production of documents

without affecting the force and effect of

the subpoena, but such agreements shall

be confirmed in writing.

§ 111.16 The probable cause to believe

recommendation; briefing procedures (2

U.S.C. 437g(a)(3)).

(a) Upon completion of the

investigation, the General Counsel shall

prepare a brief setting forth his or her

position on the factual and legal issues

of the case and containing a

recommendation on whether or not the

Commission should find probable cause

to believe that a violation has occurred

or is about to occur.

(b) The General Counsel shall notify

each respondent of the recommendation

and enclose a copy of his or her brief.

(c) Within fifteen (15) days from

receipt of the General Counsel's brief,

respondent may file a brief with the

Commission Secretary, Federal Election

Commission, 1325 K Street, N.W.,

Washington, D.C. 20463, setting forth

respondent’s position on the factual and

legal issues of the case. If possible, ten

(10) copies of such brief should be filed

witii the Commission Secretary and

three (3) copies should be submitted to

the General Counsel, Federal Election

Commission, 1325 K Street, N.W.,

Washington, D.C. 20463.

(d) After reviewing the respondent’s

brief, the General Counsel shall advise

the Commission in writing whether he or

she intends to proceed with the

recommendation or to withdraw the

recommendation from Commission

consideration.

§ 111.17 The probable cause to believe

finding; notification (2 U.S.C. 437g(a)(4)).

(a) If the Commission, after having

found reason to believe and after

following the procedures set forth in 11

CFR 111.16, determines by an 

affirmative vote of four (4) of its 

members that there is probable cause to 

believe that a respondent has violated a 

statute or regulation over which the 

Commission has jurisdiction, the 

Commission shall authorize the General 

Counsel to so notify the respondent bv 

letter.

(b) If the Commission finds no 

probable cause to believe or othewise 

orders a termination of Commission 

proceedings, it shall authorize the 

General Counsel to so notify both 

respondent and complainant by letter.

§ 111.18 Conciliation (2 U.S.C. 437g(a)(4)).

(a) Upon a Commission finding of 

probable cause to believe, the Office of 

General Counsel shall attempt to correct 

or prevent the violation by informal 

methods of conference conciliation and 

persuasion, and shall attempt to reach a 

tentative conciliation agreement with 

the respondent.

(b) A conciliation agreement is not 

binding upon either party unless and 

until it is signed by the respondent and 

by the General Counsel upon approval 

by the affirmative vote of four (4) 

members of the Commission.

(c) If the probable cause to believe 

finding is made within forty-five days 

prior to any election, such conciliation 

attempt shall continue for at least fifteen 

(15) days from the date of such finding. 

In all other cases such attempts by the 

Commission shall continue for at least 

thirty (30) days, not to exceed ninety 

(90) days.

(d) Nothing in these regulations shall 

be construed to prevent the Commission 

from entering into a conciliation 

agreement with a respondent prior to a 

Commission finding of probable cause if 

a respondent indicates by letter to the 

General Counsel a desire to enter into 

negotiations directed towards reaching 

such a conciliation agreement. However, 

the Commission is not required to enter 

into any negotiations directed towards 

reaching a conciliation agreement unless 

and untU it makes a finding of probable 

cause to believe. Any conciliation 

agreement reached under this 

subsection is subject to the provisions of 

subsection (b) of this section and shall 

have the same force and effect as a 

conciliation agreement reached after a 

Commission finding of probable cause 

to believe.

(e) If a conciliation agreement is 

reached between the Commission and 

the respondent, the General Counsel 

shall send a copy of the signed 

agreement to both complainant and 

respondent.
Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15123

§ 111.19 Civil proceedings (2 U.S.C.

437g(a)(6)).

(a) If no conciliation agreement is 

finalized within the applicable minimum 

period specified by 11 CFR 111.18(c) the 

General Counsel may recommend to the 

Commission that the Commission 

authorize a civil action for relief in an 

appropriate court of the United States.

