FEDERAL ELECTION 

COMMISSION

ENFORCEMENT PROFILE

SEPTEMBER 30, 2004
Federal Election Commission Enforcement Profile September 30, 2004

i

The Federal Election Commission (FEC) has implemented a series of 

measures aimed at improving the efficiency and effectiveness of the 

agencyʼs enforcement program. Two of the initiatives are geared toward 

the agencyʼs traditional enforcement program that is administered by the 

Office of General Counsel (OGC). These are the Enforcement Priority System (EPS) and the Case Management System (CMS). The Staff 

Director manages two additional improvement efforts, the Administrative 

Fine Program and the Alternative Dispute Resolution Program (ADR). 

This report documents the impact of these changes. 

Taken together, these initiatives have enabled the Commission to resolve 

a significantly larger number of routine reporting violations, to address 

straightforward violations far more expeditiously and to focus OGC resources on the most significant cases. As a result, the number of matters 

not pursued because they were either stale or less important was dramatically reduced while at the same time fines and civil penalties increased 

substantially. For example, the FECʼs agency-wide enforcement program dismissed only 9% of its cases without substantive action in FY

2001-2004, compared to 54% in the period from FY 1995-2000. Simultaneously in FY 2004, the FEC obtained fines and civil penalties totaling 

a record $3,463,050.

To address an increasingly large and complex caseload, the OGC in 

1993 initiated EPS, a system that categorizes cases by complexity and 

importance. In FY 2000, OGC implemented the Case Management 

System (CMS), a database that electronically tracks and stores information related to enforcement cases, thereby helping staff to manage their 

EXECUTIVE SUMMARY
Federal Election Commission Enforcement Profile September 30, 2004

ii

workload more efficiently. Recognizing the increased demands on the 

Commissionʼs traditional enforcement program, Congress called for a 

comprehensive review of the FEC by Pricewaterhouse Coopers (PwC). 

As an outgrowth of that review, Congress enacted legislation in 1999 

that created the Administrative Fine Program within the FEC. Effective in FY 2000, this Congressional action authorized the Commission 

to streamline its enforcement of late and failure to file violations in an 

expedited manner using a published schedule of penalties. Within the 

same general timeframe, the Commission established an Alternative 

Dispute Resolution Program (ADR) designed to address straightforward 

violations in a more expeditious manner than is possible through the 

traditional enforcement process.

With respect to matters resolved through the traditional enforcement 

process, OGC negotiated $3,024,595 in civil penalties or 89% of the total 

fines and penalties obtained in FY 2004. This is an increase of $800,000 

over the previous fiscal year totals. In addition, OGC reduced by 25% 

from the previous year the median number of days needed to complete 

action with respect to matters closed with substantive analysis. A corresponding reduction of 16% was seen in the average number of days 

needed to close a case with substantive action.

Since FY 2001, the Administrative Fine Program has resolved 1,009 

cases of late and non-filed reports, 137 of which were completed in 

FY 2004. During this time period the Commission has assessed administrative fines totaling $1,891,148. This program when viewed in 

combination with reporting violations resolved through the traditional 

enforcement process has resulted in a six-fold increase in the number of 

reporting violation actions resolved by the FEC.

The Alternative Dispute Resolution (ADR) program, seeks to resolve 

certain types of matters in a collaborative and expeditious manner. While 

the potential exists for civil penalties, the focus of ADR is to correct behavior. As a consequence, ADR employs non-financial solutions such as 

training, adoption by the reporting entity of additional or revised policies 

and procedures and audits to reduce the likelihood of future violations. 

Since its inception in FY 2001, ADR has successfully completed 135 

cases, with 51 of these closed in 2004. 

The material that follows details the noteworthy improvement made in 

the FECʼs enforcement program between FY 1995 and FY 2004 (October 

1, 1994 – September 30, 2004). As the charts and tables on the following 

pages document, the FEC has been able to close significant numbers of 

routine reporting violations and address other straightforward violations 

more expeditiously; focus OGC resources on more major cases resulting 

in substantially higher civil penalties and reduced processing times; and 

notably reduce the number of matters closed by the FEC without substantive analysis.

EXECUTIVE SUMMARY (continued)
Federal Election Commission Enforcement Profile September 30, 2004

iii

EXECUTIVE SUMMARY .....................................................................i-ii

SECTION I 

Federal Election Commission Enforcement Profile ............................... 1-9

Highlights ...................................................................................................2

Total Fines Assessed and Penalties negotiated ..........................................3

Total Cases Closed .....................................................................................4

Substantive Disposition of Issues ..............................................................5

Average Number of Substantive Disposition Issues .................................6

Cases Dismissed or Closed with Substantive Action .................................7

Elapsed Time Report ..................................................................................8

Vote Report ................................................................................................9

SECTION II

Profile of the Office of the General Counsel (OGC) Enforcement .... 10-19

Highlights .................................................................................................11

Civil Penalties Negotiated ........................................................................12

Total Cases Closed ...................................................................................13

Substantive Disposition of Issues ............................................................14

Average Number of Substantive Disposition Issues ................................15

Cases Dismissed or Closed with Substantive Action ...............................16

Elapsed Time Report ................................................................................17

Dispositions – cases closed or transferred ...............................................18

