;\GENDA DOCUMENT NO. 13,2.-\-~ 

FEDERAL ELECTION COMMISSION 

Washington, DC 20463 

June 26, 2013 

MEMORANDUM 

TO: The Commission Secretary 

FR()M: Anthony Herman (\ t-!--

General Counsel 1-) 

13 JUN 2b P 3: 31 

AGENDA ITEM 

For Meeting of {p "'~~ "" f3 

SUBMITTED LATE 

SUBJECT: Requests for Records or Information from Federal, State and Local 

Government Entities 

P.ttached is the June 14, 2012, memo from Daniel A. Petalas to Enforcement Staff 

regarding Requests for Records or Information from Federal, State and Local 

GoYemment Entities. The Commission has requested the document be placed on the 

agenda f)r June 27, 2013. 

Attachm~nt 
FEDERAL ELECTION COMMISSION 

Washingtvn, DC 20463 

:~u::\IORANDUM 

ro Enforcement Staff 

Daniel A Pctalas 

Associate General Counsel for Enforccmcnt 

~HfiJ.JECT: RequesL<; liJr Records or Information from Federal. State, and l .ocal 

G(lvemment Entities 

Absent contrary instruction from this Office. Enf(m:ement Division counsel who 

1c<.:dve a request for documents or information relating to FEC matters from the 

l)cpartmcnt of Justice or any other federal. state. or local government entity must proceed 

<~S Clllow~: 

I. Requests trom the l'.S. Department of .Justice (1>0.1) or Its Components 

A. Requests for Information About the Existence or Current Status of 

Enforcement Matters 

Enforcement Division counsel ("Staff') may provide infonnation to a 

representative of DOJ or its components about the existence or status of 

closed or pending enforcement matters. whether made orally or in wTiting. 

Staff may describe the nature of the allegation, including the identity of 

complainants and respondents, the stage of the proceeding. nod the 

anticipated timeline for any remaining steps in the matter. Absent further 

direction from the Associate General Counsel (or his or her delegate) (the 

''AGC"). stall should not provide infonnation regarding anticipated 

recommendations to the Commission. 

Staff must document any SUI;;h communication in a memorandum to file, 

describing the contact. nature of the request. and any action taken. The 

memorandum must be provided both to CELA for inclusion in the 

pcmlancnr record of the relevant matter and to the AGC. 
I :n1\m.t-mmt Guidanc~: Regarding Requests for 

In f01 mation frurn Federal. Slate. and Local Entities 

l'a~:c 2 

R. Requests for Non-Public Documents from Closed Enforcement 

Matters 

StalT ma}· pro• tde a repn:sentati-ve of OOJ or its components documents 

not ordinarily placed on the public record. including investigative 

materials. from dosed Enforcement Division matters. If the request was 

initially made orally. staff should direct the requestor to make the request 

in writing before responding. 

Not less than 24 hours before producing any such records, staff must 

provide v..Titten notice to the J\GC about the contact. dcscrihing the nature 

ofthe request and what, if any. records will he produced. 

Staff must rurthcr memorialize any production uf records in a 

memorandum to file describing the contact, nature of the request, and any 

action taken. The memorandum must be provided both to CELA for 

inclusion in the Voting Ballot Matter folder ("VB~") and the permanent 

record of the relevant matter, as well as to the AGC. 

When producing records, staff must adhere to the restrictions discussed 

below concerning cover letters, document numbering, and confidentiality 

disclaimers. See i~/Ta Part V. 

C. Re.,.uests for Pre-RTB Pleadings in Open Enforcement Matters 

Staff may provide a representative of lJOJ or its components complaints. 

responses. and s11a sponte submissions in open Enforcement Division 

matters filed during the pre-reason to believe stage. lfthe request was 

initially made orally. staff should direct the requestor to make the request 

in writing before responding. 

Not less than 24 hours~ producing an; such records, staiT mu.'n 

provide written notice to the AGC about the contact. describing the nature 

of the request and what, if any, records will be produced. 

Staff must further memorialize any production of records in a 

memorandum to file describing the contact. nature of the request, and any 

action taken. The memorandum must be provided both to CELA for 

inclusion in VBM and the pennanent record of the relevant matter, as well 

as to the AGC. 

When producing records, stan· must adhere to the restrictions discussed 

below concerning co\·er letters. document numbering, and confidentiality 

disclaimers. See infra Part V. 
lnlor~cment Guidance Regarding Requests for 

ltlimnation from Federal, State:, and !.{>cal Entities 

lllgt· 3 

n. Requests for Information or Records Relating to Enforcement 

Matten ~ot Colered Above 

Staff must obtain the approval ofthe AGC before responding to any 

request by a representative of DOJ or its components seeking information 

or records not identified above. If the request wac; initially made orally, 

staff should direct the requestor to make the request in writing before 

responding. 

In some instances. the AOC may require slafflo prepare an informational 

memorandum to the Commission co~erning such a request. If reqUired, 

the infom1ational memorandwn to the Commission should identify the 

nature of the information or records sought. what response \\ill be 

provided. and the date on which that response is anticipated. As with 

other informational memoranda to the Commission, staff should circulate 

the memorandum to the relevant second-level reviewer prior to submitting 

to the Commission. Circulation to the Commission should he on a 48-

hour basis. No response to the outc;tanding request may be provided until 

after the expiration of the period during which the matter is in circulation 

with the (:om mission. 

Staff must memorialize any product ton of records in a memorandum to 

file describing the contact. nature of the request. and action taken. The 

memorandum must be provided both to CELA for inclusion in VBM and 

the permanent record of the relevant matter, as well as to the AGC. 