(b) Upon recommendation of the 

General Counsel, the Commission may, 

by an affirmative vote of four (4) of its 

members, authorize the General Counsel 

to commence a civil action for relief in 

an appropriate court of the United 

States.

(c) The provisions of 11 CFR 111.18(c) 

shall not preclude the Commission upon 

request of a respondent, from entering 

into a conciliation agreement even after 

a recommendation to file a civil action 

has been made pursuant to this section. 

Any conciliation agreement reached 

under this subsection is subject to the 

provisions of 11 CFR 111.18(b) and shall 

have the same force and effect as a 

conciliation agreement reached under 11 

CFR 111.18(c).

$111.20 Public disclosure of Commission

action (2 U.S.C. 437g(a)(4)).

(a) If the Commission makes a finding 

of no reason to believe or no probable 

cause to believe or otherwise terminates 

its proceedings, it shall make public 

such action and the basis therefor no 

later than thirty (30) days from the date 

on which the required notifications are 

sent to complainant and respondent.

(b) If a conciliation agreement is 

finalized, the Commission shall make 

public such conciliation agreement 

forthwith.

§ 111.21 Confidentiality (2 U.S.C.

437g(aM12)).

(a) Except as provided in 11 CFR 

111.20, no complaint filed with the

Commission, nor any notification sent

by the Commission, nor any

investigation conducted by the

Commission, nor any findings made by

the Commission shall be made public by

the Commission or by any person or

entity without the written consent of the

respondent with respect to whom the

complaint was filed, the notification

-ent, the investigation conducted, or the

finding made.

(b) Except as provided in 11 CFR 

111.20(b), no action by the Commission

°r by any person, and no information

derived in connection with conciliation

efforts pursuant to 11 CFR 111.18, may

be made public by the Commission

except upon a written request by

respondent and approval thereof by the

Commission.

(c) Nothing in these regulations shall

be construed to prevent the introduction

of evidence in the courts of the United

States which could properly be

introduced pursuant to the Federal Rules

of Evidence or Federal Rules of Civil

Procedure.

§ 111.22 Ex parte communications.

(a) In order to avoid the possibility of

prejudice, real or apparent, to the public

interest in enforcement actions pending

before the Commission pursuant to 11

CFR Part 111, except to the extent

required for the disposition of ex parte

matters as required by law (for example,

dining the normal course of an

investigation or a conciliation effort), no

interested person outside the agency

shall make or cause to be made to any

Commissioner or any member of any

Commissioner’s staff any ex parte

communication relative to the factual or

legal merits of any enforcement action,

nor shall any Commissioner or member

of any Commissioner’s staff make or

entertain any such ex parte

communications.

(b) The prohibition of this regulation

shall apply from the time a complaint is

filed with the Commission pursuant to

11 CFR Part 111 or from the time that the

Commission determines on the basis of

information ascertained in the normal

course of its supervisory responsibilities

that it has reason to believe that a

violation has occurred or may occur

pursuant to 11 CFR Part 111, and

remains in force until the Commission

has finally concluded all action with

respect to the enforcement matter in

question.

(c) Nothing in this section shall be

construed to prohibit contact between a

respondent or respondent’s attorney and

any attorney or staff member of the

Office of General Counsel in the course

of representing the Commission or the

respondent with respect to an

enforcement proceeding or civil action.

No statement made by such a

Commission attorney or staff member

during any such communication shall

bind or estop the Commission in any

way.

§ 111.23 Representation by counsel;

notification.

(a) If a respondent wishes to be

represented by counsel with regard to

any matter pending before the

Commission, respondent shall so advise

the Commission by sending a letter of

representation signed by the respondent,

which letter shall state the following:

(1) The name, address, and telephone

number of the counsel;

(2) A statement authorizing such

counsel to receive any and all

notifications and other communications 

from the Commission on behalf of 

respondent.