Vote Report ..............................................................................................19

SECTION III

Profile of Alternative Dispute Resolution (ADR) Enforcement ........ 20-27

Highlights .................................................................................................21

Civil Penalties Negotiated ........................................................................22

Total Cases Closed ...................................................................................23

Substantive Disposition of Issues ............................................................24

Cases Dismissed or Closed with Substantive Action ...............................25

Elapsed Time Report ................................................................................26

Vote Report ..............................................................................................27

SECTION IV

Profile of Administrative Fine Program (AF) Enforcement .............. 28-33

Highlights .................................................................................................29

Dispositions Fines Assessed ....................................................................30

Total Dispositions ....................................................................................31

Elapsed Time Report ................................................................................32

Vote Report ..............................................................................................33

SECTION V

Glossary ............................................................................................. 34-36

TABLE OF CONTENTS
SECTION I

FEDERAL ELECTION COMMISSION

ENFORCEMENT PROFILE
Federal Election Commission Enforcement Profile September 30, 2004

Page 2

FEDERAL ELECTION COMMISSION

Since FY 1995, the FEC has increased the efficiency and effectiveness of its Enforcement Program, which includes the Administrative Fine and Alternative Dispute Resolution (ADR) programs, and the standard enforcement process set forth in 2 U.S.C. § 437g. The following charts and tables, derived from the FEC’s Case Management System and Administrative Fine databases, detail the significant progress made by the FEC between 

FY 1995 and FY 2004.

Total fines and penalties assessed have increased steadily and substantially since 1999. In FY 2004, total civil 

penalties and fines were a record $3,463,050, more than in any previous year.

In FY 2004, reduced to zero the number of matters dismissed without substantive analysis for the first time since 

the FEC began tracking this number in 1993.

Including matters resolved through the standard enforcement process and the ADR and Administrative Fine programs, the FEC dismissed only 9% of cases without a substantive finding in FY 2001-2004, compared to 54% in

the period from FY 1995-2000.
Federal Election Commission Enforcement Profile September 30, 2004

Page 3

$200,000

$400,000

$600,000

$800,000

$1,000,000

$1,200,000

$1,400,000

$1,600,000

$1,800,000

$2,000,000

$2,200,000

$2,400,000

$2,600,000

$2,800,000

$3,000,000

$3,200,000

$3,400,000

$3,600,000

AMOUNT OF FINES 

OR PENALTIES

FEC ENFORCEMENT DISPOSITIONS 

TOTAL FINES ASSESSED AND PENALTIES NEGOTIATED 

FISCAL YEARS 1995-2004

$0 1995 1996 1997 1998 1999 2000 2001* 2002* 2003* 2004

Civil Penalties & Fines $1,966,600 $656,654 $1,534,250 $1,055,599 $546,455 $1,092,300 $1,578,653 $1,466,454 $2,913,967 $3,463,050

*Total revised to include amounts assessed for Administrative Fine Program, not amounts paid as previously reported .
Federal Election Commission Enforcement Profile September 30, 2004

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50

100

150

200

250

300

350

400

450

500

550

600

NUMBER OF CASES

0

FEC ENFORCEMENT DISPOSITIONS

 TOTAL CASES CLOSED

 FISCAL YEARS 1995-2004

1995 1996 1997 1998 1999 2000 2001* 2002* 2003* 2004

Enforcement Dispositions 229 217 230 211 144 141 516 226 529 250

*Total revised to reflect correction to cases closed by Administrative Fine Progam. 
Federal Election Commission Enforcement Profile September 30, 2004

Page 5

FEC ENFORCEMENT SUBSTANTIVE DISPOSITIONS OF ISSUES

FISCAL YEARS 1995-2004

1995-2000 

Issues 1995 1996 1997 1998 1999 2000 (Total)

Sec. 432 - Organization of Political Committee 3 8 7 4 4 10 36

Sec. 433 - Registration of Political Committee 11 6 11 5 3 6 42

Sec. 434 - Reporting requirements 61 48 47 47 32 74 309

Sec. 437 - Reports on convention financing 0 0 0 0 0 2 2

Sec. 438(a)(4) - Sale or Use Restriction 0 2 0 1 0 0 3

Sec. 439a - Personal Use of Campaign Funds 5 1 1 3 1 0 11

Sec. 441a - Limitations, Contributions & Expenditures 31 22 18 11 7 23 112

Sec. 441a (f) Prohibited Contributions & Expenditures 31 23 24 14 11 37 140

Sec. 441b - Corporate Contributions 33 18 31 23 14 44 163

Sec. 441c - Contributions by Government Contractors 3 0 3 4 0 1 11

Sec. 441d - Disclaimer 14 10 10 6 8 9 57

Sec. 441e - Contributions by foreign nationals 1 5 2 2 4 3 17

Sec. 441f - Contributions in Name of Another Prohibited 11 7 10 9 6 20 63

Sec. 441g - Limitation on Contribution of Currency 1 0 1 0 0 2 4

Sec. 441h - Fraudulent Misrepresentation of Campaign Authority 0 0 0 0 0 0 0

Sec. 9008 - Payments for Presidential Nominating conventions 4 0 0 0 0 1 5

Sec. 9035 - Qualified Campaign Expense Limitations 1 2 0 0 0 3 6

TOTAL CASES WITH SUBSTANTIVE ISSUES 113 86 84 68 63 118 532

Issues 2001 2002 2003 2004 (Total)