When producing records, staff must adhere to the restrictions discussed 

below concerning cover letters, document numbering, and confidentiality 

disclaimers. See Infra Part V. 

F. Grand Jury Subpoenas for Do~umenb and Things 

Commission approval must be obtained before providing documents and 

other items pursuant to a grand jury subpoena. Staff must prepare a 

formal memorandum to the Commission with appropriate 

recommendations. 

The formal memorandum concerning receipt of a grand jury subpoena tor 

documents and things should be circulated on a one-week tally vote basis. 
I .nforcement Guidance Regarding Requests for 

l1fnrmation from Federal, State, nnd Local Entities 

I 8!:'.'' 4 

I I. Requests for Information or Records from Non-OOJ Federal Entities and 

State and Local Government Entities 

With respc~:t Lo requests b.r tl."deral cntitit-s not a.'lsociated with DOJ or 

stale or local government entities, stall' must consult with and obtain 

approval from the AGC before providing any information or records. If 

the request was initially made orally. staff should direct the requestor to 

make the request in writing. 

Staff must submit an informational memorandum to the Commission 

regarding the request from a non-DOJ governmental entity on a 48-hour 

basis before any records arc offered or provided. 

Staff should describe in the relevant memorandum the mission of the 

requesting governmental entity, its need for the information or records, 

how that material will be used, and the likelihood that Commission 

materials could be made public as a result of pmviding them to the 

requesting entity. 

lf a non-DOJ governmental entity seeks records or information through a 

subpoena. staff should prepare a formal memorandum to the Commission 

with appropriate recommendations. If the records or information sought 

are publicly available. however. then staff may discuss with the requesting 

entity whether the subpoena should be withdrawn and the records obtained 

instead fmm publicly-accessible rEC sources. 

III. Regugts to Hokt ag Enforcement Matter or Jnvgtigatioo in Abeyanse 

Commission approval must be obtained before agreeing to any request 

from any federal. state, or local governmental entity to hold a matter or 

investigation in abeyance. Staff must prepare an informational 

memorandum to the Commis.•don concerning any such request. 

The memorandum must describe the nature of the request, any 

justifications for gr.mting the request ofiered by its proponent, the likely 

time during which a matter is expected to remain in abeyance. what if any 

effect the proposed abeyance would have with respect to the statute of 

limitations. and the course of action recommended by the OGC. 

An informational memorandum concerning a request to abate a pending 

Enforcement Division matter or investigation should be circulated on a 

one week basis. 
I :11 krc.,ment Uuiclam:e Regarclmp, Ke'luesllo for 

I nfu1 mation from Federal, Stale. and Lo~al Entitic> 

l'ag~ 5 

IV. Requests for Testimony of Commission Staff, Either as an Expert or Fact 

Witness 

If DOJ or any other federal. state or local governmental entity request<; 

testimony from any Commission staff member. Enforcement Division 

staff may not make any representation about the availability of any FEC 

employee to provide testimony in any proceeding or the likelihood that the 

FEC will pm<luce any such witness. Staff must refer all such requests 

directly to the ACJC 

As further directed by the AGC, stall' should prepare an inHmnational 

memorandum to the Commission informing it oftlte n:quest, identifying 

the substance of the testimony sought. the staff member who is to provide 

testimony, and the date and location of the testimony to be given. Any 

such informational memorandum should be circulated on a one week 

basis. 

Nonetheless, if n request for testimony is made by subpoena, staff must 

prepare a formal memorandum to the Commission with appropriate 

recommendation<; and circulate it on a one-week tully vote hasis. 

·v·. Conr Letters. Qocument Numberigc. and ConfidentialiU' Pisdaimen 

Whenever providing any Commission record in response to a request from 

an outside government source, unless directed othenNise by the AGC, staff 

must prepare an appropriate cover letter specifically identifying each 

record being provided (by their Bates number ranges, if appropriate) and 

detailing the relevant confidentiality obligations under 2 U.S.C. § 43 7g(a) 

(4 )(R)(i) and 2 lJ.S.C'. § 437g(a)(l 2) to the extent those obligations may 

apply. 

Unless otherwise directed by the AGC, all recmds produced in response to 

an outside request must be marked on each page with a readily identifiable 

numbering system, such as "FEC 0001," '"FEC 0002:• and so forth. 

When providing documents, every page of each document should be 

stamped "CONF(I)f.NTIAL," unless the information is from a closed 

matter file and does not relate to conciliation negotiations under 2 U.S C. 

§ 437g(a)(4)(R)(i). 

A form cover letter for production of records (form 134) is maintained at 

http://fccas049/FECLiveprd!llisapi.dll?func=ll&objaction=overvie"'&obji 

d=l412875 
t:ntbrn·ment Guidance Regarding Requesb tur 

lnf,mnation from Feder.tl. State. and Local Entities 

l'ag~ 6 

'II. Delivering Reeords to Reguestors 

Staff may email records to outside sources as PDF attachments, but only if 

done in a manner Utat complies wiUt the requirements concerning cover 

letters. page nwnbering. and confidentiality disclaimers described above. 

See supra Part V. 

When providing documents to an outside government entity, staff should 

arrange for the recipient to return a signed acknowledgement upon receipt 

Stnffmay use a duplicate of the cover Jetter f()r that purpose, or the form 

of acknowledgement ofrt..'Ceipt (Form 120) maintained at 

http://fecas049fFECLiveprdlllisapi.dll'!func"-ll&obJaction-overvie"'&ubji 

d""l08127 

Upon receipt of the signed acknowledgement, staff should submit it to 

CELA for inclusion in the permanent record and VBM of the relevant 

Enforcement Division matter.