(b) Upon receipt of a letter of 

representation, the Commission shall 

have no contact with respondent except 

through the designated counsel unless 

authorized in writing by respondent.

PART 112—ADVISORY OPINIONS (2

U.S.C. 437f)

Sec.

112.1 Requests for A dvisory Opinions (2

U.S.C. 437f(a)(l))

112.2 Public Availability of Requests (2 

U.S.C. 437f(d))

112.3 Written Comments on Requests (2 

U.S.C. 437f(d))

112.4 Issuance of A dvisory Opinions (2

U .S.C. 437f (a) and (b))

112.5 Reliance on Advisory Opinions (2 

U.S.C. 437f(c))

112.6 Reconsideration of Advisory Opinions 

Authority: 2 U.S.C. 437f, 438(a)(8).

§ 112.1 Requests for advisory opinions (2

U.S.C. 437f(a){1)).

(a) Any person may request in writing 

an advisory opinion concerning the 

application of the Act, chapters 95 or 96 

of the Internal Revenue Code of 1954, or 

any regulation prescribed by the 

Commission. An authorized agent of the 

requesting person may submit the 

advisory opinion request, but the agent 

shall disclose the identity of his or her 

principal.

(b) The written advisory opinion 

request shall set forth a specific 

transaction or activity that the 

requesting person plans to undertake or 

is presently undertaking and intends to 

undertake in the future. Requests 

presenting a general question of 

interpretation, or posing a hypothetical 

situation, or regarding the activities of 

third parties, do not qualify as advisory 

opinion requests.

(c) Advisory opinion requests shall 

include a complete description of all 

facts relevant to the specific transaction 

or activity with respect to which the 

request is made.

(d) The Office of General Counsel 

shall review all requests for advisory 

opinions submitted under 11 CFR 112.1. 

If the Office of General Counsel 

determines that a request for an 

advisory opinion is incomplete or 

otherwise not qualified under 11 CFR 

112.1, it shall, within 10 calendar days of 

receipt of such request, notify the 

requesting person and specify the 

deficiencies in the request.

(e) Advisory opinion requests should 

be sent to the Federal Election 

Commission, Office of General Counsel, 

1325 K Street, N.W., Washington, D.C. 

20463.
15124 Federal Register / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations

(f) Upon receipt by the Commission,

each request which qualifies as an

advisory opinion request (AOR) under

11 CFR 112.1 shall be assigned an AOR

number for reference purposes.

§ 112.2 Public availability of requests (2

U.S.C. 4371(d)).

(a) Advisory opinion requests which 

qualify under 11 CFR 112.1 shall be 

made public at the Commission 

promptly upon their receipt.

(b) A copy of the original request and

any supplements thereto, shall be

available for public inspection and

purchase at the Public Disclosure

Division of the Commission.

§ 112.3 Written comments on requests (2

U.S.C. 437f(d)).

(a) Any interested person may submit

written comments concerning advisory

opinion requests made public at the

Commission.

(b) The Written comments shall be

submitted within 10 calendar days

following the date the request is made

public at the Commission. However, if

the 10th calendar day falls on a

Saturday, Sunday, or Federal holiday,

the 10 day period ends at the close of

the business day next following the

weekend or holiday. Additional time for

submission of written comments may be

granted upon written request for an

extension by the person who wishes to

submit comments or may be granted by

the Commission without an extension

request.

(c) Comments on advisory opinion

requests should refer to the AOR

number of the request, and statutory

references should be to the United

States Code citations, rather than to

Public Law citations.

(d) Written comments and requests 

for additional time to comment shall be 

sent to the Federal Election Commission, 

Office of General Counsel, 1325 K Street, 

N.W., Washington, D.C. 20463.

(e) Before it issues an advisory

opinion the Commission shall accept

and consider all written comments

submitted within the 10 day comment

period or any extension thereof.

§ 112.4 Issuance of advisory opinions (2

U.S.C. 437f(a) and (b)).