Sec. 432 - Organization of Political Committee 6 9 7 8 30

Sec. 433 - Registration of Political Committee 4 6 8 10 28

Sec. 434 - Reporting requirements 409 142 436 179 1166

Sec. 437 - Reports on convention financing 2 1 0 0 3

Sec. 438(a)(4) - Sale or Use Restriction 0 0 0 0 0

Sec. 439a - Personal Use of Campaign Funds 1 1 1 6 9

Sec. 441a - Limitations, Contributions & Expenditures 28 21 27 24 100

Sec. 441a (f) Prohibited Contributions & Expenditures 26 16 25 28 95

Sec. 441b - Corporate Contributions 39 21 31 30 121

Sec. 441c - Contributions by Government Contractors 1 1 0 2 4

Sec. 441d - Disclaimer 11 9 5 9 34

Sec. 441e - Contributions by foreign nationals 4 5 1 2 12

Sec. 441f - Contributions in Name of Another Prohibited 9 11 14 8 42

Sec. 441g - Limitation on Contribution of Currency 1 2 0 0 3

Sec. 441h - Fraudulent Misrepresentation of Campaign Authority 1 0 1 2 4

Sec. 9008 - Payments for Presidential Nominating conventions 3 1 0 0 4

Sec. 9035 - Qualified Campaign Expense Limitations 1 0 0 0 1

TOTAL CASES WITH SUBSTANTIVE ISSUES 467 193 512 217 1389

2001-2004 

The issues are related to al Respondents in the case. The number of cases is not the same as the number of issues. In some cases there may be more than one violation. In "No RTB" findings the 

Commission may not cite an alleged violation. The majority of the Sec. 434 violations are the result of the Administrative Fine Program.
Federal Election Commission Enforcement Profile September 30, 2004

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Issues 1995-2000 2001-2004 1995-2004

Sec. 432 - Organization of Political Committee 6 8 7

Sec. 433 - Registration of Political Committee 7 7 7

Sec. 434 - Reporting requirements 52 292 148

Sec. 437 - Reports on convention financing 0 1 1

Sec. 438(a)(4) - Sale or Use Restriction 1 0 0

Sec. 439a - Personal Use of Campaign Funds 2 2 2

Sec. 441a - Limitations, Contributions & Expenditures 19 25 21

Sec. 441a (f) Prohibited Contributions & Expenditures 23 24 24

Sec. 441b - Corporate Contributions 27 30 28

Sec. 441c - Contributions by Government Contractors 2 1 2

Sec. 441d - Disclaimer 10 9 9

Sec. 441e - Contributions by foreign nationals 3 3 3

Sec. 441f - Contributions in Name of Another Prohibited 11 11 11

Sec. 441g - Limitation on Contribution of Currency 1 1 1

Sec. 441h - Fraudulent Misrepresentation of Campaign Authority 0 1 0

Sec. 9008 - Payments for Presidential Nominating conventions 1 1 1

Sec. 9035 - Qualified Campaign Expense Limitations 1 0 1

AVERAGE NUMBER OF CASES WITH SUBSTANTIVE ISSUES 89 347 192

FEC ENFORCEMENT

AVERAGE NUMBER OF SUBSTANTIVE DISPOSITION ISSUES PER YEAR

FISCAL YEARS 1995-2004

The issues are related to al Respondents in the case. The number of cases is not the same as the number of issues. In some cases there may be more than one violation. In "No RTB" findings the 

Commission may not cite an alleged violation. The majority of the Sec. 434 violations are the result of the Administrative Fine Program. 

The periods used throughout this report are intended to clarify changes resulting from new initiatives implemented in FY 2000.
Federal Election Commission Enforcement Profile September 30, 2004

Page 7

FEC ENFORCEMENT DISPOSITIONS 

CASES DISMISSED OR CLOSED WITH SUBSTANTIVE ACTION

 FISCAL YEARS 1995-2004

(Total cases closed: 2,699)

SUBSTANTIVE ACTION (1914)

71%

DISMISSED (785)

29%

FEC ENFORCEMENT DISPOSITIONS 

CASES DISMISSED OR CLOSED WITH SUBSTANTIVE ACTION 

FISCAL YEARS 1995-2000 

(Total cases closed: 1,178)

Substantive Action (537)

 (90per year on average)

46%

Dismissed (641) 

(107 per year on average)

54%

FEC ENFORCEMENT DISPOSITIONS 

CASES DISMISSED OR CLOSED WITH SUBSTANTIVE ACTION FISCAL YEARS 

2001-2004

(Total cases closed: 1,521)

Substantive Action 

(1377) (344 per year on 

average)

91%

Dismissed (144) 

(38 per year on 

average)

9%
Federal Election Commission Enforcement Profile September 30, 2004

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100

200

300

400

500

600

700

800

FEC ELAPSED TIME REPORT

Average Number of Days for Cases Dismissed or Closed with Substantive Action

Fiscal Years 1995-2004

0

1995 1996 1997 1998 1999 2000 2001 2002* 2003 2004*

Dismissed - No. of Days 345 397 363 347 292 436 338 270 313 475

Substantive - No. of Days 665 464 688 525 384 626 250 482 311 411

*The majority of the Administrative Fine cases released in FY 2002 and 2004 were ones that were challenged (FY 02 - 70% and FY 04 - 53%) as compared to approximately 22% for FY 2001 and 2004. 
Federal Election Commission Enforcement Profile September 30, 2004

Page 9

FEC ENFORCEMENT VOTE REPORT

 Fiscal Years 1995-2005

Failed with Insufficient Votes

(104)

1%

Failed with Majority Opposition (97)

1%

Failed (3-3) (104)

1%

Approved with Dissent (1,311)

15%

Approved without Dissent (7,422)

82%

FEC ENFORCEMENT VOTE REPORT

 Fiscal Years 1995-2000

Failed with Majority 

Opposition (30)

1%

Failed with Insufficient 

Votes (82)

2%

Failed (3-3) (45)

1%

Approved without 

Dissent (4,059)

78%

Approved with Dissent 

(941)

18%

FEC ENFORCEMENT VOTE REPORT 

Fiscal Years 2001-2004 

Approved without 

Dissent (3,363)

86%

Failed with 

Insufficient Votes l 

(22)

1%

Failed with Majority 

Opposition (67)

2%

Approved with 

Dissent (370)

9%

Failed (3-3) (59)

2%

Approved without Dissent (6-0, 5-0, 4-0); Approved with Dissent (5-1, 4-2, 4-1); Failed with Majority Opposition (2-4, 2-3, 1-5, 1-3); Failed with Insufficient Approval (3-2, 3-1, 2-2)

Commissioners recusals, absence or no votes are not counted. From October, 1995 to August, 1998 the Commission did not have a full complement of six Commissioners.
SECTION II

OFFICE OF GENERAL COUNSEL (OGC)
Federal Election Commission Enforcement Profile September 30, 2004

Page 11

437g ENFORCEMENT MATTERS 

As required by 2 U.S.C. § 437g, the FEC’s Office of General Counsel (OGC) reviews and investigates enforcement matters, makes recommendations to the Commission regarding the disposition of matters, and negotiates 

conciliation agreements requiring the payment of civil penalties.

In FY 2004, OGC negotiated $3,024,595 in civil penalties in matters resolved through the standard enforcement 

process, exceeding FY 2003’s total by 27%. 

OGC reduced the average and median number of days between complaint and closing by 16% and 25%, respectively. Between FY 2001 and FY 2004, the Commission closed or dismissed with substantive action 71% of 

standard enforcement matters, compared to 46% between FY 1995 and 2000. 

OGC continues to focus its enforcement resources on the most serious violations of the Federal Election Campaign Act, including failure to register and report as a political committee, prohibited contributions and expenditures, corporate contributions, contributions in the name of another, and fraudulent misrepresentation of campaign authority.
Federal Election Commission Enforcement Profile September 30, 2004

Page 12

OGC ENFORCEMENT DISPOSITIONS 

CIVIL PENALTIES NEGOTIATED

FISCAL YEARS 1995-2004

0

AMOUNT

$200,000

$400,000

$600,000

$800,000

$1,000,000

$1,200,000

$1,400,000

$1,600,000

$1,800,000

$2,000,000

$2,200,000

$2,400,000

$2,600,000

$2,800,000

$3,000,000

$3,200,000

 OF CIVIL PENALTY

1995 1996 1997 1998 1999 2000 2001 2002 2003* 2004

Civil Penalties $1,966,600 $656,654 $1,534,250 $1,055,599 $546,455 $1,092,300 $626,855 $1,153,5 $2,215,375 $3,024,595

Total Cases with Civil Penalties 63 46 53 41 26 58 34 26 31 28

63

*Due to a clerical oversignt, civil penaties in the amount of $16,200 were not included in the final totals for FY 2003.
Federal Election Commission Enforcement Profile September 30, 2004

Page 13

OGC ENFORCEMENT DISPOSITIONS 

Total Cases Closed 

Fiscal Years 1995-2004

0

50

100

150

200

250

300

350

400

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004*

Total Cases Dismissed 117 131 146 143 81 23 49 32 19 11

Total Cases Substantive 112 86 84 68 63 124 79 59 67 61

Total Percentage of Closed Substantive 

Cases 49% 40% 37% 32% 44% 88% 62% 65% 78% 85%

*The dismissed cases were closed following a substantive analysis and report presented to the Commission. There were no stale or low-rated closures among these dismissals.