(a) Within 60 calendar days after 

receiving an advisory opinion request 

that qualifies under 11 CFR 112.1, the 

Commission shall issue to the requesting 

person a written advisory opinion or 

shall issue a written response stating 

that the Commission was unable to 

approve an advisory opinion by the 

required affirmative vote of 4 members.

(b) The 60 calendar day period of 11 

CFR 112.4(a) is reduced to 20 calendar 

days for an advisory opinion request

qualified under 11 CFR 112.1 provided 

die request:

(1) is submitted by any candidate, 

including any authorized committee of 

the candidate (or agent of either), within 

the 60 calendar days preceding the date 

of any election for Federal office in 

which the candidate is seeking 

nomination or election; and

(2) presents a specific transaction or 

activity related to the election that may 

invoke the 20 day period if the 

connection is explained in the request.

(c) The 60 day and 20 day periods 

referred to in 11 CFR 112.4(a) and (b) 

only apply when the Commission has 

received a qualified and complete 

advisory opinion request under 11 CFR 

112.1, and when the 60th or 20th day 

occurs on a Saturday, Sunday or Federal 

holiday, the respective period ends at 

the close of the business day next 

following the weekend or holiday.

(d) The Commission may issue 

advisory opinions pertaining only to the 

Federal Election Campaign Act of 1971, 

as amended, chapters 95 or 96 of the 

Internal Revenue Code of 1954, or rules 

or regulations duly prescribed under 

those statutes.

(e) Any rule of law which is not stated 

in the Act or in chapters 95 or 96 of the 

Internal Revenue Code of 1954, or in a 

regulation duly prescribed by the 

Commission, may be initially proposed 

only as a rule or regulation pursuant to 

procedures established in 2 USC 438(d) 

or 26 USC 9009(c) and 9039(c) as 

applicable.

(f) No opinion of an advisory nature

may be issued by the Commission or

any of its employees except in

accordance with 11 CFR Part 112;

however, this limitation does not

preclude distribution by the Commission

of information consistent with the Act

and chapters 95 or 96 of the Internal

Revenue Code of 1954.

(g) When issued by the Commission, 

each advisory opinion or other response 

under 11 CFR 112.4(a) shall be made 

public and sent by mail, or personally 

delivered to the person who requested 

the opinion.

§ 112.5 Reliance on advisory opinions (2

U.S.C. 4371(c)).

(a) An advisory opinion rendered by

the Commission under 11 CFR Part 112

may be relied upon by:

(1) any person involved in the specific 

transaction or activity with respect to 

which such advisory opinion is 

rendered, and

(2) any person involved in any specific 

transaction or activity which is 

indistinguishable in all its material 

aspects from the transaction or activity

with respect to which such advisory 

opinion is rendered.

(b) Notwithstanding any other 

provision of law, any person who relies 

upon an advisory opinion in accordance 

with 11 CFR 112.5(a) and who acts in 

good faith in accordance with that 

advisory opinion shall not, as a result of 

any such act, be subject to any sanction 

provided by the Federal Election 

Campaign Act of 1971, as amended, or 

by chapters 95 or 96 of the Internal 

Revenue Code of 1954.

§ 112.6 Reconsideration of advisory

opinions.

(a) The Commission may reconsider 

an advisory opinion previously issued if 

the person to whom the opinion was 

issued submits a written request for 

reconsideration within 30 calendar days 

of receipt of the opinion and if, upon the 

motion of a Commissioner who voted 

with the majority that originally 

approved the opinion, the Commission 

adopts the motion to reconsider by the 

affirmative vote of 4 members.

(b) The Commission may reconsider 

an advisory opinion previously issued if, 

upon the motion of a Commissioner who 

voted with the majority that originally 

approved the opinion and within 30 

calendar days after the date the 

Commission approved the opinion, the 

Commission adopts the motion to 

reconsider by the affirmative vote of 4 

members.