NUMBER OF CASES
Federal Election Commission Enforcement Profile September 30, 2004

Page 14

OGC ENFORCEMENT SUBSTANTIVE DISPOSITION OF ISSUES 

FISCAL YEARS 1995-2003

Issues 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 TOTAL

Sec. 432 - Organization of Political Committee 3 8 7 4 4 10 4 8 5 7 60

Sec. 433 - Registration of Political Committee 11 6 11 5 3 6 4 5 4 6 61

Sec. 434 - Reporting requirements 61 48 47 47 32 74 41 21 33 27 431

Sec. 437 - Reports on convention financing 0 0 0 0 0 2 1 1 0 0 4

Sec. 438(a)(4) - Sale or Use Restriction 0 2 0 1 0 0 0 0 0 0 3

Sec. 439a - Personal Use of Campaign Funds 5 1 1 3 1 0 0 0 0 5 16

Sec. 441a - Limitations, Contributions & Expenditures 31 22 18 11 7 23 24 16 20 22 194

Sec. 441a (f) Prohibited Contributions & Expenditures 31 23 24 14 11 37 25 15 23 26 229

Sec. 441b - Corporate Contributions 33 18 31 23 14 44 33 19 25 25 265

Sec. 441c - Contributions by Government Contractors 3 0 3 4 0 1 1 1 0 1 14

Sec. 441d - Disclaimer 14 10 10 6 8 9 9 7 5 7 85

Sec. 441e - Contributions by foreign nationals 1 5 2 2 4 3 4 5 1 1 28

Sec. 441f -Contributions in Name of Another Prohibited 11 7 10 9 6 20 6 11 12 7 99

Sec. 441g - Limitation on Contribution of Currency 1 0 1 0 0 2 1 2 0 0 7

Sec. 441h - Fraudulent Misrepresentation of Campaign Authority 0 0 0 0 0 0 1 0 1 2 4

Sec. 9008 - Payments for Presidential Nominating conventions 4 0 0 0 0 1 3 1 0 0 9

Sec. 9035 - Qualified Campaign Expense Limitations 1 2 0 0 0 3 1 0 0 0 7

TOTAL CASES WITH SUBSTANTIVE ISSUES 113 86 84 68 63 118 79 59 67 55 792

The issues are related to all the Respondents in the case. The number of cases is not the same as the number of issues. In some cases there may be more than one violation. In "No RTB" findings the Commission may not cite an 

alleged violation. The majority of the Sec. 434 violations are the result of the Administrative Fine Program.
Federal Election Commission Enforcement Profile September 30, 2004

Page 15

OGC ENFORCEMENT 

AVERAGE NUMBER OF SUBSTANTIVE DISPOSITION ISSUES PER YEAR

FISCAL YEARS 1995-2004

Issues 1995-2000 2001-2004 1995-2004

Sec. 432 - Organization of Political Committee 6 6 6

Sec. 433 - Registration of Political Committee 7 5 6

Sec. 434 - Reporting requirements 52 31 43

Sec. 437 - Reports on convention financing 0 1 0

Sec. 438(a)(4) - Sale or Use Restriction 1 0 0

Sec. 439a - Personal Use of Campaign Funds 2 1 1

Sec. 441a - Limitations, Contributions & Expenditures 19 21 21

Sec. 441a (f) Prohibited Contributions & Expenditures 23 22 22

Sec. 441b - Corporate Contributions 27 26 26

Sec. 441c - Contributions by Government Contractors 2 1 1

Sec. 441d - Disclaimer 10 7 7

Sec. 441e - Contributions by foreign nationals 3 3 3

Sec. 441f -Contributions in Name of Another Prohibited 11 9 9

Sec. 441g - Limitation on Contribution of Currency 1 1 1

Sec. 441h - Fraudulent Misrepresentation of Campaign Authority 0 1 1

Sec. 9008 - Payments for Presidential Nominating conventions 1 1 1

Sec. 9035 - Qualified Campaign Expense Limitations 1 0 0

The issues are related to all the Respondents in the case. The number of cases is not the same as the number of issues. In some cases there may be more than one violation. In "No RTB" findings the 

Commission may not cite an alleged violation. The majority of the Sec. 434 violations are the result of the Administrative Fine Program.

The periods used throughout this report are intended to clarify changes resulting from new initiatives implemented in FY 2000.
Federal Election Commission Enforcement Profile September 30, 2004

Page 16

Dismissed (637) 

(107 per year on 

average)

54%

Substantive Action 

(534) (89 per year on 

average)

46%

Substantive Action 

(266)

 (67 per year on 

average)

71%

Dismissed (111) 

(28 per year on 

average)

29%

OGC ENFORCEMENT DISPOSITIONS 

CASES DISMISSED OR CLOSED WITH SUBSTANTIVE ACTION 

FISCAL YEARS 1995-2004

 (Total cases closed: 1,548)

Substantive Action (800)

 (80 per year on average)

52%

Dismissed (748) 

(75 per year on average)

48%

OGC ENFORCEMENT DISPOSITIONS 

CASES DISMISSED OR CLOSED WITH SUBSTANTIVE ACTION 

FISCAL YEARS 1995-2000 

(Total cases closed: 1,171)

OGC ENFORCEMENT DISPOSITIONS 

CASES DISMISSED OR CLOSED WITH SUBSTANTIVE ACTION 

FISCAL YEARS 2001-2004 

(Total cases closed: 377)
Federal Election Commission Enforcement Profile September 30, 2004

Page 17

0

OGC ELAPSED TIME REPORT 

Average Number of Days for Cases Dismissed or Closed with Substantive Action 

Fiscal Years 1995-2004

0

100

200

300

400

500

600

700

800

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004

Dismissed - No. of Days 345 397 363 347 292 436 338 383 369 690

Substantive - No. of Days 665 464 688 525 384 626 411 555 529 446

OGC ELAPSED TIME REPORT 

Median Number of Days for Cases Dismissed or Closed with Substantive Action

Fiscal Years 1995-2004

100

200

300

400

500

600

700

800

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004

Dismissed - No. of Days 298 350 305 411 232 555 240 301 239 721

Substantive - No. of Days 146 372 533 421 295 440 250 445 318 240
Federal Election Commission Enforcement Profile September 30, 2004

Page 18

OGC ENFORCEMENT DISPOSITIONS

 CASES CLOSED OR TRANSFERRED 

FISCAL YEARS 1995-2000

No RTB (64)

5%

Dismissed (639)

55%

Transferred to ADR (6)

1%

Conciliation-PPC (227)

20%

Conciliation-PC (73)

6%

RTB/NFA (133)

11%

PC/NFA (16)

1%

No PCTB (2)

Other (4) 0%

0%

Suit Authorization (13)

1%

OGC ENFORCEMENT DISPOSITIONS

CASES CLOSED OR TRANSFERRED

 FISCAL YEARS 2001-2004

Transferred to Administrative Fines (1)

0%

Other(7)

1% Suit Authorization (3)

1%

Transferred to ADR (150)

29%

Conciliation-PPC (95)

18%

Conciliation-PC (34)

6%

RTB/NFA (60)

11%

No RTB (67)

13%

Dismissed (111)

21%
Federal Election Commission Enforcement Profile September 30, 2004

Page 19

OGC ENFORCEMENT VOTE REPORT

Fiscal Years 1995-2004 

(Total Votes: 6,542) Failed with Insufficient Votes (104)

2%

Failed with Majority Opposition (94)

1%

Approved with Dissent (1,293)

20%

Failed (3-3) (101)

2% Approved without Dissent (4,950)

75%

OGC ENFORCEMENT VOTE REPORT 

Fiscal Years 1995-2000

(Total Votes: 4,960)

Failed with Insufficient 

Votes (82)

2%

Failed with Majority 

Opposition (30)

1%

Approved with Dissent 

(980)

20%

Failed (3-3) 

(45)

1%

Approved without 

Dissent (3,823)

76%

OGC ENFORCEMENT VOTE REPORT

 Fiscal Years 2001-2004

(Total Votes: 1,582)

Failed with 

Insufficient Votes 

(22)

1%

Failed with Majority 

Opposition (64)

4%

Approved with 

Dissent (313)

20%

Failed (3-3) (56)

4%

Approved without 

Dissent (1,127)

71%

Approved without Dissent (6-0, 5-0, 4-0); Approved with Dissent (5-1, 4-2, 4-1); Failed with Majority Opposition (2-4, 2-3, 1-5, 1-3); Failed with Insufficient Approval (3-2, 3-1, 2-2)

Commissioners recusals, absence or no votes are not counted. From October, 1995 to August, 1998 the Commission did not have a full complement of six Commissioners.
SECTION III

ALTERNATIVE DISPUTE RESOLUTION (ADR)
Federal Election Commission Enforcement Profile September 30, 2004

Page 21

ALTERNATIVE DISPUTE RESOLUTION

The Alternative Dispute Resolution (ADR) program was implemented in FY 2001 to improve efficiency and minimize case processing times by resolving certain matters outside the standard enforcement process. Cases processed by the ADR office are referred by other divisions and are reviewed by OGC before being considered for 

ADR. 

ADR cases are typically completed within 6 months of referral. 

ADR has imposed $154,743 in civil penalties since FY 2001. In FY 2004, ADR more than doubled the civil penalties it negotiated, exceeding its total civil penalties for each of the three previous years since its inception. ADR 

also negotiated non-financial sanctions (e.g., conference attendance, committee staff resource changes) to reduce the likelihood of future violations.

Since FY 2001, ADR has successfully completed action on 135 cases, with 76% of all cases dismissed or closed 

with substantive action. 

While ADR caseload is increasing, it still only represents a fraction of FEC enforcement activity.

The majority of ADR enforcement cases are FECA Section 434 and 441 violations. Section 441b violations also 

represent a substantial percentage of ADR enforcement cases.

In FY 2003, the ADR office began reviewing matters that were previously dismissed under the Enforcement Priority System.
Federal Election Commission Enforcement Profile September 30, 2004

Page 22

$200,000

$400,000

$600,000

$800,000

$1,000,000

$1,200,000

$1,400,000

$1,600,000

$1,800,000

$2,000,000

$2,200,000

$2,400,000

$2,600,000

$2,800,000

$3,000,000

$3,200,000

AMOUNT OF 

CIVIL PENALTY

ALTERNATIVE DISPUTE RESOLUTION ENFORCEMENT DISPOSITIONS 

CIVIL PENALTIES NEGOTIATED

FISCAL YEARS 2001-2004

0

2001 2002 2003 2004

Civil Penalties $32,143 $23,000 $30,200 $69,400

Total Cases with Civil Penalties 16 6 16 23
Federal Election Commission Enforcement Profile September 30, 2004

Page 23

50

100

150

200

250

300

350

400

NUMBER OF CASES 

ALTERNATIVE DISPUTE RESOLUTION DISPOSITIONS

TOTAL CASES CLOSED

FISCAL YEARS 2001-2004

0

FY 2001 FY 2002 FY 2003 FY 2004

Total Cases Dismissed 0 1 17 15

Total Cases Substantive 27 17 32 26
Federal Election Commission Enforcement Profile September 30, 2004