(c) In the event an advisory opinion is 

reconsidered pursuant to 11 CFR 

112.6(b), the action taken in good faith 

reliance on that advisory opinion by the 

person to whom the opinion was issued 

shall not result in any sanction provided 

by the Act or chapters 95 or 96 of the 

Internal Revenue Code of 1954.11 CFR 

112.6(c) shall not be effective after the 

date when the person to whom the 

advisory opinion was issued has 

received actual notice of the 

Commission’s decision to reconsider 

that advisory opinion.

(d) Adoption of a motion to reconsider 

vacates the advisory opinion to which it 

relates.

PART 113—-EXCESS CAMPAIGN

FUNDS AND FUNDS DONATED TO

SUPPORT FEDERAL OFFICEHOLDER

ACTIVITIES (2 U.S.C. 439a)

Sec.

113.1 Definitions (2 USC 439a).

113.2 Use of funds (2 USC 439a).

113.3 Deposits of funds donated to a Federal 

or State officeholder.

113.4 Contribution and expenditure 

limitations (2 USC 441a).

Authority: 2 U.S.C. 432(h). 438(a)(8). 439a, 

441a.
Federal Register' / Vol. 45, No. 47 / Friday, March 7, 1980 / Rules and Regulations 15125

§ 113.1 Definitions (2 U.S.C. 439a).

When used in this Part—

(a) Funds donated. “Funds donated“ 

means all funds, including, but not 

limited to, gifts, loans, advances, credits 

or deposits of money which are donated 

for the purpose of supporting the 

activities of a Federal or State 

officeholder; but does not mean funds 

appropriated by Congress, a State 

legislature, or another similar public 

appropriating body, or personal funds of 

the officeholder donated to an account 

containing only those personal funds.

(b) O ffice account. “Office account” 

means an account established for the 

purposes of supporting the activities of a 

Federal or State officeholder which 

contains excess campaign funds and 

funds donated, but does not include an 

account used exclusively for funds 

appropriated by Congress, a State 

legislature, or another similar public 

appropriating body, or an account of the 

officeholder which contains only the 

personal funds of the officeholder, or an 

account containing only appropriated 

funds and only personal funds of the 

officeholder.

(c) Federal officeholder. “Federal 

officeholder” means an individual 

elected to or serving in the office of 

President or Vice President of the 

United States; or a Senator or a 

Representative in, or Delegate or 

Resident Commissioner to, the Congress 

of the United States.

(d) State officeholder. “State 

officeholder” means an individual 

elected to or serving in any elected 

public office within a State of the United 

States, the District of Columbia, the 

Commonwealth of Puerto Rico or any 

subdivision thereof.

(e) Excess campaign funds. “Excess 

campaign funds” means amounts 

received by a candidate as contributions 

which he or she determines are in 

excess of any amount necessary to 

defray his or her campaign 

expenditures.

§113.2 Use of funds (2 U.S.C. 439a).

Excess campaign funds and funds

donated:

(a) May be used to defray any 

ordinary and necessary expenses 

incurred in connection with the 

recipient’s duties as a holder of Federal 

office, if applicable; or

(b) May be contributed to any 

organization described in section 170(c) 

of Title 26, of the United States Code; or

(c) May be transferred without 

limitation to any national, State, or local 

committee or any political party; or

(d) May be used for any other lawful 

purpose, except that, with respect to any 

individual who is not a Senator or

Representative in, or Delegate or 

Resident Commissioner to, the Congress 

on the date of the enactment of the 

Federal Election Campaign Act 

Amendments of 1979 (January 8,1980), 

no such amounts may be converted by 

any person to any personal use, other 

than: to defray any ordinary and 

necessary expenses incurred in 

connection with his or her duties as a 

holder of Federal office, or to repay to a 

candidate any loan the proceeds of 

which were used in connection with his 

or her campaign.

§ 113.3 Deposits of funds donated to a

Federal or state officeholder (2 U.S.C.

432(h)).