Page 24

ALTERNATIVE DISPUTE RESOLUTION ENFORCEMENT SUBSTANTIVE DISPOSITION OF ISSUES 

FISCAL YEARS 2001-2004

Issues 2001 2002 2003 2004

Sec. 432 - Organization of Political Committee 1 1 2 1

Sec. 433 - Registration of Political Committee 2 1 4 5

Sec. 434 - Reporting requirements 7 3 9 15

Sec. 437 - Reports on convention financing 1 0 0 0

Sec. 438(a)(4) - Sale or Use Restriction 0 0 0 0

Sec. 439a - Personal Use of Campaign Funds 1 1 1 1

Sec. 441a - Limitations, Contributions & Expenditures 4 5 7 2

Sec. 441a (f) Prohibited Contributions & Expenditures 1 1 2 2

Sec. 441b - Corporate Contributions 6 2 6 5

Sec. 441c - Contributions by Government Contractors 0 0 0 1

Sec. 441d - Disclaimer 2 2 0 2

Sec. 441e - Contributions by foreign nationals 0 0 0 1

Sec. 441f -Contributions in Name of Another Prohibited 3 0 2 1

Sec. 441g - Limitation on Contribution of Currency 0 0 0 0

Sec. 441h - Fraudulent Misrepresentation of Campaign Authority 0 0 0 0

Sec. 9008 - Payments for Presidential Nominating Conventions 0 0 0 0

Sec. 9035 - Qualified Campaign Expense Limitations 0 0 0 0

TOTAL CASES WITH SUBSTANTIVE ISSUES 20 17 27 25

The issues are related to all the Respondents in the case. The number of cases is not the same as the number of issues. In some cases there may be more than one violation. In "No RTB" findings the 

Commission may not cite an alleged violation.
Federal Election Commission Enforcement Profile September 30, 2004

Page 25

ALTERNATIVE DISPUTE RESOLUTION ENFORCEMENT CASES 

DISMISSED OR CLOSED WITH SUBSTANTIVE ACTION 

FISCAL YEARS 2001-2004

Dismissed (33)

24%

Substantive Action (102)

76%
Federal Election Commission Enforcement Profile September 30, 2004

Page 26

ALTERNATIVE DISPUTE RESOLUTION ELAPSED TIME REPORT 

Average Number of Days for Cases Dismissed or Closed with Substantive Action 

Fiscal Years 2001-2004

0

100

200

300

400

500

600

700

800

2001 2002 2003 2004

Dismissed - No. of Days 0 486 251 225

Substantive - No. of Days 390 428 303 254

ALTERNATIVE DISPUTE RESOLUTION ELAPSED TIME REPORT 

Median Number of Days for Cases Dismissed or Closed with Substantive Action 

Fiscal Years 2001-2004

0

100

200

300

400

500

600

700

800

2001 2002 2003 2004

Dismissed - No. of Days 0 486 183 155

Substantive - No. of Days 377 385 282 208

The average and median number of days is f rom the date a complaint is received in OGC and the date referred by the Audit or Reports Analysis Division until the date the case is closed.
Federal Election Commission Enforcement Profile September 30, 2004

Page 27

ALTERNATIVE DISPUTE RESOLUTION ENFORCEMENT VOTE REPORT 

Fiscal Years 2001-2004

Failed (3-3) (0)

0%

Approved with Dissent (26)

9%

Failed with Insufficient Votes (0)

0%

Approved without Dissent (270)

90%

Failed with Majority Opposition (2)

1%

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SECTION IV

ADMINISTRATIVE FINE (AF)
Federal Election Commission Enforcement Profile September 30, 2004

Page 29

ADMINISTRATIVE FINE PROGRAM

The Administrative Fine program was established in FY 2000 to provide an expedited system for processing late 

and non-filer violations using a published schedule of penalties. The Administrative Fine program closes cases in 

an average of 242 days from the report’s due date to the Commission’s final action. 

Since FY 2000, the Administrative Fine program has assessed civil penalties totaling $1,891,148 in 1,009 cases 

of late and non-filed reports, producing a six-fold increase in FEC actions on reporting violations when combined 

with reporting violations resolved through the standard enforcement process. 

FY 2002 and FY 2004 saw a reduction in the number of Administrative Fine cases caused by fewer off year reporting due dates. In addition, the majority of the cases released in those years were ones that were challenged, 

70% in FY 2002 and 53% in FY 2004, as compared to approximately 22% in FY 2001 and 2003.
Federal Election Commission Enforcement Profile September 30, 2004

Page 30

ADMINISTRATIVE FINE PROGRAM 

DISPOSITIONS FINES ASSESSED 

FISCAL YEARS 2001-2004

0

$200,000

$400,000

$600,000

$800,000

$1,000,000

$1,200,000

$1,400,000

$1,600,000

$1,800,000

$2,000,000

$2.200,000

$2,400,000

$2,600,000

$2,800,000

$3,000,000

$3,200,000

AMOUNT OF FINES

2001* 2002* 2003* 2004

Fines Assessed $563,810 $289.891 $668,392 $369,055

Total Cases with Fines Assessed 361 117 394 137

*Totals number of cases and fines revised to show number of cases in which fines were assessed, not paid as previously reported.
Federal Election Commission Enforcement Profile September 30, 2004

Page 31

ADMINISTRATIVE FINE PROGRAM DISPOSITIONS

FISCAL YEARS 2001-2004

2001* 2002* 2003* 2004

Adminstrative Fines 361 117 394 137

0

50

100

150

200

250

300

350

400

*Total number of cases has been corrected to show total cases assessed a fine not paid as previously reported 

All Administrative Fine cases are violations of Section 434 of the FECA
Federal Election Commission Enforcement Profile September 30, 2004

Page 32

ADMINISTRATIVE FINE PROGRAM ELAPSED TIME REPORT 

Average Number of Days for Cases with a Final Determination 

Fiscal Years 2001-2004

0

50

100

150

200

250

300

350

400

2001 2002 2003 2004

Substantive - No. of Days 180 353 244 305

ADMINISTRATIVE FINE PROGRAM ELAPSED TIME REPORT

Median Number of Days for Cases with a Final Determination 

Fiscal Years 2001-2004

0

50

100

150

200

250

300

350

400

2001 2002 2003 2004

Substantive - No. of Days 166 365 231 386

The average and median number of days is determined from the report due date to the date of final determination. The majority of the cases released in FY 2002 and 2004 were ones that were challenged (FY 02 - 70% and 

FY 04 - 53%) as compared to approximately 22% for FY 2001 and 2003. 
Federal Election Commission Enforcement Profile September 30, 2004

Page 33

ADMINISTRATIVE FINE PROGRAM VOTE REPORT

 FY 2000-2004

Approved without Dissent (2,202)

96%

Approved with Dissent (91)

4%

Failed (3-3) (3)

0%

Failed with Insufficient Votes (0)

0%

Failed with Majority Opposition (1)

0%

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GLOSSARY
Federal Election Commission Enforcement Profile September 30, 2004

Page 35

GLOSSARY

Administrative Fine Program (AF): a mechanism to assess civil 

money penalties for violations involving: (1) failure to file reports on time;

(2) failure to file reports at all; and (3) failure to file 48-hour notices.

Administrative Fine Final Determination: final action approved by 

Commission vote.

Administrative Fine Elapsed Time: the length of time from the due 

date of the report until the date a final determination is approved.

ADR Elapsed Time: the length of time from when a complaint or 

referral is received in OGC until it is dismissed or closed with substantive

action in the ADR office and the length of time from when a complaint is 

assigned to the ADR office until it is dismissed or closed with substantive

action.

Alternative Dispute Resolution (ADR) Office a series of constructive 

and efficient procedures for resolving disputes through the mutual 

consent of the parties involved. ADR encourages the parties to 

engage in negotiations, outside the traditional enforcement or litigation 

processes, that promptly lead to the resolution of their dispute.

Assessed: the final civil penalty or administrative fine approved by 

Commission vote.

Dispositions Closed or Dismissed: cases handled by OGC, ADR and 

AF that are closed with a substantive Commission action or dismissed 

with no finding by the Commission.

Disposition Issues: violation of the Federal Election Campaign Act 

(FECA) approved by the Commission at the final stage of a matter.

FEC Enforcement: complaints filed with the Federal Election 

Commission (FEC) or internal referrals to the Office of General Counsel 

or the Alternative Dispute Resolution Office and late reporting violation 

matters handled by the Administrative Fine process. 

Office of General Counsel (OGC): directs the agency’s enforcement 

activities, represents and advises the Commission in any legal actions 

brought before it and houses the Designated Agency Ethics Official. The

Office of General Counsel handles all civil litigation, including Title 26 

cases that come before the Supreme Court. The office also drafts, for 

Commission consideration, advisory opinions and regulations, as well as 

other legal memoranda interpreting the federal campaign finance law.

OGC Elapsed Time: the length of time from when a complaint or 

referral is received in OGC until it is dismissed or closed with substantive

action.

OGC Enforcement: complaints or internal referrals handled by OGC.

Substantive Disposition or Action: case closed by OGC, ADR or 

AF with a Commission finding of RTB, No RTB, Conciliation, Probable 

Cause, No Probable Cause, Conciliation-Probable Cause, ConciliationPre-Probable Cause or Suit Authorization.
Federal Election Commission Enforcement Profile September 30, 2004

Page 36

GLOSSARY (continued)

Source Data: the data relating to OGC and ADR is from the Case 

Management System and the Administrative Fine Program data is taken 

from an Administrative Fine database. The responsibility for the entry 

and verification of the data in the profile is as follows:

Office of General Counsel (OGC): date a case was received 

in OGC, date a case was closed and transferred to ADR and civil 

penalties assessed from October 1999 to September 2004.

Alternative Dispute Resolution (ADR) Office: data a case was 

received and concluded in ADR, substantive disposition issues and 

civil penalties assessed.

Reports Analysis Division (RAD): date Administrative Fine process 

begins and concludes and date and amount of fines assessed.

Office of Administrative Review (OAR): date of final determination 

after challenge process completed and date and amount of fines 

assessed.

Staff Director’s Office (SDO): date a case closed with type of 

disposition and substantive disposition issues from October, 1994 to 

September, 2004 along with civil penalties assessed from October, 

1994 to September, 1999.