All funds donated to a federal 

officeholder, or StatjELofficeholder who is 

a candidate for federal office, shall be 

deposited into one of the following 

accounts:

(a) An account of the officeholder’s 

principal campaign committee or other 

authorized committee pursuant to 11 

CFR Part 103;

(b) An account to which only funds 

donated to an individual to support his 

or her activities as a holder of federal 

office are deposited (including an office 

account).

§ 113.4 Contribution and expenditure

limitations (2 U.S.C. 441a).

(a) Any contributions to, or 

expenditures from an office account 

which are made for the purpose of 

influencing a federal election shall be 

subject to 2 U.S.C. 441a and 11 CFR Part 

110 of these regulations.

(b) If any treasury funds of a 

corporation or labor organization are 

donated to an office account, no funds 

from that office account may be 

transferred to a political committee 

account or otherwise used in connection 

with a federal election.

7. In Part 114, § 114.1(a)(2)(v),

§ 114.6(c) (3), (d), (d)(2)(ii), (d)(3) (i) and

(ii) are revised to read as follows:

PART 114—CORPORATE AND LABOR

ORGANIZATION ACTIVITY

§114.1 Definitions.

(a) * * *

(2) * * *

(v) The sale of any food or beverage 

by a corporate vendor for use in a 

candidate’s campaign or for use by a 

political committee of a political party at 

a charge less than the normal of 

comparable commercial rate, if the 

charge is at least equal to the costs of 

such food or beverage to the vendor, to 

the extent that: the aggregate value of 

such discount by the vendor on behalf of 

a single candidate does not exceed 

$1,000 with respect to any single

election; and on behalf of all political 

committees of each political party does 

not exceed $2,000 in a calendar year.

* * * * *

§ 114.6 Twice yearly solicitations.

(c) * * *

(3) That persons who, in a calendar 

year make a single contribution of $50 or 

less, or multiple contributions 

aggregating $200 or less may maintain 

their anonymity by returning their 

contributions to the custodian.

(d) The custodial arrangement. In 

order to maintain the anonymity of 

persons who do not wish to contribute 

and of persons who wish to respond 

with a single contribution of $50 or less, 

or multiple contributions aggregating 

$200 or less in a calendar year, and to 

satisfy the recordkeeping provisions, the 

corporation, labor organization, or 

separate segregated fund of either shall 

establish a custodial arrangement for 

collecting the contributions under this 

section.

*****

(2) * * *

(ii) Provide the fund with the 

identification of any person who makes 

a single contribution of more than $50 

and the identification of any person who 

makes multiple contributions 

aggregating more than $200. The 

custodian must provide this information 

within a reasonable time prior to the 

reporting date of the fund under Part 

104;

*****

(3) * * *

(i) Make the records of persons 

making a single contribution of $50 or 

less, or multiple contributions 

aggregating $200 or less, in a calendar 

year, available to any person other than 

representatives of the Federal Election 

Commission, the Clerk of the House or 

the Secretary of the Senate, as 

appropriate, and law enforcement 

officials or judicial bodies.

(ii) Provide the corporation or labor 

organization or the separate segregated 

fund of either with any information 

pertaining to persons who, in a calendar 

year, make a single contribution of $50 

or less or multiple contributions 

aggregating $200 or less except that the 

custodian may forward to the 

corporation, labor organization or 

separate segregated fund of either the 

total number of contributions received; 

or

*****

(2 U.S.C. 431(8)(B)(iii), 432(c)(3), 438(a)(8))
15126 Federal Register / Vol. 45, No. 47 / Friday, M arch 7, 1980 / Rules and Regulations

§9008.3 [Amended]

8. In Part 9008, § 9008.3(a) is amended 

by deleting “2 million” and inserting “3 

million”.

Dated: February 28,1980.

Robert O. Tieman,

Chairman, Federal Election Commission.

(FR Doc. 80-7109 Filed 3-6-80; 8:45 am]

BILLING CODE 6715-01-M